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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
-0.51%
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
$1.03B
AUM Growth
-$7.29M
Cap. Flow
-$442M
Cap. Flow %
-43.12%
Top 10 Hldgs %
23.03%
Holding
439
New
67
Increased
74
Reduced
84
Closed
48

Top Buys

Rank Stock Value
1
AA.PRB
Alcoa Inc
AA.PRB
+$7.93M
2
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$4.84M
3
TSNU
Tyson Foods, Inc.
TSNU
+$3.9M
4
EXCU
Exelon Corporation
EXCU
+$2.51M
5
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$2.34M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$18.4M
2
ALR.PRB
Alere Inc
ALR.PRB
+$7.64M
3
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$4.95M
4
MLU
METLIFE, INC. COM EQUITY UNIT
MLU
+$4.33M
5
WELL.PRI
Welltower Inc.
WELL.PRI
+$2.46M

Sector Composition

Rank Sector Weight
1 Financials 1.74%
2 Healthcare 1.2%
3 Industrials 1.19%
4 Technology 1.11%
5 Communication Services 0.97%
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
$779B
$46.5M 4.53%
235,946
-92,841
-28% -$18.4M
WFC.PRL icon
2
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.67B
$15.1M 1.47%
12,519
+4,003
+47% +$4.84M
BAC.PRL icon
3
Bank of America Series L
BAC.PRL
$3.96B
$14.6M 1.43%
12,771
+2,014
+19% +$2.34M
WELL.PRI
4
DELISTED
Welltower Inc.
WELL.PRI
$11.6M 1.13%
203,182
-41,695
-17% -$2.46M
KEY.PRG
5
DELISTED
KeyCorp Pfd
KEY.PRG
$8.95M 0.87%
68,616
-5,895
-8% -$776K
AA.PRB
6
DELISTED
Alcoa Inc
AA.PRB
$7.96M 0.78%
+159,650
New +$7.93M
DCUA
7
DELISTED
DOMINION RESOURCES INC. CORP UNIT 2013 SER A (VA)
DCUA
$4.66M 0.45%
83,239
+1,166
+1% +$65.9K
MTCN
8
DELISTED
ARCELORMITTAL 6% MANDATORILTY CONV SUB NT DUE 2016 (LUX)
MTCN
$4.31M 0.42%
203,500
-28,450
-12% -$636K
NEE.PRO
9
DELISTED
NEXTERA ENERGY INC UNITS EXPIRING 09/01/2015 (FL)
NEE.PRO
$4.14M 0.4%
69,078
+330
+0.5% +$20.4K
RPT.PRD
10
DELISTED
RPT Realty 7.25% Series D Cumulative Convertible Perpetual Preferred Shares of Beneficial Interest
RPT.PRD
$4.07M 0.4%
67,700
-2,300
-3% -$143K
FLOT icon
11
iShares Floating Rate Bond ETF
FLOT
$10.2B
$4.06M 0.4%
79,812
– –
IGSB icon
12
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.9B
$4.04M 0.39%
76,790
– –
TSNU
13
DELISTED
Tyson Foods, Inc.
TSNU
$3.98M 0.39%
+79,080
New +$3.9M
IRDMB
14
DELISTED
Iridium Communications Inc - 6.75% Series B
IRDMB
$3.94M 0.38%
11,600
-1,400
-11% -$468K
SWU
15
DELISTED
STANLEY BLACK & DECKER INC CORP UNIT
SWU
$3.33M 0.33%
25,557
+162
+0.6% +$21.5K
UTX.PRA
16
DELISTED
UNITED TECHNOLOGIES CORP CORP UNIT (DE)
UTX.PRA
$3.25M 0.32%
55,318
+4
+0% +$244
GOOG icon
17
Alphabet (Google) Class C
GOOG
$3.99T
$2.96M 0.29%
101,097
+19,052
+23% +$551K
EXCU
18
DELISTED
Exelon Corporation
EXCU
$2.52M 0.25%
+49,665
New +$2.51M
CCI.PRA
19
DELISTED
Crown Castle International Corp.
CCI.PRA
$2.23M 0.22%
21,366
+371
+2% +$38.1K
WY.PRA
20
DELISTED
WEYERHAEUSER COMP PREF CONV SER A (WA)
WY.PRA
$1.98M 0.19%
36,624
-51
-0.1% -$2.88K
AAPL icon
21
Apple
AAPL
$4.92T
$1.95M 0.19%
77,296
-780
-1% -$19.1K
HBANP
22
DELISTED
Huntington Bancshars Inc. Pfd Ser A
HBANP
$1.93M 0.19%
1,456
– –
JPM icon
23
JPMorgan Chase
JPM
$943B
$1.79M 0.17%
29,701
-750
-2% -$43.8K
GE icon
24
GE Aerospace
GE
$373B
$1.7M 0.17%
13,838
+1,221
+10% +$152K
AMT.PRA
25
DELISTED
American Tower Corporation
AMT.PRA
$1.7M 0.17%
15,775
-22
-0.1% -$2.42K
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 2014 Portfolio in Review

As of Q3 2014, SSI Investment Management held 439 positions worth $1.03B, down 0.71% from $1.03B the previous quarter. Its ten largest holdings account for 23% of the portfolio.

SSI Investment Management withdrew a net $442M in Q3 2014, closing 48 positions and reducing 84 holdings. Its most notable exit was Alere Inc, an estimated $7.64M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.7% of assets, up from 1.7% a quarter earlier, followed by Healthcare and Industrials.

Against the trend, SSI Investment Management opened a new position in Alcoa Inc worth $7.96M.

  • SSI Investment Management's largest Q3 2014 buy was Alcoa Inc: 159,650 shares worth $7.96M.
  • SSI Investment Management added most to Wells Fargo 7.5% Non Cumv Perp Conv in Q3 2014, an estimated $4.84M increase.
  • SSI Investment Management's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $18.4M.
  • SSI Investment Management fully exited Alere Inc in Q3 2014, selling an estimated $7.64M.
  • SSI Investment Management's ten largest holdings make up 23% of its $1.03B portfolio in Q3 2014.
  • SSI Investment Management opened 67 new positions and closed 48 in Q3 2014.
  • SSI Investment Management's portfolio value fell 0.71% quarter-over-quarter to $1.03B.

Based on SSI Investment Management's 13F filing for Q3 2014, filed 12 Nov 2014.