Harbor Convertible Securities Fund Institutional Class (HACSX)

Portfolio Characteristics (As of Quarter Ended 09/30/2019)

Harbor Convertible Securities FundICE BofAML US Convertible Ex Mandatory Index
Number of Issues139392
Weighted Avg. Maturity (yrs)4.0919.55
Convertible Avg. Price ($)110115.64
Yield to Put/Maturity (%)4.09-0.61
Average Issue Size (MM)731.41372.06

For definitions of the portfolio characteristics, visit our Financial Glossary.

Top Ten Holdings (As of Quarter Ended 09/30/2019)

Issuer NameMaturity DateCoupon Rate (%)Market Value ($000's)% of Net Assets
Live Nation Entertainment Inc.03/15/20232.53,0122.2
Dish Network Corp.08/15/20263.43,0032.2
Blackstone Mortgage Trust Inc.03/15/20234.82,6592.0
Meritor Inc.10/15/20373.22,4991.9
BioMarin Pharmaceutical Inc.08/01/20240.62,3931.8
Microchip Technology Inc.02/15/20271.62,3761.8
Marriott Vacations Worldwide Corp.09/15/20221.52,3171.7
Splunk Inc.09/15/20230.52,2501.7
Liberty Latin America Ltd.07/15/20242.02,0571.5
Palo Alto Networks Inc.07/01/20230.82,0501.5
% of Total Holdings:24,61618.3

Full Holdings (As of Quarter Ended 09/30/2019)

Issuer NameMaturity DateCoupon Rate (%)Market Value ($000's)% of Net Assets
Live Nation Entertainment Inc.03/15/20232.53,0122.2
Dish Network Corp.08/15/20263.43,0032.2
Blackstone Mortgage Trust Inc.03/15/20234.82,6592.0
Meritor Inc.10/15/20373.22,4991.9
BioMarin Pharmaceutical Inc.08/01/20240.62,3931.8
Microchip Technology Inc.02/15/20271.62,3761.8
Marriott Vacations Worldwide Corp.09/15/20221.52,3171.7
Splunk Inc.09/15/20230.52,2501.7
Liberty Latin America Ltd.07/15/20242.02,0571.5
Palo Alto Networks Inc.07/01/20230.82,0501.5
Liberty Media Corp.03/31/20482.11,9981.5
Western Digital Corp.02/01/20241.51,9491.4
Ctrip.Com International Ltd.07/01/20252.01,9251.4
Nextera Energy Partners LP09/15/20201.51,8651.4
Ares Capital Corp.02/01/20223.81,8061.3
Wayfair Inc.08/15/20261.01,8021.3
Extra Space Storage LP10/01/20353.11,7501.3
Verint Systems Inc.06/01/20211.51,7391.3
Silicon Laboratories Inc.03/01/20221.41,6961.3
Tesla Inc.05/15/20242.01,5691.2
Okta Inc.09/01/20250.11,5591.2
On Semiconductor Corp.12/01/20201.01,5301.1
Twitter Inc.06/15/20240.21,5281.1
Exact Sciences Corp.03/15/20270.41,5211.1
Iqiyi Inc.04/01/20252.01,5111.1
Dexcom Inc.12/01/20230.81,4821.1
Snap Inc.08/01/20260.81,4821.1
Total SA MTN12/02/20220.51,4771.1
Jazz Investments I Ltd.08/15/20241.51,4731.1
Dycom Industries Inc.09/15/20210.81,4251.1
Illumina Inc.08/15/20230.01,4161.0
Ih Merger Sub LLC01/15/20223.51,4091.0
Zynga Inc.06/01/20240.21,3921.0
Insulet Corp.09/01/20260.41,3861.0
Spirit Realty Capital Inc.05/15/20213.81,3731.0
Akamai Technologies Inc.09/01/20270.41,3351.0
Envestnet Inc.06/01/20231.81,3331.0
New Relic Inc.05/01/20230.51,3061.0
Nuance Communications Inc.04/01/20251.21,2881.0
Intel Corp.08/01/20393.21,2760.9
Greenbrier Cos. Inc.02/01/20242.91,2540.9
Docusign Inc.09/15/20230.51,2470.9
Wright Medical Group Inc.06/15/20231.61,2350.9
Booking Holdings Inc.06/15/20200.31,2340.9
Weibo Corp.11/15/20221.21,2280.9
Two Harbors Investment Corp.01/15/20226.21,2040.9
Starwood Property Trust Inc.04/01/20234.41,1820.9
Chegg Inc.03/15/20250.11,1790.9
FireEye Inc.06/01/20240.91,1730.9
Akamai Technologies Inc.05/01/20250.11,1480.9
Valeo SA MTN06/16/20210.01,1480.9
NXP Semiconductors NV12/01/20191.01,1390.8
Proofpoint Inc.08/15/20240.21,1070.8
Square Inc.05/15/20230.51,0590.8
Allscripts Healthcare Solutions Inc.07/01/20201.29910.7
Nuvasive Inc.03/15/20212.29880.7
Liberty Interactive LLC09/30/20461.89850.7
Vinci SA02/16/20220.49720.7
Stmicroelectronics NV07/03/20240.29590.7
Workday Inc.10/01/20220.28960.7
Wix.Com Ltd.07/01/20230.08900.7
Blackline Inc.08/01/20240.18870.7
Supernus Pharmaceuticals Inc.04/01/20230.68730.6
Pure Storage Inc.04/15/20230.18440.6
Qiagen NV11/13/20241.08290.6
RH06/15/20230.08290.6
Ares Capital Corp.03/01/20244.68140.6
FTI Consulting Inc.08/15/20232.07880.6
Ligand Pharmaceuticals Inc.05/15/20230.87850.6
Tutor Perini Corp.06/15/20212.97840.6
Workiva Inc.08/15/20261.17480.6
Herbalife Nutrition Ltd.03/15/20242.67430.6
Fortive Corp.02/15/20220.97340.5
Liberty Media Corp.01/30/20231.07300.5
Vinci SA02/16/20220.47230.5
Conmed Corp.02/01/20242.67220.5
Insight Enterprises Inc.02/15/20250.87130.5
KBR Inc.11/01/20232.57080.5
Tesla Inc.03/01/20211.27060.5
Guess? Inc.04/15/20242.07040.5
Sailpoint Technologies Holding Inc.09/15/20240.16750.5
Zillow Group Inc.09/01/20240.86620.5
Lumentum Holdings Inc.03/15/20240.26500.5
Teradyne Inc.12/15/20231.26470.5
Pandora Media Inc.12/01/20231.86400.5
Etsy Inc.10/01/20260.16400.5
Cypress Semiconductor Corp.02/01/20232.06290.5
Bilibili Inc.04/01/20261.46290.5
Huazhu Group Ltd.11/01/20220.46160.5
Bofa Finance LLC MTN05/01/20230.26090.5
CIE Generale DES Etablissements Michelin Sca01/10/20220.06030.4
Zillow Group Inc.12/01/20212.06000.4
InterDigital Inc.06/01/20242.05830.4
Neurocrine Biosciences Inc.05/15/20242.25530.4
Mercadolibre Inc.08/15/20282.05460.4
Servicenow Inc.06/01/20220.05350.4
Ionis Pharmaceuticals Inc.11/15/20211.05130.4
Q2 Holdings Inc.06/01/20260.85070.4
Oil States International Inc.02/15/20231.54970.4
OSI Systems Inc.09/01/20221.24860.4
Chart Industries Inc.11/15/20241.04800.4
Zendesk Inc.03/15/20230.24650.3
Nice Systems Inc.01/15/20241.24450.3
Ringcentral Inc.03/15/20230.04370.3
Advanced Micro Devices Inc.09/01/20262.14210.3
Transocean Inc.01/30/20230.53930.3
Alteryx Inc.08/01/20240.53920.3
Alteryx Inc.08/01/20261.03870.3
Tabula Rasa Healthcare Inc.02/15/20261.83830.3
Altair Engineering Inc.06/01/20240.23780.3
Tesla Inc.03/15/20222.43760.3
Atlassian Inc.05/01/20230.63720.3
Jazz Investments I Ltd.08/15/20211.93660.3
Five9 Inc.05/01/20230.13560.3
Vonage Holdings Corp.06/01/20241.83520.3
Nuance Communications Inc.12/15/20351.03440.3
Carbonite Inc.04/01/20222.53340.2
Coupa Software Inc.06/15/20250.13230.2
Caesars Entertainment Corp.10/01/20245.03230.2
Nutanix Inc.01/15/20230.03230.2
Ironwood Pharmaceuticals Inc.06/15/20240.83210.2
PDC Energy Inc.09/15/20211.13180.2
Ironwood Pharmaceuticals Inc.06/15/20261.53180.2
Exact Sciences Corp.01/15/20251.03140.2
Liberty Media Corp.09/30/20462.23130.2
Euronet Worldwide Inc.03/15/20490.82920.2
Illumina Inc.06/15/20210.52910.2
Liberty Media Corp.10/15/20231.42900.2
SM Energy Co.07/01/20211.52800.2
Repligen Corp.07/15/20240.42580.2
Nabors Industries Inc.01/15/20240.82560.2
Rapid7 Inc.08/01/20231.22500.2
Qiagen NV03/19/20210.92450.2
STMicroelectronics NV07/03/20240.22400.2
Twilio Inc.06/01/20230.22260.2
Splunk Inc.09/15/20251.11980.1
National Health Investors Inc.04/01/20213.2920.1
Oasis Petroleum Inc.09/15/20232.6230.0
Ensco Jersey Finance Ltd.01/31/20243.090.0
Total133,10398.5
Cash and Other Assets Less Liabilities1.5
Total Net Assets100%

Sector Allocation (As of Quarter Ended 09/30/2019)

As of Quarter Ended 09/30/2019
Economic SectorHarbor Convertible Securities Fund %
Information Technology33.7
Communication Services16.6
Health Care14.6
Consumer Discretionary12.2
Industrials7.7
Financials6.1
Real Estate3.4
Energy2.4
Utilities1.4
Consumer Staples0.6

Maturity Profile (As of Quarter Ended 09/30/2019)

As of Quarter Ended 09/30/2019
MaturityHarbor Convertible Securities Fund %
0-1 yr5.6
1-3 yr21.0
3-5 yr50.5
5-7 yr16.1
7-10 yr4.8
10-20 yr0.9
20-30 yr0.0
Over 30 yr0.0

Duration (As of Quarter Ended 09/30/2019)

As of Quarter Ended 09/30/2019
DurationHarbor Convertible Securities Fund %
0-1 yr17.3
1-3 yr58.6
3-5 yr23.0
5-7 yr0.0
7-10 yr0.0
10-20 yr0.0
20-30 yr0.0
Over 30 yr0.0

This information should not be considered as a recommendation to purchase or sell a particular security and the holdings, sectors or countries mentioned may change at any time and may not represent current or future investments.

The ICE BofAML US Convertible Ex Mandatory Index is broadly representative of the U.S. convertible securities market, consisting of publicly traded issues, denominated in U.S. dollars, of all credit qualities, and excluding mandatory (equity-linked) convertibles. This unmanaged index does not reflect fees and expenses and is not available for direct investment.