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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 : 2013-12-31
  Total Value : $50,552,000
  Total Value Change : $-3,185,000
  Securities Held Change : -35
   
All Securities Held : 97
  New Positions : 32
  Closed Positions : 79
  Increased Positions : 41
  Unchanged Positions : 3
  Decreased Positions : 21
 
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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
   (LQD)1 Year Chart         LQD iShares Trust Goldman Sachs 1 New $117.68 $3,175,000 27,800 6.28% 3,175,000 27,800 0.005    Closed - End Fund - E...
   (QQQ)1 Year Chart         QQQ Powershares QQQ Trust 2 - $87.53 $2,762,000 31,400 5.46% 1,177,000 11,300 0.003    Closed - End Fund - Debt
   (IWM)1 Year Chart         IWM iShares Tr Russell 2000 Indx 3 - $114.62 $2,606,000 22,600 5.16% 58,000 -1,300 0.003    Closed - End Fund - E...
   (CSJ)1 Year Chart         CSJ iShares Barclays 1-3 Year C... 4 - $105.44 $2,499,000 23,700 4.94% -291,000 -2,800 0.026    Closed - End Fund - E...
   (HYG)1 Year Chart         HYG iShares iBoxx $ High Yield ... 5 - $94.12 $2,146,000 23,100 4.25% 1,349,000 14,400 0.003    Closed - End Fund - E...
   (BSV)1 Year Chart         BSV Vanguard Short-Term Bond 6 - $80.20 $2,134,000 26,700 4.22% 1,684,000 21,100 0.003    Closed - End Fund - E...
   (JNK)1 Year Chart         JNK Spdr Lehman Hyb Etf 7 - $41.27 $1,854,000 45,700 3.67% 1,053,000 25,600 0.005    Closed - End Fund - E...
   (SHY)1 Year Chart         SHY Ishares Barclays 1-3 Treasu... 8 - $84.53 $1,654,000 19,600 3.27% 362,000 4,300 0.017    Closed - End Fund - E...
   (SPY)1 Year Chart         SPY Standard & Poors Depository... 9 - $187.89 $1,628,000 8,814 3.22% -1,095,000 -7,386 0.001    Closed - End Fund - E...
   (MDY)1 Year Chart         MDY Standrd Poor Mdcp 400 SPDR 10 - $248.22 $1,540,000 6,305 3.05% -453,000 -2,500 0.01    Closed - End Fund - E...
   (IJR)1 Year Chart         IJR iShares Core S&P Small-Cap 11 - $109.28 $1,431,000 13,100 2.83% 274,000 1,500 0.002    Closed - End Fund - E...
   (IJH)1 Year Chart         IJH iShares S&P MidCap 400 Index 12 - $136.24 $1,405,000 10,500 2.78% 300,000 1,600 0.001    Closed - End Fund - E...
   (DIA)1 Year Chart         DIA Diamonds Trust 13 - $164.80 $1,340,000 8,100 2.65% -985,000 -7,300 0.008    Closed - End Fund - E...
   (VIG)1 Year Chart         VIG Vanguard Dividend Appreciat... 14 - $76.01 $1,294,000 17,200 2.56% -829,000 -13,300 0.008    Closed - End Fund - Debt
   (GVI)1 Year Chart         GVI iShares Barclays Interm Gov... 15 - $110.12 $1,280,000 11,700 2.53% 829,000 7,600 0.013    Closed - End Fund - E...
   (PHB)1 Year Chart         PHB PowerShares High Yield Corp... 16 - $19.43 $1,143,000 59,500 2.26% 490,000 24,800 0.066    Closed - End Fund - Debt
   (GOOG)1 Year Chart         GOOG Google Inc 17 New $545.50 $903,000 806 1.79% 903,000 806 0    Search Engines & Info...
   (SDY)1 Year Chart         SDY streetTRACKS Series Trust -... 18 - $74.40 $871,000 12,000 1.72% -39,000 -1,200 0.001    Closed - End Fund - E...
   (LAG)1 Year Chart         LAG Spdr Lehmn Aggr Bd Etf 19 - $57.39 $810,000 14,400 1.6% 354,000 6,400 0.016    Closed - End Fund - E...
   (SHM)1 Year Chart         SHM Spdr Brcly Cap Shrt Trm Mu 20 New $24.30 $809,000 33,300 1.6% 809,000 33,300 0.037    Closed - End Fund - E...
   (PCY)1 Year Chart         PCY PowerShares Emerging Mkts S... 21 - $28.24 $805,000 29,800 1.59% 354,000 13,300 0.033    Closed - End Fund - E...
   (XLK)1 Year Chart         XLK SPDR Technology Sector 22 - $36.32 $779,000 21,800 1.54% 241,000 5,000 0.002    Closed - End Fund - E...
   (PZA)1 Year Chart         PZA Powershrs Ins Natmun Etf 23 - $24.28 $778,000 33,900 1.54% 347,000 15,200 0.095    Meat Products
   (TFI)1 Year Chart         TFI Spdr Brcly Cap Muni Bond 24 - $23.50 $764,000 33,900 1.51% 335,000 15,100 0.038    Closed - End Fund - E...
   (FLOT)1 Year Chart         FLOT Ishares Floating Rate Note ... 25 - $50.70 $695,000 13,700 1.37% 36,000 700 0.015    N/A
   (VCSH)1 Year Chart         VCSH Vanguard Scottsdale Funds 26 New $80.08 $686,000 8,600 1.36% 686,000 8,600 0.01    N/A
   (XLI)1 Year Chart         XLI SPDR Industrial Sector 27 - $52.93 $570,000 10,900 1.13% -446,000 -11,000 0.001    Closed - End Fund - E...
   (SCPB)1 Year Chart         SCPB Spdr Series Trust Term Corp... 28 - $30.78 $522,000 17,000 1.03% -1,000 0 0.002    Closed - End Fund - Debt
   (SMH)1 Year Chart         SMH Market Vectors Semiconductor 29 - $45.67 $518,000 12,200 1.02% -368,000 -10,000 0.014    N/A
   (PICB)1 Year Chart         PICB Powershares International C... 30 New $30.13 $502,000 17,000 0.99% 502,000 17,000 0.189    Closed - End Fund - E...
   (MUB)1 Year Chart         MUB iShares S&P National Munici... 31 New $107.74 $456,000 4,400 0.9% 456,000 4,400 0.005    Closed - End Fund - E...
   (BLV)1 Year Chart         BLV Vanguard Long-Term Bond ETF 32 New $87.75 $450,000 5,500 0.89% 450,000 5,500 0.006    Closed - End Fund - Debt
   (WIP)1 Year Chart         WIP Spdr Db Int Gov Bd 33 - $60.83 $444,000 7,600 0.88% -9,000 0 0.008    Closed - End Fund - E...
   (EMB)1 Year Chart         EMB iShares JPMorgan USD Emerg ... 34 New $112.20 $443,000 4,100 0.88% 443,000 4,100 0.021    Closed - End Fund - E...
   (PLW)1 Year Chart         PLW PowerShares 1-30 Laddered T... 35 - $30.55 $443,000 15,100 0.88% -10,000 100 0    Closed - End Fund - Debt
   (CFT)1 Year Chart         CFT iShares Barclays Credit Bond 36 New $110.00 $438,000 4,100 0.87% 438,000 4,100 0.005    Closed - End Fund - E...
   (AXP)1 Year Chart         AXP American Express Co 37 - $87.07 $410,000 4,522 0.81% 159,000 1,194 0    Credit Services
   (ACN)1 Year Chart         ACN Accenture Plc Class A Ordinary 38 New $79.64 $388,000 4,724 0.77% 388,000 4,724 0.001    Management Services
   (CAG)1 Year Chart         CAG ConAgra Foods Inc 40 - $31.27 $375,000 11,131 0.74% 375,000 11,131 0    Food - Major Diversified
   (WOR)1 Year Chart         WOR Worthington Industries Inc 39 New $37.49 $375,000 8,900 0.74% 375,000 8,900 0.015    Steel & Iron
   (PIR)1 Year Chart         PIR Pier 1 Imports Inc 41 New $17.94 $362,000 15,700 0.72% 362,000 15,700 0.014    Home Furnishing Stores
   (CCL)1 Year Chart         CCL Carnival Corp 42 - $37.37 $347,000 8,650 0.69% 347,000 8,650 0.001    Sporting and Park Ent...
   (XLB)1 Year Chart         XLB SPDR Materials Select Sector 43 - $47.70 $337,000 7,300 0.67% -1,120,000 -27,400 0.008    Closed - End Fund - E...
   (IVV)1 Year Chart         IVV iShares Core S&P 500 Etf 44 - $189.01 $334,000 1,800 0.66% -848,000 -5,200 0    Closed - End Fund - E...
   (EBF)1 Year Chart         EBF Ennis Inc 45 New $15.78 $320,000 18,092 0.63% 320,000 18,092 0.07    Office Supplies
   (XLE)1 Year Chart         XLE SPDR Energy Sector 46 - $93.27 $319,000 3,600 0.63% -220,000 -2,900 0    Closed - End Fund - E...
   (XLV)1 Year Chart         XLV SPDR Select Sector Health 47 - $58.20 $299,000 5,400 0.59% -692,000 -14,200 0.001    Closed - End Fund - E...
   (XLF)1 Year Chart         XLF SPDR Financial Sector 48 New $21.99 $251,000 11,500 0.5% 251,000 11,500 0.001    Closed - End Fund - E...
   (AZO)1 Year Chart         AZO Autozone Inc 49 New $521.55 $241,000 504 0.48% 241,000 504 0.001    Auto Parts Stores
   (PCLN)1 Year Chart         PCLN Priceline.com Inc 50 - $1,230.00 $235,000 202 0.46% 31,000 0 0    Internet Software & S...
   (AAPL)1 Year Chart         AAPL Apple Inc 51 New $531.70 $233,000 415 0.46% 233,000 415 0    Personal Computers
   (CONN)1 Year Chart         CONN Conns Inc 52 New $46.98 $221,000 2,800 0.44% 221,000 2,800 0.009    Electronics Stores
   (REX)1 Year Chart         REX REX American Resources Corp... 53 New $65.92 $215,000 4,808 0.43% 215,000 4,808 0.051    Electronics Stores
   (GS)1 Year Chart         GS Goldman Sachs Group Inc 54 - $160.46 $213,000 1,200 0.42% -88,000 -700 0    Investment Brokerage ...
   (DG)1 Year Chart         DG Dollar General Corp 55 New $55.09 $205,000 3,406 0.41% 205,000 3,406 0.001    Discount, Variety Stores
   (UNH)1 Year Chart         UNH Unitedhealth Group Inc 56 New $75.76 $202,000 2,678 0.4% 202,000 2,678 0    Health Care Plans
   (JE)1 Year Chart         JE Just Energy Group 58 New $7.78 $147,000 20,481 0.29% 147,000 20,481 0.015    N/A
   (HOV)1 Year Chart         HOV Hovnanian Enterprises Inc 59 New $4.57 $115,000 17,300 0.23% 115,000 17,300 0.018    Residential Construct...
   (PPP)1 Year Chart         PPP Primero Mining Corp 60 - $6.27 $98,000 22,062 0.19% 98,000 22,062 0.038    Independent Oil & Gas
   (PGH)1 Year Chart         PGH Pengrowth Energy Trust (USA) 61 New $6.28 $74,000 11,900 0.15% 74,000 11,900 0.022    Oil & Gas Drilling & ...
   (TGB)1 Year Chart         TGB Taseko Mines Limited (USA) 62 - $2.13 $74,000 34,784 0.15% 31,000 13,800 0    Gold
   (NSU)1 Year Chart         NSU Nevsun Resources (USA) 63 - $3.41 $69,000 20,700 0.14% 29,000 8,100 0.011    Gold
   (FRO)1 Year Chart         FRO Frontline Ltd (USA) 64 New $3.65 $67,000 17,900 0.13% 67,000 17,900 0.023    Water Transportation
   (AAV)1 Year Chart         AAV Advantage Energy Income Fund 65 - $5.88 $66,000 15,159 0.13% 25,000 4,359 0.009    Diversified Investments
   (WRES)1 Year Chart         WRES Warren Resources Inc 66 - $5.26 $62,000 19,653 0.12% -3,000 -2,555 0.028    Oil & Gas Equipment &...
   (SIGA)1 Year Chart         SIGA Siga Technologies Inc 67 - $2.89 $61,000 18,801 0.12% 19,000 7,900 0.037    Drug Manufacturers - ...
   (SCLN)1 Year Chart         SCLN Sciclone Pharmaceuticals Inc 68 - $4.71 $57,000 11,272 0.11% 57,000 11,272 0.019    Drug Manufacturers - ...
   (ROIAK)1 Year Chart         ROIAK Radio One Inc 69 - $4.73 $53,000 13,908 0.1% 7,000 -3,082 0.042    Broadcasting - Radio
   (TC)1 Year Chart         TC Thompson Creek Metals Compa... 70 New $2.98 $53,000 24,400 0.1% 53,000 24,400 0    Industrial Metals & M...
   (RIOM)1 Year Chart         RIOM Rio Alto Mining Limited 71 - $1.99 $51,000 30,233 0.1% 25,000 17,200 0.017    N/A
   (GURE)1 Year Chart         GURE Gulf Resources Inc 72 - $2.24 $50,000 21,218 0.1% 30,000 9,318 0.061    Specialty Chemicals
   (SVM)1 Year Chart         SVM Silvercorp Metals Inc 73 - $2.05 $49,000 21,200 0.1% 49,000 21,200 0.012    Management Services
   (EMMS)1 Year Chart         EMMS Emmis Communications Corp 74 New $3.35 $48,000 17,935 0.09% 48,000 17,935 0.047    Broadcasting - Radio
   (TSYS)1 Year Chart         TSYS Telecommunication Systems Inc 75 - $2.64 $46,000 19,919 0.09% 46,000 19,919 0.179    Application Software
   (SUMR)1 Year Chart         SUMR Summer Infant Inc 76 - $1.95 $46,000 25,277 0.09% -16,000 3,000 0    Personal Products
   (III)1 Year Chart         III Information Services Group ... 77 - $5.19 $44,000 10,342 0.09% -8,000 -2,250 0.028    Closed - End Fund - E...
   (IAG)1 Year Chart         IAG IAMGOLD Corporation (USA) 78 - $3.45 $43,000 12,800 0.09% 43,000 12,800 0.003    Gold
   (AUQ)1 Year Chart         AUQ Aurico Gold Inc 79 New $4.22 $40,000 10,800 0.08% 40,000 10,800 0.163    Gold
   (FU)1 Year Chart         FU Fab Universal Corp 80 - $3.07 $40,000 13,005 0.08% 40,000 13,005 0    Application Software
   (TGD)1 Year Chart         TGD Timmins Gold Corp 81 - $1.37 $39,000 36,500 0.08% 10,000 19,100 0.026    Gold
   (AT)1 Year Chart         AT Atlantic Power Corp 82 - $3.26 $38,000 11,000 0.08% 38,000 11,000 0.002    Telecom Services - Do...
   (LTS)1 Year Chart         LTS Ladenburg Thalmann Financia... 83 - $2.87 $36,000 11,579 0.07% 2,000 -7,124 0.006    Investment Brokerage ...
   (CBAK)1 Year Chart         CBAK China Bak Battery Inc 85 - $3.09 $32,000 14,479 0.06% 9,000 4,479 0.023    Industrial Electrical...
   (HPOL)1 Year Chart         HPOL Harris Interactive Inc 86 New $2.00 $31,000 15,576 0.06% 31,000 15,576 0.028    Internet Software & S...
   (MEA)1 Year Chart         MEA Metalico Inc 88 - $1.63 $27,000 13,059 0.05% 27,000 13,059 0    Steel & Iron
   (PRMW)1 Year Chart         PRMW Primo Water Corp 87 - $3.96 $27,000 10,214 0.05% 27,000 10,214 0.071    Beverage Soft Drinks...
   (GGS)1 Year Chart         GGS Global Geophysical Services... 90 New $0.11 $22,000 13,401 0.04% 22,000 13,401 0    Oil & Gas Drilling & ...
   (SMT)1 Year Chart         SMT SMART Technologies Inc 89 - $4.23 $22,000 10,000 0.04% -16,000 -3,500 0.045    REIT - Housing/Apartm...
   (USAT)1 Year Chart         USAT USA Technologies Inc 92 - $2.12 $21,000 11,600 0.04% -4,000 -4,200 0    Business Services
   (MSLI)1 Year Chart         MSLI Merus Labs International Inc 91 New $1.55 $21,000 14,600 0.04% 21,000 14,600 0.219    Marketing Services
   (OPTT)1 Year Chart         OPTT Ocean Power Technologies Inc 94 New $2.86 $20,000 10,200 0.04% 20,000 10,200 0    Electric Utilities
   (BLDP)1 Year Chart         BLDP Ballard Power Systems Inc (... 93 - $3.96 $20,000 13,000 0.04% 20,000 13,000 0.114    Industrial Electrical...
   (PIP)1 Year Chart         PIP Pharmathene Inc 95 - $1.41 $19,000 10,262 0.04% -20,000 -8,400 0.021    Diversified Investments
   (ENZN)1 Year Chart         ENZN Enzon Pharmaceuticals Inc 96 - $0.98 $16,000 13,701 0.03% -5,000 1,368 0.042    Biotechnology
   (APP)1 Year Chart         APP American Apparel Inc 97 - $0.66 $16,000 12,593 0.03% 2,000 2,000 0    Textile - Apparel Clo...
   (PRTS)1 Year Chart         PRTS U.s. Auto Parts Network, Inc. 119 Closed $3.11 $0 0 0% -16,000 -12,440 0    Auto Parts Stores
   (LCAV)1 Year Chart         LCAV LCA Vision Inc 105 Closed $5.37 $0 0 0% -44,000 -12,108 0    Medical Practitioners
   (VZ)1 Year Chart         VZ Verizon Communications Inc 138 Closed $47.92 $0 0 0% -277,000 -5,942 0    Telecom Services - Do...
   (QID)1 Year Chart         QID UltraShort QQQ ProShares 152 Closed $14.77 $0 0 0% -291,000 -15,300 0    Closed - End Fund - E...
   (INTC)1 Year Chart         INTC Intel Corp 99 Closed $26.84 $0 0 0% -295,000 -12,892 0    Semiconductor- Broad...

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