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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
+1.81%
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
$1.5B
AUM Growth
+$129M
Cap. Flow
-$880M
Cap. Flow %
-58.61%
Top 10 Hldgs %
22.48%
Holding
298
New
20
Increased
24
Reduced
84
Closed
6

Top Buys

Rank Stock Value
1
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$23.2M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$15.6M
3
SWT
Stanley Black & Decker, Inc.
SWT
+$10.7M
4
ENR.PRA
Energizer Holdings, Inc. 7.50% Series A Mandatory Convertible Preferred Stock
ENR.PRA
+$4.61M
5
ACWX icon
iShares MSCI ACWI ex US ETF
ACWX
+$4.11M

Top Sells

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$6.07M
2
SWP
Stanley Black & Decker, Inc. Corporate Units
SWP
+$5.38M
3
FTV.PRA
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
+$1.65M
4
FTCS icon
First Trust Capital Strength ETF
FTCS
+$1.58M
5
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$769K

Sector Composition

Rank Sector Weight
1 Utilities 0.87%
2 Technology 0.66%
3 Financials 0.62%
4 Healthcare 0.48%
5 Communication Services 0.35%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
1
iShares Core S&P 500 ETF
IVV
$871B
$84.5M 5.62%
261,404
+50,528
+24% +$15.6M
WFC.PRL icon
2
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.69B
$32.9M 2.19%
22,768
+139
+0.6% +$205K
BAC.PRL icon
3
Bank of America Series L
BAC.PRL
$3.98B
$28.1M 1.87%
19,392
+288
+2% +$427K
AVGOP
4
DELISTED
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$24.1M 1.6%
+20,639
New +$23.2M
AGG icon
5
iShares Core US Aggregate Bond ETF
AGG
$138B
$20.5M 1.37%
182,653
+21,825
+14% +$2.46M
BDXA
6
DELISTED
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6
BDXA
$20.1M 1.34%
306,497
+2,630
+0.9% +$163K
DHR.PRA
7
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16.8M 1.12%
14,275
+177
+1% +$199K
SRE.PRA
8
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
$14.3M 0.95%
119,249
-2,100
-2% -$247K
CCI.PRA
9
DELISTED
Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A
CCI.PRA
$14.1M 0.94%
11,007
+59
+0.5% +$72.4K
SOLN
10
DELISTED
The Southern Company
SOLN
$13.1M 0.87%
244,175
+920
+0.4% +$48.7K
AVTR.PRA
11
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$11.3M 0.75%
178,740
+11,955
+7% +$682K
SWT
12
DELISTED
Stanley Black & Decker, Inc.
SWT
$11M 0.73%
+101,170
New +$10.7M
FTV.PRA
13
DELISTED
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
$10.9M 0.73%
11,213
-1,772
-14% -$1.65M
DCUE
14
DELISTED
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
$9.79M 0.65%
91,708
+2,218
+2% +$235K
NEE.PRO
15
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$9.69M 0.65%
188,950
+2,690
+1% +$135K
CHNGU
16
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
$9.51M 0.63%
158,560
+9,770
+7% +$502K
ENR.PRA
17
DELISTED
Energizer Holdings, Inc. 7.50% Series A Mandatory Convertible Preferred Stock
ENR.PRA
$9.04M 0.6%
86,480
+46,480
+116% +$4.61M
CFXA
18
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$8.72M 0.58%
55,400
+25,400
+85% +$3.66M
LMBS icon
19
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$8.32M 0.55%
160,717
+20,976
+15% +$1.09M
CNP.PRB
20
DELISTED
CenterPoint Energy, Inc. Depositary Shares Each Representing a 1/20th Interest in a Share of 7.00% S
CNP.PRB
$8.17M 0.54%
167,560
+14,100
+9% +$688K
QTS.PRB
21
DELISTED
QTS Realty Trust, Inc. 6.50% Series B Cumulative Convertible Perpetual Preferred Stock
QTS.PRB
$7.73M 0.51%
60,025
+24,025
+67% +$3.01M
AEPPL
22
DELISTED
American Electric Power Company, Inc. Corporate Unit
AEPPL
$6.36M 0.42%
117,490
-690
-0.6% -$37.3K
WTRU
23
DELISTED
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$5.77M 0.38%
92,565
-315
-0.3% -$19K
FLG.PRU
24
Flagstar Bank National Association Bifurcated Option Note Unit Securities
FLG.PRU
$119M
$5.53M 0.37%
109,000
+4,000
+4% +$202K
IYW icon
25
iShares US Technology ETF
IYW
$23B
$5.41M 0.36%
93,036
+19,344
+26% +$1.05M
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 2019 Portfolio in Review

As of Q4 2019, SSI Investment Management held 298 positions worth $1.5B, up 9.4% from $1.37B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

SSI Investment Management withdrew a net $880M in Q4 2019, closing 6 positions and reducing 84 holdings. Its most notable exit was D.R. Horton, an estimated $318K position sold in full.

By sector, the portfolio is most concentrated in Utilities at 0.87% of assets, down from 0.95% a quarter earlier, followed by Technology and Financials.

Against the trend, SSI Investment Management opened a new position in Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A worth $24.1M.

  • SSI Investment Management's largest Q4 2019 buy was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A: 20,639 shares worth $24.1M.
  • SSI Investment Management added most to iShares Core S&P 500 ETF in Q4 2019, an estimated $15.6M increase.
  • SSI Investment Management's biggest Q4 2019 reduction was iShares 1-3 Year Treasury Bond ETF, cutting an estimated $6.07M.
  • SSI Investment Management fully exited D.R. Horton in Q4 2019, selling an estimated $318K.
  • SSI Investment Management's ten largest holdings make up 22% of its $1.5B portfolio in Q4 2019.
  • SSI Investment Management opened 20 new positions and closed 6 in Q4 2019.
  • SSI Investment Management's portfolio value rose 9.4% quarter-over-quarter to $1.5B.

Based on SSI Investment Management's 13F filing for Q4 2019, filed 12 Feb 2020.