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SSI Investment Management Portfolio holdings

AUM $1.45B
1-Year Est. Return 5.8%
This Fund
S&P 500
This Quarter Est. Return
+1.97%
1 Year Est. Return
+5.8%
3 Year Est. Return
+11.81%
5 Year Est. Return
+13.07%
10 Year Est. Return
+29.97%
AUM
$1.11B
AUM Growth
+$88.6M
Cap. Flow
-$614M
Cap. Flow %
-55.33%
Top 10 Hldgs %
18.88%
Holding
446
New
65
Increased
51
Reduced
104
Closed
64

Top Buys

Rank Stock Value
1
WELL.PRI
Welltower Inc.
WELL.PRI
+$15.1M
2
WY.PRA
WEYERHAEUSER COMP PREF CONV SER A (WA)
WY.PRA
+$3.87M
3
NEE.PRO
NEXTERA ENERGY INC UNITS EXPIRING 09/01/2015 (FL)
NEE.PRO
+$3.77M
4
VGK icon
Vanguard FTSE Europe ETF
VGK
+$1.6M
5
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$1.53M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$16.4M
2
HBANP
Huntington Bancshars Inc. Pfd Ser A
HBANP
+$3.65M
3
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$3.18M
4
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$2.87M
5
MLU
METLIFE, INC. COM EQUITY UNIT
MLU
+$2.79M

Sector Composition

Rank Sector Weight
1 Healthcare 2.71%
2 Financials 2.68%
3 Technology 2.61%
4 Consumer Discretionary 2.04%
5 Industrials 1.77%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$781B
$42.4M 3.82%
252,526
-97,792
-28% -$16.4M
WELL.PRI
2
DELISTED
Welltower Inc.
WELL.PRI
$14.7M 1.32%
+254,750
New +$15.1M
BAC.PRL icon
3
Bank of America Series L
BAC.PRL
$3.97B
$10.4M 0.94%
9,608
-2,622
-21% -$2.87M
KEY.PRG
4
DELISTED
KeyCorp Pfd
KEY.PRG
$9.77M 0.88%
78,615
+215
+0.3% +$27.2K
GM.PRB
5
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
$9.28M 0.84%
185,030
+220
+0.1% +$11K
MLU
6
DELISTED
METLIFE, INC. COM EQUITY UNIT
MLU
$7.55M 0.68%
263,510
-80,127
-23% -$2.79M
WFC.PRL icon
7
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.68B
$6.93M 0.62%
6,090
-1,766
-22% -$2.03M
OCR.PRB
8
DELISTED
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
$6.84M 0.62%
100,695
-48,410
-32% -$3.18M
MTCN
9
DELISTED
ARCELORMITTAL 6% MANDATORILTY CONV SUB NT DUE 2016 (LUX)
MTCN
$6.02M 0.54%
280,000
+30,000
+12% +$634K
ALR.PRB
10
DELISTED
Alere Inc
ALR.PRB
$5.47M 0.49%
21,100
-3,900
-16% -$1.02M
GE icon
11
GE Aerospace
GE
$375B
$5.31M 0.48%
46,354
+4,497
+11% +$516K
GT.PRA
12
DELISTED
GOODYEAR TIRE & RUBR CO PFD CONV (OH)
GT.PRA
$5.13M 0.46%
80,545
-1,000
-1% -$63.7K
AAPL icon
13
Apple
AAPL
$4.95T
$4.65M 0.42%
272,944
-60,536
-18% -$1M
UTX.PRA
14
DELISTED
UNITED TECHNOLOGIES CORP CORP UNIT (DE)
UTX.PRA
$4.25M 0.38%
65,335
-4,570
-7% -$290K
WY.PRA
15
DELISTED
WEYERHAEUSER COMP PREF CONV SER A (WA)
WY.PRA
$3.87M 0.35%
+73,590
New +$3.87M
XOM icon
16
ExxonMobil
XOM
$642B
$3.82M 0.34%
44,365
-4,784
-10% -$431K
FLOT icon
17
iShares Floating Rate Bond ETF
FLOT
$10.2B
$3.79M 0.34%
74,692
– –
IGSB icon
18
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.9B
$3.78M 0.34%
71,860
– –
PPL.PRW
19
DELISTED
PPL CORP CORP UITS CONSISTING OF PUR CONTRACT JR SUB NTS
PPL.PRW
$3.69M 0.33%
68,615
+55
+0.1% +$2.96K
NEE.PRO
20
DELISTED
NEXTERA ENERGY INC UNITS EXPIRING 09/01/2015 (FL)
NEE.PRO
$3.67M 0.33%
+67,370
New +$3.77M
CMCSA icon
21
Comcast
CMCSA
$80.9B
$3.37M 0.3%
149,122
+6,250
+4% +$136K
GOOG icon
22
Alphabet (Google) Class C
GOOG
$3.99T
$3.25M 0.29%
149,157
+18,911
+15% +$418K
JPM icon
23
JPMorgan Chase
JPM
$947B
$3.23M 0.29%
62,461
-1,145
-2% -$61.4K
C icon
24
Citigroup
C
$223B
$2.85M 0.26%
58,665
+4,112
+8% +$208K
CSCO icon
25
Cisco
CSCO
$452B
$2.51M 0.23%
106,938
+23,222
+28% +$577K
1
2 3 4 5

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CHAM
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DP
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HTI
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AT
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SIA
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CIM
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BFA
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SSI Investment Management's Q3 2013 Portfolio in Review

As of Q3 2013, SSI Investment Management held 446 positions worth $1.11B, up 8.7% from $1.02B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

SSI Investment Management withdrew a net $614M in Q3 2013, closing 64 positions and reducing 104 holdings. Its most notable exit was Huntington Bancshars Inc. Pfd Ser A, an estimated $3.65M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 2.7% of assets, up from 2.4% a quarter earlier, followed by Financials and Technology.

Against the trend, SSI Investment Management opened a new position in Welltower Inc. worth $14.7M.

  • SSI Investment Management's largest Q3 2013 buy was Welltower Inc.: 254,750 shares worth $14.7M.
  • SSI Investment Management added most to Foot Locker in Q3 2013, an estimated $1.39M increase.
  • SSI Investment Management's biggest Q3 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $16.4M.
  • SSI Investment Management fully exited Huntington Bancshars Inc. Pfd Ser A in Q3 2013, selling an estimated $3.65M.
  • SSI Investment Management's ten largest holdings make up 19% of its $1.11B portfolio in Q3 2013.
  • SSI Investment Management opened 65 new positions and closed 64 in Q3 2013.
  • SSI Investment Management's portfolio value rose 8.7% quarter-over-quarter to $1.11B.

Based on SSI Investment Management's 13F filing for Q3 2013, filed 12 Nov 2013.