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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
+0.62%
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
$1.37B
AUM Growth
+$27.2M
Cap. Flow
-$893M
Cap. Flow %
-65.05%
Top 10 Hldgs %
21.59%
Holding
299
New
11
Increased
14
Reduced
65
Closed
12

Top Buys

Rank Stock Value
1
SOLN
The Southern Company
SOLN
+$12.8M
2
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$9.16M
3
DCUE
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
+$8.18M
4
FTCS icon
First Trust Capital Strength ETF
FTCS
+$4.19M
5
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$3.83M

Top Sells

Rank Stock Value
1
NEE.PRR
NextEra Energy, Inc.
NEE.PRR
+$10.8M
2
DCUD
Dominion Energy, Inc 2016 Series A Corporate Units
DCUD
+$7.07M
3
DTV
DTE Energy Company 2016 Corporate Units
DTV
+$4.89M
4
IFFT
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
+$3.58M
5
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$3.25M

Sector Composition

Rank Sector Weight
1 Utilities 0.95%
2 Technology 0.61%
3 Financials 0.59%
4 Healthcare 0.4%
5 Communication Services 0.38%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
1
iShares Core S&P 500 ETF
IVV
$871B
$63M 4.58%
210,876
+9,001
+4% +$2.68M
WFC.PRL icon
2
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.69B
$33.8M 2.46%
22,629
-1,912
-8% -$2.73M
BAC.PRL icon
3
Bank of America Series L
BAC.PRL
$3.98B
$28.4M 2.07%
19,104
-2,273
-11% -$3.25M
BDXA
4
DELISTED
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6
BDXA
$18.8M 1.37%
303,867
-755
-0.2% -$46.8K
AGG icon
5
iShares Core US Aggregate Bond ETF
AGG
$138B
$18.2M 1.33%
160,828
-2,202
-1% -$248K
DHR.PRA
6
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16.1M 1.17%
14,098
+409
+3% +$463K
SRE.PRA
7
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
$14.3M 1.04%
121,349
-1,295
-1% -$148K
CCI.PRA
8
DELISTED
Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A
CCI.PRA
$13.8M 1.01%
10,948
+165
+2% +$207K
SOLN
9
DELISTED
The Southern Company
SOLN
$13M 0.95%
+243,255
New +$12.8M
FTV.PRA
10
DELISTED
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
$11.7M 0.85%
12,985
+2,877
+28% +$2.73M
DCUE
11
DELISTED
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
$9.46M 0.69%
89,490
+79,490
+795% +$8.18M
NEE.PRO
12
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$9.34M 0.68%
+186,260
New +$9.16M
AVTR.PRA
13
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$8.9M 0.65%
166,785
+64,000
+62% +$3.83M
CNP.PRB
14
DELISTED
CenterPoint Energy, Inc. Depositary Shares Each Representing a 1/20th Interest in a Share of 7.00% S
CNP.PRB
$8.02M 0.58%
153,460
+1,955
+1% +$99.4K
LMBS icon
15
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$7.26M 0.53%
139,741
-126
-0.1% -$6.54K
CHNGU
16
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
$7.1M 0.52%
148,790
+46,120
+45% +$2.47M
SWP
17
DELISTED
Stanley Black & Decker, Inc. Corporate Units
SWP
$7M 0.51%
69,614
+15,505
+29% +$1.54M
SHY icon
18
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$6.55M 0.48%
77,221
– –
AEPPL
19
DELISTED
American Electric Power Company, Inc. Corporate Unit
AEPPL
$6.51M 0.47%
118,180
+12,340
+12% +$685K
WTRU
20
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$5.63M 0.41%
92,880
-10,300
-10% -$602K
FLG.PRU
21
Flagstar Bank National Association Bifurcated Option Note Unit Securities
FLG.PRU
$119M
$5.25M 0.38%
105,000
-15,000
-13% -$734K
QTS.PRB
22
DELISTED
QTS Realty Trust, Inc. 6.50% Series B Cumulative Convertible Perpetual Preferred Stock
QTS.PRB
$4.37M 0.32%
36,000
+3,500
+11% +$402K
IFFT
23
DELISTED
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
$4.29M 0.31%
91,575
-73,400
-44% -$3.58M
FTCS icon
24
First Trust Capital Strength ETF
FTCS
$8.03B
$4.18M 0.3%
+73,637
New +$4.19M
CFXA
25
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$3.91M 0.28%
30,000
-4,250
-12% -$527K
1
2 3 4 5

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VIP
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CHAM
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DP
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HTI
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AT
Avalon Trust Santa Fe, New Mexico $1.45B AUM 35.31% 1-Year Est. Return
SIA
Strategic Investment Advisors Farmington Hills, Michigan $1.45B AUM 17.59% 1-Year Est. Return
CIM
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BFA
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SSI Investment Management's Q3 2019 Portfolio in Review

As of Q3 2019, SSI Investment Management held 299 positions worth $1.37B, up 2% from $1.35B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

SSI Investment Management withdrew a net $893M in Q3 2019, closing 12 positions and reducing 65 holdings. Its most notable exit was NextEra Energy, Inc., an estimated $10.8M position sold in full.

By sector, the portfolio is most concentrated in Utilities at 0.95% of assets, followed by Technology and Financials.

Against the trend, SSI Investment Management opened a new position in The Southern Company worth $13M.

  • SSI Investment Management's largest Q3 2019 buy was The Southern Company: 243,255 shares worth $13M.
  • SSI Investment Management added most to Dominion Energy, Inc. 2019 Series A Corporate Units in Q3 2019, an estimated $8.18M increase.
  • SSI Investment Management's biggest Q3 2019 reduction was International Flavors & Fragrances Inc. 6.00% Tangible Equity Units, cutting an estimated $3.58M.
  • SSI Investment Management fully exited NextEra Energy, Inc. in Q3 2019, selling an estimated $10.8M.
  • SSI Investment Management's ten largest holdings make up 22% of its $1.37B portfolio in Q3 2019.
  • SSI Investment Management opened 11 new positions and closed 12 in Q3 2019.
  • SSI Investment Management's portfolio value rose 2% quarter-over-quarter to $1.37B.

Based on SSI Investment Management's 13F filing for Q3 2019, filed 12 Nov 2019.