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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
+0.15%
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
$1.09B
AUM Growth
-$38.4M
Cap. Flow
-$748M
Cap. Flow %
-68.49%
Top 10 Hldgs %
21.3%
Holding
319
New
17
Increased
22
Reduced
88
Closed
17

Top Buys

Rank Stock Value
1
LMBS icon
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
+$3.52M
2
ARNC.PRB
Arconic Inc.
ARNC.PRB
+$2.84M
3
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$2.53M
4
KEY.PRG
KeyCorp Pfd
KEY.PRG
+$2.36M
5
BKLN icon
Invesco Senior Loan ETF
BKLN
+$2.33M

Top Sells

Rank Stock Value
1
FTRPR
Frontier Communications Corporation 11.125% Series A Mandatory Convertible Preferred Stock
FTRPR
+$6.97M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$3.44M
3
CCI.PRA
Crown Castle International Corp.
CCI.PRA
+$3.25M
4
FCAM
Fiat Chrysler Automobiles N.V.
FCAM
+$2.96M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$2.89M

Sector Composition

Rank Sector Weight
1 Financials 0.81%
2 Industrials 0.55%
3 Healthcare 0.53%
4 Technology 0.52%
5 Communication Services 0.47%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
1
iShares Core S&P 500 ETF
IVV
$876B
$45.3M 4.15%
201,307
-10,055
-5% -$2.21M
AGN.PRA
2
DELISTED
Allergan plc
AGN.PRA
$25.5M 2.34%
33,508
+711
+2% +$537K
WFC.PRL icon
3
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.66B
$18.5M 1.7%
15,581
-2,027
-12% -$2.51M
BAC.PRL icon
4
Bank of America Series L
BAC.PRL
$3.95B
$17.5M 1.6%
14,965
-132
-0.9% -$157K
AGG icon
5
iShares Core US Aggregate Bond ETF
AGG
$138B
$14.4M 1.32%
133,075
-2,031
-2% -$223K
ANTX
6
DELISTED
Anthem, Inc.
ANTX
$13M 1.19%
276,447
+49,040
+22% +$2.2M
WPXP
7
DELISTED
WPX Energy, Inc.
WPXP
$9.61M 0.88%
146,485
+6,615
+5% +$402K
SPY icon
8
State Street SPDR S&P 500 ETF Trust
SPY
$778B
$9.4M 0.86%
42,049
-13,229
-24% -$2.89M
SWNC
9
DELISTED
Southwestern Energy Company
SWNC
$9.09M 0.83%
357,120
+6,005
+2% +$164K
DCUC
10
DELISTED
Dominion Energy, Inc.
DCUC
$8.75M 0.8%
173,565
+3,270
+2% +$164K
FLOT icon
11
iShares Floating Rate Bond ETF
FLOT
$10.1B
$8.33M 0.76%
164,179
+8,748
+6% +$444K
KEY.PRG
12
DELISTED
KeyCorp Pfd
KEY.PRG
$8.15M 0.75%
60,734
+17,430
+40% +$2.36M
IWD icon
13
iShares Russell 1000 Value ETF
IWD
$82B
$7.99M 0.73%
71,345
+10,584
+17% +$1.14M
TMUSP
14
DELISTED
T-Mobile US, Inc.5.50% Mandatory Convertible Preferred Stock, Series A
TMUSP
$7.69M 0.7%
81,575
+5,085
+7% +$441K
NEE.PRQ
15
DELISTED
NextEra Energy, Inc.
NEE.PRQ
$6.55M 0.6%
114,045
+3,975
+4% +$231K
FEX icon
16
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.58B
$6.37M 0.58%
130,642
+19,640
+18% +$933K
WELL.PRI
17
DELISTED
Welltower Inc.
WELL.PRI
$5.96M 0.55%
98,986
+1,120
+1% +$67.8K
FTRPR
18
DELISTED
Frontier Communications Corporation 11.125% Series A Mandatory Convertible Preferred Stock
FTRPR
$5.94M 0.54%
83,467
-90,955
-52% -$6.97M
AMT.PRA
19
DELISTED
American Tower Corporation
AMT.PRA
$5.68M 0.52%
54,146
-24,538
-31% -$2.62M
RYAM.PRA
20
DELISTED
Rayonier Advanced Materials Inc. 8.00% Series A Mandatory Convertible Preferred Stock
RYAM.PRA
$4.63M 0.42%
40,000
– –
KMI.PRA
21
DELISTED
Kinder Morgan, Inc.
KMI.PRA
$4.52M 0.41%
91,740
+1,825
+2% +$88.2K
IRDMB
22
DELISTED
Iridium Communications Inc - 6.75% Series B
IRDMB
$4.28M 0.39%
12,496
– –
IYW icon
23
iShares US Technology ETF
IYW
$23.7B
$4.01M 0.37%
133,528
+44
+0% +$1.31K
EXCU
24
DELISTED
Exelon Corporation
EXCU
$3.83M 0.35%
78,840
+1,835
+2% +$85.9K
LMBS icon
25
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.32B
$3.49M 0.32%
+66,971
New +$3.52M
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 Q4 2016 Portfolio in Review

As of Q4 2016, SSI Investment Management held 319 positions worth $1.09B, down 3.4% from $1.13B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

SSI Investment Management withdrew a net $748M in Q4 2016, closing 17 positions and reducing 88 holdings. Its most notable exit was iShares 20+ Year Treasury Bond ETF, an estimated $3.44M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.81% of assets, up from 0.62% a quarter earlier, followed by Industrials and Healthcare.

Against the trend, SSI Investment Management opened a new position in First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF worth $3.49M.

  • SSI Investment Management's largest Q4 2016 buy was First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF: 66,971 shares worth $3.49M.
  • SSI Investment Management added most to KeyCorp Pfd in Q4 2016, an estimated $2.36M increase.
  • SSI Investment Management's biggest Q4 2016 reduction was Frontier Communications Corporation 11.125% Series A Mandatory Convertible Preferred Stock, cutting an estimated $6.97M.
  • SSI Investment Management fully exited iShares 20+ Year Treasury Bond ETF in Q4 2016, selling an estimated $3.44M.
  • SSI Investment Management's ten largest holdings make up 21% of its $1.09B portfolio in Q4 2016.
  • SSI Investment Management opened 17 new positions and closed 17 in Q4 2016.
  • SSI Investment Management's portfolio value fell 3.4% quarter-over-quarter to $1.09B.

Based on SSI Investment Management's 13F filing for Q4 2016, filed 10 Feb 2017.