Harbor Convertible Securities Fund Investor Class (HICSX)

Portfolio Characteristics (As of Quarter Ended 09/30/2017)

Harbor Convertible Securities FundICE BofAML US Convertible Ex Mandatory Index
Number of Issues113400
Weighted Avg. Maturity (yrs)3.9322.42
Convertible Avg. Price ($)113.95121.11
Yield to Put/Maturity (%)-0.86-0.80
Average Issue Size (MM)625341

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

Top Ten Holdings (As of Quarter Ended 09/30/2017)

Issuer NameMaturity DateCoupon Rate (%)Market Value ($000's)% of Net Assets
Two Harbors Investment Corp.01/15/20226.25,0122.2
Blackhawk Network Holdings Inc.01/15/20221.54,4152.0
Citrix Systems Inc.04/15/20190.54,1821.9
Microchip Technology Inc.02/15/20271.64,0001.8
BioMarin Pharmaceutical Inc.08/01/20240.63,9101.7
Extra Space Storage LP10/01/20353.13,8981.7
Allscripts Healthcare Solutions Inc.07/01/20201.23,8461.7
Live Nation Entertainment Inc.05/15/20192.53,5221.6
Medidata Solutions Inc.08/01/20181.03,4591.5
Starwood Waypoint Homes01/15/20223.53,3671.5
% of Total Holdings:39,61117.6

Full Holdings (As of Quarter Ended 09/30/2017)

Issuer NameMaturity DateCoupon Rate (%)Market Value ($000's)% of Net Assets
Two Harbors Investment Corp.01/15/20226.25,0122.2
Blackhawk Network Holdings Inc.01/15/20221.54,4152.0
Citrix Systems Inc.04/15/20190.54,1821.9
Microchip Technology Inc.02/15/20271.64,0001.8
BioMarin Pharmaceutical Inc.08/01/20240.63,9101.7
Extra Space Storage LP10/01/20353.13,8981.7
Allscripts Healthcare Solutions Inc.07/01/20201.23,8461.7
Live Nation Entertainment Inc.05/15/20192.53,5221.6
Medidata Solutions Inc.08/01/20181.03,4591.5
Starwood Waypoint Homes01/15/20223.53,3671.5
Ares Capital Corp.01/15/20194.43,3611.5
Fireeye Inc.06/01/20351.63,2351.4
Stmicroelectronics NV07/03/20240.23,1961.4
Integrated Device Technology Inc.11/15/20220.93,1701.4
NRG Yield Inc.06/01/20203.23,1451.4
Inmarsat plc09/09/20233.93,0591.4
Nuvasive Inc.03/15/20212.23,0351.4
Molina Healthcare Inc.08/15/20441.63,0261.4
Ctrip.Com International Ltd.07/01/20252.02,9021.3
Silicon Laboratories Inc.03/01/20221.42,8381.3
Salesforce.com Inc.04/01/20180.22,7531.2
Navistar International Corp.04/15/20194.82,7201.2
Wright Medical Group Inc.02/15/20202.02,6801.2
Red Hat Inc.10/01/20190.22,6661.2
Priceline Group Inc.09/15/20210.92,5741.1
Zillow Group Inc.12/01/20212.02,5521.1
Workday Inc.10/01/20220.22,5421.1
Liberty Expedia Holdings Inc.06/30/20471.02,5311.1
NRG Yield Inc.02/01/20193.52,4911.1
Liberty Media Corp.09/30/20462.22,4671.1
Total SA MTN12/02/20220.52,4621.1
Macquarie Infrastructure Corp.10/01/20232.02,4601.1
Macquarie Infrastructure Corp.07/15/20192.92,4461.1
QIAGEN NV03/19/20190.42,3421.0
Dish Network Corp.03/15/20242.42,2471.0
On Semiconductor Corp.12/01/20201.02,1491.0
Hubspot Inc.06/01/20220.22,1421.0
Siemens Financieringsmaatschappij NV08/16/20191.62,1311.0
Square Inc.03/01/20220.42,1190.9
Jazz Investments I Ltd.08/15/20211.92,1140.9
Electronics For Imaging Inc.09/01/20190.82,1010.9
Lendingtree Inc.06/01/20220.62,0890.9
Intel Corp.12/15/20353.52,0820.9
Weatherford International Ltd.07/01/20215.92,0360.9
Tutor Perini Corp.06/15/20212.92,0080.9
Tesla Motors Inc.03/01/20211.21,9930.9
Gogo Inc.03/01/20203.81,9590.9
Starwood Property Trust Inc.04/01/20234.41,9380.9
Priceline Group Inc.06/15/20200.31,9120.9
Verint Systems Inc.06/01/20211.51,9090.9
Twitter Inc.09/15/20211.01,8710.8
Rovi Corp.03/01/20200.51,8450.8
Proofpoint Inc.06/15/20200.81,8080.8
Nextera Energy Partners LP09/15/20201.51,7250.8
Royal Gold Inc.06/15/20192.91,7150.8
Micron Technology Inc.11/15/20433.01,7090.8
Dexcom Inc.05/15/20220.81,7000.8
Web.com Group Inc.08/15/20181.01,6770.7
Finisar Corp.12/15/20360.51,6730.7
Dish Network Corp.08/15/20263.41,6560.7
Liberty Media Corp.01/30/20231.01,6240.7
Nuance Communications Inc.12/15/20351.01,5920.7
Liberty Interactive LLC09/30/20461.81,5830.7
Ares Capital Corp.02/01/20223.81,5690.7
Servicenow Inc.06/01/20220.01,5340.7
Microchip Technology Inc.02/15/20251.61,5230.7
Liberty Media Corp.10/15/20231.41,5210.7
Centene Corp.02/15/20215.61,4750.7
OSI Systems Inc.09/01/20221.21,4690.7
Neurocrine Biosciences Inc.05/15/20242.21,4600.7
Dycom Industries Inc.09/15/20210.81,4400.6
Nabors Industries Inc.01/15/20240.81,4360.6
Whiting Petroleum Corp.04/01/20201.21,4300.6
LAM Research Corp.05/15/20181.21,4170.6
Vipshop Holdings Ltd.03/15/20191.51,4070.6
Chart Industries Inc.08/01/20182.01,4070.6
CalAtlantic Group Inc.06/01/20190.21,3950.6
Envestnet Inc.12/15/20191.81,3910.6
HCA Inc.02/15/20206.51,3670.6
Spirit Realty Capital Inc.05/15/20192.91,3580.6
Greenbrier Companies Inc.02/01/20242.91,3380.6
Vinci SA02/16/20220.41,3360.6
Euronet Worldwide Inc.10/01/20441.51,3330.6
VEREIT Inc.08/01/20183.01,3300.6
Ensco Jersey Finance Ltd.01/31/20243.01,3300.6
Tesla Motors Inc.03/15/20222.41,3230.6
Nice Systems Inc.01/15/20241.21,3110.6
Inphi Corp.09/01/20210.81,3100.6
Teradyne Inc.12/15/20231.21,3090.6
Solarcity Corp.11/01/20191.61,3020.6
Lumentum Holdings Inc.03/15/20240.21,2830.6
Workday Inc.07/15/20201.51,2610.6
Wayfair Inc.09/01/20220.41,2530.6
Brookdale Senior Living Inc.06/15/20182.81,2520.6
BioMarin Pharmaceutical Inc.10/15/20201.51,2420.6
National Health Investors Inc.04/01/20213.21,2220.5
Pacira Pharmaceuticals Inc.04/01/20222.41,2070.5
CalAtlantic Group Inc.05/15/20181.61,1910.5
Ligand Pharmaceuticals Inc.08/15/20190.81,0720.5
PDC Energy Inc.09/15/20211.18540.4
Chesapeake Energy Corp.09/15/20265.58430.4
Oasis Petroleum Inc.09/15/20232.68150.4
Altaba Inc.12/01/20180.07500.3
Advanced Micro Devices Inc.09/01/20262.17310.3
SM Energy Co.07/01/20211.57190.3
ServiceNow Inc.11/01/20180.06990.3
Ciena Corp.10/15/20183.86860.3
Empire State Realty OP LP08/15/20192.66420.3
Ctrip.Com International Ltd.09/15/20221.25580.2
IAC Financeco Inc.10/01/20220.95490.2
Teva Pharmaceutical Finance Co. LLC02/01/20260.21870.1
Akamai Technologies Inc.02/15/20190.01210.1
Starwood Waypoint Homes07/01/20193.0430.0
Total218,37297.3
Cash and Other Assets Less Liabilities2.7
Total Net Assets100%

Sector Allocation (As of Quarter Ended 09/30/2017)

As of Quarter Ended 09/30/2017
Economic SectorHarbor Convertible Securities Fund %
Information Technology36.1
Health Care15.8
Consumer Discretionary15.6
Industrials7.7
Financials6.2
Energy5.3
Real Estate5.3
Utilities3.3
Telecommunication Services1.4
Materials0.8

Maturity Profile (As of Quarter Ended 09/30/2017)

As of Quarter Ended 09/30/2017
MaturityHarbor Convertible Securities Fund %
0-1 yr7.8
1-3 yr30.0
3-5 yr35.5
5-7 yr18.9
7-10 yr3.9
10-20 yr1.7
20-30 yr0.0
Over 30 yr0.0

Duration (As of Quarter Ended 09/30/2017)

As of Quarter Ended 09/30/2017
DurationHarbor Convertible Securities Fund %
0-1 yr22.3
1-3 yr55.8
3-5 yr18.7
5-7 yr1.1
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.