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October 2017 Portfolio Review

Summary

Portfolio is up +5.54% month-over-month including newly infused capital and gains from its purchases.

Unrealized gains rose, both incumbent holdings and newbie holdings. However, realized losses partially offset those paper gains.

Technology positions continue to lead the way. GDS Holdings, Salesforce.com, Nutanix, Box, Micron Technology and PayPal are newbie stars, whereas Microsoft and Intel are incumbent leaders.

Significant position initiations the past month include Highpower International, InfraCap MLP ETF, Oclaro, Momo, and 22nd Century Group.

Plan to add yielders in the coming weeks/months.

Schwab Portfolio Stats by October-End 2017

Total Account Value $

$197,804.57

Holdings #

36

1 Month Performance

w/o new capital & its gains -4,472.65:

+$10,381.63 (+5.54%) 

+5,908.98 (+3.15%)

YTD Performance

w/o new capital & its gains -4,472.65:

+$30,978.29 (+18.57%) 

+26,505.64 (+15.89%)

YoY Performance

w/o new capital & its gains -4,472.65:

+$37,851.33 (+23.66%)

+33,378.68 (+20.87%)

Infused New Capital into Portfolio

Gains in HPJ + AMZA & Loss in OCLR:

= $4,385

+$87.65 = 4,472.65

Highest YTD Account Value $ $197,804.57 (Oct.31.2017)
Equity Holdings Mkt Val $ $197,588.20 (Mkt Val: 99.89%)
Top 5 Hldgs MV % of Total 28.31% (MSFT PEP DIS DLR INTC)
US Mega Cap Equity % of Total 41.68% (12 holdings)
US Large Cap Equity % of Total 19.48% (7 holdings)
US Mid Cap Equity % of Total 10.64% (5 holdings)
US Small Cap Equity % of Total 11.84% (5 holdings)
US Micro Cap Equity % of Total 1.07% (1 holding)
International Equity % of Total

15.18% (6 holdings)

(2 mega, 1 large, 1 mid, 1 small, 1 micro)

Overall Cost Basis $ $135,261.25
Cash Position $216.37 (Mkt Val: 0.11%)
Incumbent (>5 Yrs) Holdings 47.69% Mkt Val (14 holdings)
Newbie (<5 Mos*) Holdings

52.20% Mkt Val (22 holdings)

[*2/18 BOX & CRM < 2Yrs]

Overall Net Unrealized Gain +$62,326.95 (+46.08%)
Incumbent Holdings Net U. Gain +$52,018.52 (+122.95%) 
Newbie Holdings Net U. Gain +$10,308.43 (+11.09%) 
2017 Net Realized Gain +$30,843.31 (+34.22%)
Long Term (>1Yr) Net Realized Gain +$34,446.66 (+75.37%)
Short Term (<1Yr) Net Realized Loss -$3,603.35 (-8.11%)
Incumbent Holdings Net Realized Gain +$31,235.70 (+95.73%)
Newbie Holdings Net Realized Loss -$247.30 (-0.49%) 
Investment Style Moderately Aggressive
Investment Objective Growth and Income
12-Mo Forward Dividend Yield $ ~$4,643.63
12-Mo Forward Dividend YOC % 3.43%
12-Mo Forward Yielders Only YOC % 5.76% (excluding non-dividend holdings)
Dividend Contributors 22 Holdings + TCEHY
Non-Dividend Positions 13 Holdings
2017 Dividends Expected Total Est. $4,260.30  (No Special Div This Year)
2017 Dividends YoY Growth $/% Est. +$886.49 / +26.28%
Sure SWAN/Long Term Hold: (26 out of 36 holdings) :D

Possible Reduce/Remove Watchlist:

(10 out of 36) : OCLR, KHC, DIS, T, KO,

XXII, MDLZ, MOMO, AMZA, GE

Sector Composition by Market Value

Sector Market Value % # Top Sector Holding
Tech 43.19% 15 MSFT
Tech US 30.81% 10 MSFT
Tech Foreign ADR 12.38% 5 JD
ConStaples 14.82% 5 PEP
REITs 11.31% 3 DLR
Utilities 6.21% 3 PEGI
Financials 6.21% 2 BAC
Health Care 4.91% 2 BMY
ConCyclicals 4.97% 1 DIS
Industrials 5.81% 3 HPJ
Telecom
1.71% 1 T
ETF 0.85% 1 AMZA

Sector Composition by Dividend Contribution

Sector Dividend Share % Dividend Share $ #

Top Dividend Contributor

ConStaples 17.08% 4/5 PEP
REITs 16.80% 3/3 DLR
Tech 16.23%
5/15 MSFT
Tech US 16.07%
4/10 MSFT
Tech Foreign ADR 0.17% 7.83 1/5 TCEHY
Utilities 15.01% 697 3/3 PEGI
Financials 10.16% 471.60 2/2 BX
ETF 8.96% 416 1/1 AMZA
HealthCare 6.12% 284 2/2 BMY
Telecom 4.22% 196 1/1 T
ConCyclicals 3.36% 156 1/1 DIS
Industrials 2.07% 96 1/3 GE
Total 100% 4,643.63 23/36 AMZA

Market Cap Composition by Market Value

Market Cap Market Value % # Top Sector Holding
Mega Cap 47.89% 14 MSFT
Large Cap 23.36% 8 DLR
Mid Cap 11.61% 6 CONE
Small Cap 13.09% 6 PEGI
Micro Cap 3.94% 2

HPJ

Market Cap Composition by Dividend Share

MarketCap Dividend Share % Dividend Share $ # Top Dividend Contributor
Mega Cap 44.90% 2,085.03 13/14 MSFT
Large Cap 20.74% 963.20 4/8 BX
Mid Cap 21.44% 995.40 4/6 AMZA
Small Cap 12.92% 600 2/6 PEGI
Mirco Cap 0% 0 0/2 -
Total 100% 4,643.63 23/36

Incumbent/Newbie Composition


Time Held Market Value% # Dividend Share % Dividend Share $ #
Incumbent 14 >5Yrs 47.88% 14 52.01% 2,415.20 14/14
Newbie 16 <5Mos & 2 <2Yrs 52.01% 22 47.99% 2,228.43 9/22
Total 99.89% 36 100% 4,643.63 23/36

Top 10 Holdings by Market Value

Stock Market Value % Sector
MSFT 8.41% Technology US
PEP 5.57% Consumer Staples
DIS 4.94% Consumer Cyclical
DLR 4.79% Equity REIT
INTC 4.60% Technology US
BAC 4.15% Financials
CONE 4.03% Equity REIT
KHC 3.91% Consumer Staples
JD 3.79% Technology Foreign ADR
BABA 3.74% Technology Foreign ADR

Top 10 Holdings by Cost Basis

Stock CB % Sector
DLR 6.27% Equity REIT
JD 6.02% Technology Foreign ADR
CONE 5.38% Equity REIT
BABA 5.07% Technology Foreign ADR
PEP 4.78% Consumer Staples
MSFT 3.88% Technology US
HPJ 3.84% Industrials
PEGI 3.57% Utilities
HASI 3.51% Mortgage REIT
OCLR 3.20% Technology US

Top Holdings by Annualized Unrealized Gain (>+10%)

Stock Annual Gain % Chg Previous* Time Held Sector
GDS +60.84% + +15.35% 4 Months Technology Foreign ADR
BOX +46.01% + +28.52% 1 Year Technology US
BAC +45.14% + +40.52% 6 Years Financials
NTNX +42.02% + +11.57% 4 Months Technology US
MU +34.89% + +19.73% 4 Months Technology US
CRM +32.97% + +24.28% 1.5 Years Technology US
MSFT +31.05% + +26.32% 7 Years Technology US
DIS +25.23%  ~ +25.54% 7 Years Consumer Cyclical
BMY +19.88% - +21.04% 7 Years Health Care
PFE +18.35% ~ +18.94% 7 Years Health Care
CSCO +17.89% ~ +17.37% 6 Years Technology US
INTC +17.79% + +12.57% 7 Years Technology US
MDLZ +16.75% ~ +16.17% 7 Years Consumer Staples
ORCL +16.72% + +15.17% 7 Years Technology US
PWR +14.68% + +13.59% 3 Months Industrials
KHC +13.98% - +16.40% 6 Years Consumer Staples
PYPL +13.41% + +0.08% 2 Months Technology US
DLR +11.69% + +9.15% 5 Months Equity REIT
KO +10.60% ~ +10.08% 7 Years Consumer Staples
PEP +10.08% ~ +10.35% 7 Years Consumer Staples

*Previous Annualized Gain is from the end of the 3rd Quarter 2017.

**In Bold and Italics : Newbie Holdings.

Top Holdings by Total Unrealized Gain $ (>+$3K)

Stock Gain $
MSFT +11.39K
DIS +6.24K
BAC +6.00K
INTC +5.05K
PEP +4.56K
KHC +3.82K
BMY +3.59K

Top Holdings by Total Unrealized Gain % (> +100%)

Stock Gain %
BAC +270.85%
MSFT +217.38%
DIS +176.62%
BMY +139.19%
PFE +128.43%
INTC +124.54%
MDLZ +117.22%
ORCL +117.06%
CSCO +107.35%

Newbie Leaders by Unrealized Gain $ (≥ +$300)

Stock Gain $
CRM +1,693.05
NTNX +1,686.48
BOX +1,314.20
GDS +1,187.73
MU +1,146.05
DLR +991.83
CONE +702.78
BABA +536.10
PWR +483.05
HPJ +454.73
PYPL +429.05
TCEHY +370.05

Newbie Leaders by Unrealized Gain % (≥ 5%)

Stock Gain % Time Held
GDS +60.84% < 4 Mos
CRM +49.45% < 2 Yrs
BOX +46.01% < 2 Yrs & < 5 Mos
NTNX +42.02% < 5 Mos
MU +34.89% "
PWR +14.68% "
PYPL +13.41% < 2 Mos
DLR +11.69% < 5 Mos
CONE +9.66% ~ 4 Mos
TCEHY +8.95% < 2 Mos
HPJ +8.75% < 1 Mo
BABA +7.82% < 3 Mos
BEP +5.94% < 4 Mos

12-Month Forward Dividend Mix

Stock
Dividend Share $ Dividend Share % AnnDiv Shares YOC
AMZA 416 8.96% 2.08 200 25.17%
MSFT 336 7.24% 1.68 200 6.41%
PEGI 336 7.24% 1.68 200 6.95%
BX* ~327.60 ~7.05% 2.73 120 8.25%
PEP 322 6.93% 3.22 100 4.98%
DLR 297.60 6.41% 3.72 80 3.51%
HASI 264 5.69% 1.32 200 5.56%
KHC 250 5.38% 2.50 100 6.40%
CONE 218.40 4.70% 1.68 130 3.00%
INTC 218 4.69% 1.09 200 5.38%
T 196 4.22% 1.96 100 6.83%
BEP 187 4.03% 1.87 100 5.87%
BIP 174 3.75% 1.74 100 4.30%
DIS 156 3.36% 1.56 100 4.41%
BMY 156 3.36% 1.56 100 6.05%
BAC 144 3.10% 0.48 300 6.50%
KO 133.20 2.87% 1.48 90 5.61%
PFE 128 2.76% 1.28 100 8.34%
CSCO 116 2.50% 1.16 100 7.04%
GE 96 2.07% 0.96 100 5.87%
MDLZ 88 1.90% 0.88 100 4.61%
ORCL 76 1.64% 0.76 100 3.24%
TCEHY 7.83 0.17% 0.0783 100 0.19%

*BX has a variable dividend which makes its dividend data change every quarter.

Year-to-Date Top Unrealized Gains & Losses %


Stock YTD Gain % Time Held Stock YTD Loss % Time Held
GDS +60.84% < 4 Months GE -36.20%
BOX +58.37% < 2 Years T -20.88%
CRM +49.49% < 2 Years KHC -11.44%
NTNX +42.02% < 4 Months JD -7.79% < 4 Months
MU +34.89% < 4 Months MDLZ -6.54%
MSFT +33.86%
ORCL +32.38%



INTC +25.42%
BAC +25.07%


PWR +14.68% < 4 Months

PYPL +13.41% < 1 Month
CSCO +13.00%
DLR +11.69% < 4 Months
KO +10.90%
NEP +8.13% < 4 Months
PFE +7.94%
BMY +5.51%
PEP +5.35%

*No indicated 'Time Held' means held long term 6 to 7 years already.

October Dividends Received

Stock Amount DivType
KO 37 Qualified
MDLZ 22 Qualified
CONE 54.60 Non-Qualified
UNIT 180 Cash
HASI 66 Cash
CSCO 29 Qualified
GE 48 Qualified
ORCL 19 Qualified
PEGI 126 Qualified
GDS -4 ADR Management Fee
Total 577.60 (581.60 : without fee)

October Trade Transactions & Realized Losses/Gains

Holding Action Shares Price MV $ Gain/Loss $ G/L%
KO Reduce -10 45.65 451.58 +187.68 +71.12%
UNIT Re-open 70 15.93 1,120.05
DLR Reduce -20 118.21 2,359.20 +1.82 +0.08%
ATRS Re-open 600 3.97 2,386.95
UNIT Add +80 15.40 1,236.95
BX Reduce -80 33.42 2,668.59 +9.43 +0.35%
CARA Re-open 100 13.66 1,370.95
AAOI Open 50 60.62 3,035.95
UNIT Close -150 15.07 2,255.50 -101.50 -4.31%
CARA Close -100 13.39 1,334.02 -36.93 -2.69%
ATRS Close -600 2.25 1,345.02 -1,041.93 -43.65%
AAOI Close -50 47.10 2,350.00 -685.95 -22.59%
OCLR Open 400 8.50 3,404.95
CARA Re-open 100 12.50 1,254.95
" Close -100 12.23 1,218.02 -36.93 -2.94%
PEGI Reduce -100 23.40 2,335.00 -108.95 -4.46%
OCLR Close -400 8.30 3,315.13 -89.82 -2.64%
HPJ Open 250 4.89 1,227.55
" Add +165 5.20 862.95
" Add +335 5.28 1,774.82
OCLR Reopen 350 8.47 2,969.31
Wired Funds Received
4,385.00
OCLR Add +150 8.45 1,272.45
HPJ Add +250 5.30 1,329.95
AMZA Open 200 8.24 1,652.95
NEP Close -100 39.00 3,894.96 +169.01 +4.54%
XXII Open 1,000 2.30 2,304.95
MOMO Open 60 29.44 1,771.35

In terms of realized gains this month, well the table tells it all: NOT GOOD, not good at all. The only consolation is that unrealized gains, both incumbent and newbie holdings, have risen, already cover my realized losses, and are poised to possibly continue rising further.

I'll probably focus more on completing my yield holdings goal first (that is, to reach ≥$5,000 in my 12-month forward dividend yield before 2017 ends or during the 1st quarter of 2018), These stocks, though slow moving, generally decline way less than pure growth and speculative stocks, bar any extreme or substantial internal company problems or external sector/market conditions.

CURRENT ACTIONS Towards HOLDINGS

> Sure SWAN/Long Term Hold Action: 26 / 36

What I deem as my "Sleep Well At Night" holdings for now make up the majority of my portfolio with 15 growth yielders and 11 pure growth plays.

  • Yield and Growth: 15 / 26
DLR CONE PEP MSFT PEGI HASI INTC BIP
BX BEP BMY ORCL BAC CSCO PFE 15
  • Growth Only: 11 / 26
JD BABA HPJ TCEHY NTNX CRM
PWR MU PYPL BOX GDS 11

> Watchlist for Possible Reduction or Removal: 10 / 36

  • Yield and Growth: 7 / 10
KHC DIS T KO
MDLZ AMZA GE 7
  • Growth Only: 3 / 10 
OCLR XXII MOMO 3


Top Prospective Buys for Q4 2017 until Q1 2018

> Existing position increase and former position re-introduction:

  • Yield and Growth: 6 Candidates
BEP PEGI BX AMZA NEP UNIT

*in Bold and Italics: most likely to be re-opened or increased.

NextEra Energy Partners LP (NEP), Uniti Group (UNIT), Pattern Energy Group (PEGI), Blackstone Group LP (BX), Brookfield Renewable Partners (BEP), and InfraCap MLP ETF (AMZA) are priority-level holdings in increasing their position in the portfolio as they primarily focus on yield coupled with certain growth or value potentials.

  • Growth Only: 5 Candidates
HPJ JD MOMO CARA AMD

> New Prospective Position Initiations

  • Yield and Growth: 5 Candidates
ENB PAC LMRK AM PEI
  • Growth Only: 21 Candidates
MTZ MOMO OTCPK:SFTBY TAL
NPTN BOTZ XXII
INXN CLDR TWMJF FN AMAT
LIT SRPT
SWCH FNSR
OTCPK:BYDDY PEI TRXC ENPH SEDG

*in Bold and green background : recently added = MOMO & XXII. 

**Bold and Italics : most likely to be newly initiated in the coming quarter or two.


October-End Detailed Portfolio Summary

Disclosure: I am/we are long DLR, JD, CONE, BABA, PEP, MSFT, HPJ, PEGI, HASI, TCEHY, INTC, BIP, NTNX, BX, CRM, PWR, MU, PYPL, BEP, BOX, BMY, ORCL, BAC, GDS, CSCO, PFE.

Additional disclosure: Not currently in the portfolio, but I am also LONG with NEP.

I am NOT currently long with my positions in OCLR, KHC, DIS, T, KO, XXII, MDLZ, MOMO, AMZA and GE.