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  Name: ROTELLA CAPITAL MANAGEMENT, INC.
  City: BELLEVUE
  State: WA
  Zip: 98004
   
Achive data
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Portfolio Summary View Filing
  Filing Report Date : 2013-09-30
  Total Value : $53,737,000
  Total Value Change : $22,346,000
  Securities Held Change : -10
   
All Securities Held : 132
  New Positions : 52
  Closed Positions : 83
  Increased Positions : 46
  Unchanged Positions : 4
  Decreased Positions : 30
 
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Holdings Found : 100     View All Holdings Currently Viewing:  ALL     Page 1 of 1
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Ticker Company Name Position
Rank
New/Closed
Postion
Last
Close
    Value Shares Held
% of
Portfolio
Value
Change
Change In
Shares Held
   % of Company    Industry
   (CSJ)1 Year Chart         CSJ iShares Barclays 1-3 Year C... 1 - $105.48 $2,790,000 26,500 5.19% 1,960,000 18,600 0.029    Closed - End Fund - E...
   (SPY)1 Year Chart         SPY Standard & Poors Depository... 2 - $186.13 $2,723,000 16,200 5.07% 892,000 4,786 0.002    Closed - End Fund - E...
   (IWM)1 Year Chart         IWM iShares Tr Russell 2000 Indx 3 - $112.36 $2,548,000 23,900 4.74% 1,365,000 11,700 0.003    Closed - End Fund - E...
   (DIA)1 Year Chart         DIA Diamonds Trust 4 - $164.02 $2,325,000 15,400 4.33% 1,151,000 7,500 0.016    Closed - End Fund - E...
   (VIG)1 Year Chart         VIG Vanguard Dividend Appreciat... 5 - $75.45 $2,123,000 30,500 3.95% 475,000 5,600 0.014    Closed - End Fund - Debt
   (MDY)1 Year Chart         MDY Standrd Poor Mdcp 400 SPDR 6 - $245.25 $1,993,000 8,805 3.71% 794,000 3,100 0.014    Closed - End Fund - E...
   (QQQ)1 Year Chart         QQQ Powershares QQQ Trust 7 - $86.18 $1,585,000 20,100 2.95% -1,665,000 -25,500 0.002    Closed - End Fund - Debt
   (XLB)1 Year Chart         XLB SPDR Materials Select Sector 8 - $47.37 $1,457,000 34,700 2.71% 882,000 19,700 0.039    Closed - End Fund - E...
   (FXI)1 Year Chart         FXI iShares FTSE/Xinhua China 25 9 New $35.73 $1,413,000 38,100 2.63% 1,413,000 38,100 0.004    Closed - End Fund - E...
   (SHY)1 Year Chart         SHY Ishares Barclays 1-3 Treasu... 10 - $84.53 $1,292,000 15,300 2.4% 1,292,000 15,300 0.013    Closed - End Fund - E...
   (IVV)1 Year Chart         IVV iShares Core S&P 500 Etf 11 - $187.25 $1,182,000 7,000 2.2% 635,000 3,600 0.005    Closed - End Fund - E...
   (IJR)1 Year Chart         IJR iShares Core S&P Small-Cap 12 - $107.41 $1,157,000 11,600 2.15% 109,000 0 0.002    Closed - End Fund - E...
   (IJH)1 Year Chart         IJH iShares S&P MidCap 400 Index 13 - $134.51 $1,105,000 8,900 2.06% 793,000 6,200 0.001    Closed - End Fund - E...
   (OIH)1 Year Chart         OIH Oil Service HOLDRs Trust 14 - $50.92 $1,083,000 23,000 2.02% 805,000 16,500 0.026    Closed - End Fund - E...
   (XLI)1 Year Chart         XLI SPDR Industrial Sector 15 - $52.34 $1,016,000 21,900 1.89% 700,000 14,500 0.002    Closed - End Fund - E...
   (XLV)1 Year Chart         XLV SPDR Select Sector Health 16 - $56.90 $991,000 19,600 1.84% 667,000 12,800 0.003    Closed - End Fund - E...
   (SDY)1 Year Chart         SDY streetTRACKS Series Trust -... 17 - $73.99 $910,000 13,200 1.69% 35,000 0 0.001    Closed - End Fund - E...
   (SMH)1 Year Chart         SMH Market Vectors Semiconductor 18 - $44.55 $886,000 22,200 1.65% 468,000 11,100 0.025    N/A
   (EEM)1 Year Chart         EEM iShares MSCI Emrg Mkt Income 19 - $41.63 $885,000 21,700 1.65% -636,000 -17,800 0.001    Closed - End Fund - E...
   (VWO)1 Year Chart         VWO Vanguard Emerging Markets S... 20 New $41.07 $878,000 21,900 1.63% 878,000 21,900 0.001    Closed - End Fund - E...
   (JNK)1 Year Chart         JNK Spdr Lehman Hyb Etf 21 - $41.29 $801,000 20,100 1.49% 801,000 20,100 0.002    Closed - End Fund - E...
   (HYG)1 Year Chart         HYG iShares iBoxx $ High Yield ... 22 - $94.23 $797,000 8,700 1.48% 797,000 8,700 0.001    Closed - End Fund - E...
   (FLOT)1 Year Chart         FLOT Ishares Floating Rate Note ... 23 - $50.70 $659,000 13,000 1.23% 1,000 0 0.014    N/A
   (PHB)1 Year Chart         PHB PowerShares High Yield Corp... 24 - $19.45 $653,000 34,700 1.22% 653,000 34,700 0.039    Closed - End Fund - Debt
   (MSFT)1 Year Chart         MSFT Microsoft Corp 25 - $40.40 $612,000 18,360 1.14% 612,000 18,360 0    Application Software
   (EWZ)1 Year Chart         EWZ iShares MSCI-Brazil 26 New $46.61 $585,000 12,200 1.09% 585,000 12,200 0.002    Closed - End Fund - E...
   (IYR)1 Year Chart         IYR iShares Dow Jones US Real E... 27 New $68.90 $580,000 9,100 1.08% 580,000 9,100 0.004    Closed - End Fund - E...
   (XLE)1 Year Chart         XLE SPDR Energy Sector 28 - $91.95 $539,000 6,500 1% 147,000 1,500 0.001    Closed - End Fund - E...
   (XLK)1 Year Chart         XLK SPDR Technology Sector 29 - $36.08 $538,000 16,800 1% -25,000 -1,600 0.002    Closed - End Fund - E...
   (SCPB)1 Year Chart         SCPB Spdr Series Trust Term Corp... 30 - $30.79 $523,000 17,000 0.97% 3,000 0 0.002    Closed - End Fund - Debt
   (WMT)1 Year Chart         WMT Wal-Mart Stores Inc 31 New $77.22 $520,000 7,028 0.97% 520,000 7,028 0    Discount, Variety Stores
   (SSO)1 Year Chart         SSO Ultra S&P500 ProShares 32 New $104.05 $516,000 6,100 0.96% 516,000 6,100 0.007    Closed - End Fund - E...
   (DDM)1 Year Chart         DDM Ultra Dow30 ProShares 33 New $113.35 $506,000 5,300 0.94% 506,000 5,300 0.006    Closed - End Fund - E...
   (PG)1 Year Chart         PG Procter & Gamble Co 34 New $81.65 $493,000 6,526 0.92% 493,000 6,526 0    Cleaning Products
   (JNJ)1 Year Chart         JNJ Johnson & Johnson 35 - $98.75 $475,000 5,474 0.88% 220,000 2,499 0    Drug Manufacturers - ...
   (LAG)1 Year Chart         LAG Spdr Lehmn Aggr Bd Etf 36 - $57.39 $456,000 8,000 0.85% 456,000 8,000 0.009    Closed - End Fund - E...
   (WIP)1 Year Chart         WIP Spdr Db Int Gov Bd 38 - $60.79 $453,000 7,600 0.84% 453,000 7,600 0    Closed - End Fund - E...
   (PLW)1 Year Chart         PLW PowerShares 1-30 Laddered T... 37 - $30.68 $453,000 15,000 0.84% 453,000 15,000 0.025    Closed - End Fund - Debt
   (GVI)1 Year Chart         GVI iShares Barclays Interm Gov... 39 - $110.38 $451,000 4,100 0.84% 451,000 4,100 0.023    Closed - End Fund - E...
   (PCY)1 Year Chart         PCY PowerShares Emerging Mkts S... 40 - $28.13 $451,000 16,500 0.84% 451,000 16,500 0    Closed - End Fund - E...
   (BSV)1 Year Chart         BSV Vanguard Short-Term Bond 41 - $80.20 $450,000 5,600 0.84% 450,000 5,600 0.001    Closed - End Fund - E...
   (BWX)1 Year Chart         BWX Spdr Brcly Cap Int Trs Bon 42 - $59.88 $449,000 7,700 0.84% 449,000 7,700 0.009    Closed - End Fund - E...
   (PZA)1 Year Chart         PZA Powershrs Ins Natmun Etf 43 - $24.25 $431,000 18,700 0.8% 431,000 18,700 0.052    Meat Products
   (TFI)1 Year Chart         TFI Spdr Brcly Cap Muni Bond 44 - $23.47 $429,000 18,800 0.8% 429,000 18,800 0.021    Closed - End Fund - E...
   (TRV)1 Year Chart         TRV Travelers Companies Inc 45 New $86.78 $409,000 4,825 0.76% 409,000 4,825 0.001    Property & Casualty I...
   (UTX)1 Year Chart         UTX United Technologies Corp 46 - $118.07 $399,000 3,700 0.74% 399,000 3,700 0    Conglomerates
   (EWT)1 Year Chart         EWT iShares MSCI-Taiwan 47 New $14.69 $359,000 25,800 0.67% 359,000 25,800 0.012    Closed - End Fund - E...
   (EFA)1 Year Chart         EFA iShares TR MSCI EAFE Indx FD 48 New $67.18 $357,000 5,600 0.66% 357,000 5,600 0.001    Closed - End Fund - E...
   (XLU)1 Year Chart         XLU SPDR Utilities Select 49 - $42.83 $351,000 9,400 0.65% 20,000 600 0.002    Closed - End Fund - E...
   (HD)1 Year Chart         HD Home Depot Inc 50 New $76.58 $349,000 4,600 0.65% 349,000 4,600 0    Home Improvement Stores
   (GS)1 Year Chart         GS Goldman Sachs Group Inc 51 New $157.22 $301,000 1,900 0.56% 301,000 1,900 0    Investment Brokerage ...
   (INTC)1 Year Chart         INTC Intel Corp 52 - $26.93 $295,000 12,892 0.55% 295,000 12,892 0    Semiconductor- Broad...
   (CVX)1 Year Chart         CVX Chevron Corp 53 New $121.83 $294,000 2,417 0.55% 294,000 2,417 0    Integrated Oil & Gas
   (QID)1 Year Chart         QID UltraShort QQQ ProShares 54 New $14.77 $291,000 15,300 0.54% 291,000 15,300 0.17    Closed - End Fund - E...
   (VZ)1 Year Chart         VZ Verizon Communications Inc 55 New $47.10 $277,000 5,942 0.52% 277,000 5,942 0    Telecom Services - Do...
   (PFE)1 Year Chart         PFE Pfizer Inc 56 - $30.09 $266,000 9,271 0.5% 45,000 1,397 0    Drug Manufacturers - ...
   (MMM)1 Year Chart         MMM 3M Co 57 New $136.77 $265,000 2,218 0.49% 265,000 2,218 0    Conglomerates
   (VXZ)1 Year Chart         VXZ Barclays Bank Plc 58 - $15.14 $263,000 14,000 0.49% -759,000 -30,300 0.016    Foreign Money Center ...
   (AXP)1 Year Chart         AXP American Express Co 60 New $87.40 $251,000 3,328 0.47% 251,000 3,328 0    Credit Services
   (GE)1 Year Chart         GE General Electric Co 59 New $26.12 $251,000 10,487 0.47% 251,000 10,487 0    Conglomerates
   (REGN)1 Year Chart         REGN Regeneron Pharmaceuticals Inc 61 - $300.14 $250,000 800 0.47% 250,000 800 0.001    Biotechnology
   (ALTR)1 Year Chart         ALTR Altera Corp 62 New $33.98 $249,000 6,700 0.46% 249,000 6,700 0.002    Semiconductor - Speci...
   (DD)1 Year Chart         DD EI DuPont de Nemours & Co 63 - $67.72 $248,000 4,236 0.46% 248,000 4,236 0    Diversified Chemicals
   (DIS)1 Year Chart         DIS Walt Disney Co 64 - $78.95 $245,000 3,800 0.46% 245,000 3,800 0    Entertainment - Diver...
   (XRAY)1 Year Chart         XRAY DENTSPLY International 65 New $44.70 $241,000 5,548 0.45% 241,000 5,548 0.004    Medical Instruments &...
   (LLTC)1 Year Chart         LLTC Linear Technology Corp 66 New $45.07 $238,000 6,000 0.44% 238,000 6,000 0.003    Semiconductor - Speci...
   (FDX)1 Year Chart         FDX Fedex Corp 67 New $133.75 $230,000 2,019 0.43% 230,000 2,019 0.001    AirDelivery & Freight...
   (ISRG)1 Year Chart         ISRG Intuitive Surgical Inc 68 New $415.13 $228,000 605 0.42% 228,000 605 0.002    Medical Appliances & ...
   (CMG)1 Year Chart         CMG Chipotle Mexican Grill Inc 69 New $552.40 $216,000 505 0.4% 216,000 505 0.002    Restaurants
   (AMGN)1 Year Chart         AMGN Amgen Inc 70 New $115.54 $213,000 1,900 0.4% 213,000 1,900 0    Biotechnology
   (STJ)1 Year Chart         STJ St Jude Medical Inc 72 New $62.04 $209,000 3,900 0.39% 209,000 3,900 0    Medical Appliances & ...
   (COST)1 Year Chart         COST Costco Wholesale Corp 71 New $113.49 $209,000 1,818 0.39% 209,000 1,818 0.002    Discount, Variety Stores
   (PCLN)1 Year Chart         PCLN Priceline.com Inc 74 - $1,212.25 $204,000 202 0.38% -127,000 -198 0    Internet Software & S...
   (MA)1 Year Chart         MA MasterCard Inc A 73 New $73.93 $2,040,000 3,030 0.38% 204,000 3,030 0    Business Services
   (RAD)1 Year Chart         RAD Rite Aid Corp 75 - $7.12 $174,000 36,600 0.32% 135,000 23,100 0.004    Drug Stores
   (NTWK)1 Year Chart         NTWK Netsol Technologies Inc 76 New $4.66 $162,000 16,187 0.3% 162,000 16,187 0.03    Application Software
   (EWJ)1 Year Chart         EWJ iShares MSCI-Japan 77 - $11.15 $152,000 12,800 0.28% -65,000 -6,500 0.001    Closed - End Fund - E...
   (SBLK)1 Year Chart         SBLK Star Bulk Carriers Corp 78 New $12.38 $119,000 11,753 0.22% 119,000 11,753 0.019    Water Transportation
   (WRES)1 Year Chart         WRES Warren Resources Inc 80 - $4.69 $65,000 22,208 0.12% -49,000 -22,500 0.031    Oil & Gas Equipment &...
   (SUMR)1 Year Chart         SUMR Summer Infant Inc 81 - $1.98 $62,000 22,277 0.12% 5,000 3,750 0.127    Personal Products
   (NCIT)1 Year Chart         NCIT Nci, Inc. 82 New $9.91 $58,000 10,270 0.11% 58,000 10,270 0.076    Information Technolog...
   (ALXA)1 Year Chart         ALXA Alexza Pharmaceuticals Inc. 83 - $4.10 $54,000 10,537 0.1% 11,000 537 0.015    Drug Manufacturers - ...
   (III)1 Year Chart         III Information Services Group ... 84 - $4.83 $52,000 12,592 0.1% -16,000 -22,553 0.035    Closed - End Fund - E...
   (INOD)1 Year Chart         INOD Innodata Corp 85 - $2.71 $49,000 19,077 0.09% -11,000 406 0.077    Internet Software & S...
   (ROIAK)1 Year Chart         ROIAK Radio One Inc 86 - $4.37 $46,000 16,990 0.09% -15,000 -9,472 0.034    Broadcasting - Radio
   (USEG)1 Year Chart         USEG US Energy Corp 87 New $4.09 $45,000 21,317 0.08% 45,000 21,317 0.098    Industrial Metals & M...
   (AXAS)1 Year Chart         AXAS Abraxas Petroleum Corp 88 - $4.96 $45,000 17,701 0.08% -21,000 -13,600 0    Independent Oil & Gas
   (LCAV)1 Year Chart         LCAV LCA Vision Inc 89 - $5.35 $44,000 12,108 0.08% 12,000 1,660 0.064    Medical Practitioners
   (TGB)1 Year Chart         TGB Taseko Mines Limited (USA) 91 - $2.05 $43,000 20,984 0.08% -7,000 -5,800 0    Gold
   (IMN)1 Year Chart         IMN Imation Corp 90 - $5.23 $43,000 10,383 0.08% -6,000 -1,268 0.038    Data Storage Devices
   (SIGA)1 Year Chart         SIGA Siga Technologies Inc 92 New $2.80 $42,000 10,901 0.08% 42,000 10,901 0.021    Drug Manufacturers - ...
   (AAV)1 Year Chart         AAV Advantage Energy Income Fund 93 - $5.61 $41,000 10,800 0.08% -38,000 -9,200 0.007    Diversified Investments
   (NSU)1 Year Chart         NSU Nevsun Resources (USA) 94 - $3.35 $40,000 12,600 0.07% -21,000 -7,900 0.006    Gold
   (PIP)1 Year Chart         PIP Pharmathene Inc 95 - $1.44 $39,000 18,662 0.07% -20,000 -18,433 0.039    Diversified Investments
   (CHLN)1 Year Chart         CHLN China Housing & Land Develo... 96 New $2.20 $38,000 16,839 0.07% 38,000 16,839 0.076    Real Estate Development
   (LIOX)1 Year Chart         LIOX Lionbridge Technologies Inc 97 New $6.00 $38,000 10,241 0.07% 38,000 10,241 0    Internet Software & S...
   (SMT)1 Year Chart         SMT SMART Technologies Inc 98 New $4.50 $38,000 13,500 0.07% 38,000 13,500 0    REIT - Housing/Apartm...
   (DBLE)1 Year Chart         DBLE Double Eagle Petroleum Co 99 New $2.86 $35,000 11,614 0.07% 35,000 11,614 0.104    Independent Oil & Gas
   (LTS)1 Year Chart         LTS Ladenburg Thalmann Financia... 100 - $2.63 $34,000 18,703 0.06% -38,000 -25,014 0.01    Investment Brokerage ...
   (CXPO)1 Year Chart         CXPO Crimson Exploration Inc 101 New $3.10 $33,000 11,007 0.06% 33,000 11,007 0.043    Independent Oil & Gas

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