SecurityHDB / HDFC Bank Ltd. (40415F101)
Institutional Owners488
Form N-Q Owners133
Institutional Shares259,432,794 (ex. N-Q)
Institutional Value$ 74,410,451,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

HDFC Bank Ltd. (NYSE:HDB) has 488 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 259,432,794 shares. Largest shareholders include Capital Research Global Investors, FMR LLC / Fidelity, JP Morgan Chase & Co, Capital World Investors, Wcm Investment Management/ca, Fisher Asset Management, LLC, Schroder Investment Management Group, Artisan Partners Limited Partnership, Harding Loevner Lp, and Fiera Capital Corp.

HDFC Bank Ltd. (NYSE:HDB) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-02-13 13F-HR NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC 55,000 55,000 0.00 5,300 5,592 5.51
2018-01-18 13F-HR FOX RUN MANAGEMENT, L.L.C. 0 2,502 0 254
2018-01-26 N-Q Fidelity Select Portfolios (see advisory)
2018-02-13 13F-HR RPg Family Wealth Advisory, LLC 519 519 0.00 50,016 52,766 5.50
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 36,614 41,113 12.29 3,530 4,180 18.41
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 6,300 16,200 157.14 607 1,647 171.33
2018-02-14 13F-HR THRIVENT FINANCIAL FOR LUTHERANS 288 0 -100.00 28 0 -100.00
2018-01-18 13F-HR Carroll Financial Associates, Inc. 76 76 0.00 7 7 0.00
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 3,143 0 -100.00 226 0 -100.00
2018-02-13 13F-HR JP Morgan Chase & Co Put 40,000 71,000 77.50 3,813 7,219 89.33
2018-01-02 13F-HR Kimelman & Baird, LLC 3,000 3,000 0.00 261 289 10.73
2018-02-13 13F-HR TT INTERNATIONAL 18,420 15,863 -13.88 1,775 1,612 -9.18
2018-02-14 13F-HR Quantitative Investment Management, LLC 0 22,700 0 2,307
2017-09-28 N-Q Harding Loevner Funds Inc (see advisory)
2017-09-27 N-Q Pioneer Series Trust Vi (see advisory)
2017-08-28 N-Q Artisan Partners Funds Inc (see advisory)
2018-01-19 13F-HR World Asset Management Inc 49,846 48,101 -3.50 4,804 4,890 1.79
2017-11-29 N-Q Value Line Premier Growth Fund, Inc. (see advisory)
2018-02-14 13F-HR MARTIN CURRIE LTD 605,994 1,268,491 109.32 58,399 128,968 120.84
2018-01-12 13F-HR ATRIA INVESTMENTS LLC 3,150 3,160 0.32 304 321 5.59
2018-02-14 13F-HR COLDSTREAM CAPITAL MANAGEMENT INC 5,359 5,359 0.00 516 545 5.62
2018-01-23 N-Q Mfs Series Trust Iv (see advisory)
2018-02-15 13F-HR SRS Capital Advisors, Inc. 712 705 -0.98 68 71 4.41
2018-02-05 13F-HR DELTEC ASSET MANAGEMENT LLC 51,893 50,826 -2.06 5,001 5,167 3.32
2018-01-16 13F-HR WASATCH ADVISORS INC 120,231 120,231 0.00 11,587 12,224 5.50
2017-08-29 N-Q Rydex Series Funds (see advisory)
2018-02-13 13F-HR Legal & General Group Plc 2,805 605 -78.43 270 62 -77.04
2018-02-01 13F-HR TRILLIUM ASSET MANAGEMENT, LLC 36,521 35,952 -1.56 3,520 3,655 3.84
2018-02-14 13F-HR CAPITAL GUARDIAN TRUST CO 134,599 528,281 292.49 12,971 53,710 314.08
2018-02-12 13F-HR ARK Investment Management LLC 794 81
2018-02-06 13F-HR M&T BANK CORP 116,708 117,215 0.43 11,247 11,916 5.95
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 77,721 93,226 19.95 7,490 9,478 26.54
2018-02-15 13F-HR Bb&t Investment Services, Inc. 40 127 217.50 4 13 225.00
2017-11-28 N-Q Morgan Stanley India Investment Fund, Inc. (see advisory)
2018-02-01 13F-HR CIBC World Markets Inc. 2,090 212
2018-02-15 13F-HR Glovista Investments LLC 70,497 0 -100.00 6,794 0 -100.00
2018-02-06 13F-HR Russell Investments Group, Ltd. 2,421,205 2,314,397 -4.41 233,293 233,715 0.18
2017-09-28 N-Q NEW WORLD FUND INC (see advisory)
2018-02-14 13F-HR IHT Wealth Management, LLC 625 625 0.00 58 63 8.62
2018-02-15 13F-HR Cwm Advisors, Llc 284 29
2018-02-13 13F-HR BAHL & GAYNOR INC 7,850 7,850 0.00 757 798 5.42
2018-02-14 13F-HR A.R.T. Advisors, LLC 19,370 49,270 154.36 1,866 5,009 168.44
2018-02-02 13F-HR Aperio Group, LLC 88,298 86,897 -1.59 8,509 8,835 3.83
2017-11-28 N-Q Ab Cap Fund, Inc. (see advisory)
2018-02-14 13F-HR THORNBURG INVESTMENT MANAGEMENT INC 222,071 142,037 -36.04 21,401 14,441 -32.52
2017-11-14 13F-HR/A-1 INTL FCSTONE INC. 3,368 0 -100.00 293 0 -100.00
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 2,009 2,604 29.62 193 265 37.31
2018-01-23 13F-HR SeaBridge Investment Advisors LLC 13,233 13,233 0.00 1,275 1,345 5.49
2018-02-13 13F-HR BANK OF NOVA SCOTIA TRUST CO 8 0 -100.00 1 0 -100.00
2017-11-29 N-Q Greater India Portfolio (see advisory)
2017-11-14 13F-HR Bluefin Trading, LLC 15,700 0 -100.00 1,365 0 -100.00
2018-02-13 13F-HR BAILLIE GIFFORD & CO 1,461,230 1,364,201 -6.64 140,818 138,699 -1.50
2018-02-02 13F-HR US BANCORP \DE\ 49,685 54,191 9.07 4,788 5,510 15.08
2018-02-13 13F-HR Axa 215,985 214,465 -0.70 20,814 21,805 4.76
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 1,323,064 1,568,976 18.59 127,504 159,518 25.11
2018-02-05 13F-HR THOMPSON DAVIS & CO., INC. 16 0 -100.00 2 0 -100.00
2018-02-14 13F-HR AXIOM INTERNATIONAL INVESTORS LLC /DE 473,616 394,320 -16.74 45,642 40,091 -12.16
2017-11-28 N-Q Jpmorgan Trust I (see advisory)
2018-02-02 13F-HR MOODY LYNN & LIEBERSON, INC. 9,827 9,727 -1.02 947 1,042 10.03
2018-02-14 13F-HR Advisor Group, Inc. 13,806 16,022 16.05 1,331 1,629 22.39
2018-01-19 13F-HR Diversified Trust Co 69,062 53,900 -21.95 6,656 5,480 -17.67
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 123,711 102,431 -17.20 11,922 10,414 -12.65
2018-01-10 13F-HR SIMPLEX TRADING, LLC 17,006 31,821 87.12 1,638 3,235 97.50
2018-02-14 13F-HR BAMCO INC /NY/ 4,883 6,674 36.68 471 679 44.16
2018-02-14 13F-HR STIFEL FINANCIAL CORP 36,669 40,631 10.80 3,538 4,147 17.21
2018-02-13 SC 13G/A Capital Research Global Investors 133,304,458 114,080,246 -14.42
2017-11-29 N-Q Waddell & Reed Advisors Funds (see advisory)
2017-08-29 N-Q Advisers Investment Trust (see advisory)
2018-02-14 13F-HR BARCLAYS PLC 38,120 41,954 10.06 3,673 4,265 16.12
2018-02-07 13F-HR Tahithromos, L.L.C. 175,000 175,000 0.00 16,865 17,792 5.50
2018-01-30 13F-HR Handelsinvest Investeringsforvaltning 8,000 8,000 0.00 771 813 5.45
2018-02-13 13F-HR Sawtooth Asset Management, Inc. 2,199 2,502 13.78 212 254 19.81
2018-02-13 13F-HR JP Morgan Chase & Co Call 31,000 3,152
2017-11-27 N-Q State Farm Variable Product Trust (see advisory)
2018-02-14 13F-HR PROFUND ADVISORS LLC 42,903 38,256 -10.83 4,135 3,889 -5.95
2018-02-14 13F-HR Polar Capital LLP 23,568 24,951 5.87 2,271 2,537 11.71
2018-02-08 13F-HR KEYBANK NATIONAL ASSOCIATION/OH 10,326 10,483 1.52 995 1,066 7.14
2018-02-12 13F-HR HARDING LOEVNER LP 3,362,462 3,405,099 1.27 324,040 346,196 6.84
2018-02-07 13F-HR OLD NATIONAL BANCORP /IN/ 3,933 3,933 0.00 379 400 5.54
2018-02-14 13F-HR Ativo Capital Management LLC 2,480 2,480 0.00 239 252 5.44
2018-02-14 13F-HR PANAGORA ASSET MANAGEMENT INC 36,000 36,000 0.00 3,469 3,660 5.51
2017-11-21 N-Q Manning & Napier Fund, Inc. (see advisory)
2018-02-07 13F-HR Penserra Capital Management LLC 14,029 1,426
2018-02-02 13F-HR Gator Capital Management, LLC 8,200 834
2018-02-09 13F-HR WETHERBY ASSET MANAGEMENT INC 7,523 7,306 -2.88 725 743 2.48
2017-11-21 N-Q William Blair Funds (see advisory)
2018-02-13 13F-HR Sustainable Growth Advisers, LP 1,140,676 1,305,134 14.42 109,927 132,693 20.71
2017-11-20 N-Q Dreyfus Variable Investment Fund (see advisory)
2018-02-13 13F-HR LAZARD ASSET MANAGEMENT LLC 1,443,258 1,457,716 1.00 139,085 148,205 6.56
2018-02-02 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 250,600 380,500 51.84 24,150 38,685 60.19
2018-02-06 13F-HR Daiwa Securities Group Inc. 400 300 -25.00 39 31 -20.51
2018-02-05 13F-HR Crossmark Global Holdings, Inc. 21,897 20,037 -8.49 2,110 2,037 -3.46
2018-02-14 13F-HR Atika Capital Management LLC 32,000 25,000 -21.88 3,084 2,541 -17.61
2017-09-28 N-Q Fidelity Charles Street Trust (see advisory)
2017-11-29 N-Q Vaneck Vip Trust (see advisory)
2017-09-25 N-Q Wells Fargo Funds Trust (see advisory)
2017-08-28 N-Q Ridgeworth Funds (see advisory)
2018-02-14 13F-HR Prince Street Capital Management LLC 263,000 4,000 -98.48 25,345 406 -98.40
2017-11-28 N-Q Driehaus Mutual Funds (see advisory)
2017-11-14 N-Q Russell Investment Funds (see advisory)
2018-02-15 13F-HR Westside Investment Management, Inc. 34 29 -14.71 3,162 2,912 -7.91
2018-02-14 13F-HR Ashmore Group plc 84,746 279,084 229.32 8,167 28,375 247.43
2018-02-14 13F-HR Clearbridge Investments, LLC 1,120 114
2018-02-02 13F-HR TODD ASSET MANAGEMENT LLC 254,912 246,400 -3.34 24,566 25,052 1.98
2018-01-12 13F-HR Hexavest Inc. 65,791 53,876 -18.11 6,340 5,478 -13.60
2018-01-23 13F-HR CENTRAL TRUST Co 23 2
2018-01-25 13F-HR SHINE INVESTMENT ADVISORY SERVICES INC 1,791 1,777 -0.78 173 181 4.62
2018-02-13 13F-HR FLOW TRADERS U.S. LLC 9,311 0 -100.00 897 0 -100.00
2017-11-29 N-Q Gamco Global Series Funds, Inc (see advisory)
2018-02-01 13F-HR BNP PARIBAS ARBITRAGE, SA 61,678 53,343 -13.51 5,943,909 5,423,383 -8.76
2017-08-22 N-Q Legg Mason Global Asset Management Trust (see advisory)
2018-02-07 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 37,583 37,583 0.00 3,621 3,621 0.00
2018-01-10 13F-HR NEW SILK ROAD INVESTMENT PTE LTD 267,800 267,800 0.00 25,808 27,227 5.50
2018-02-14 13F-HR EARNEST PARTNERS LLC 1,850,810 1,707,777 -7.73 178,363 173,630 -2.65
2018-02-12 13F-HR First Trust Bank, Ltd. 7,200 14,700 104.17 694 1,495 115.42
2018-02-14 13F-HR AQR CAPITAL MANAGEMENT LLC 15,672 15,668 -0.03 1,510 1,593 5.50
2018-02-14 13F-HR SANDS CAPITAL MANAGEMENT, LLC 83,970 216,718 158.09 8,092 22,034 172.29
2017-08-25 N-Q Putnam Asset Allocation Funds (see advisory)
2017-11-27 N-Q Ab International Growth Fund Inc (see advisory)
2018-02-14 13F-HR CAPITAL INTERNATIONAL INC /CA/ 200 200 0.00 19 20 5.26
2018-02-13 13F-HR GQG Partners LLC 1,123,717 1,148,666 2.22 108,293 116,785 7.84
2018-02-15 13F-HR Fieldpoint Private Securities, LLC 3,426 0 -100.00 330 0 -100.00
2018-02-14 13F-HR GLG Partners LP 24,000 31,000 29.17 2,313 3,152 36.27
2018-02-05 13F-HR FIRST MERCANTILE TRUST CO 9,445 8,665 -8.26 910 881 -3.19
2017-09-29 N-Q Financial Investors Trust (see advisory)
2018-02-12 13F-HR Winfield Associates, Inc. 92 105 14.13 9 11 22.22
2017-11-13 13F-HR ENVESTNET ASSET MANAGEMENT INC 47,487 74,954 57.84 4,128 7,220 74.90
2018-02-13 13F-HR CREDIT AGRICOLE S A 169,268 62,568 -63.04 16,313 6,362 -61.00
2017-09-28 N-Q Aberdeen Investment Funds (see advisory)
2018-02-09 13F-HR NS Partners Ltd 18,343 8,843 -51.79 1,768 899 -49.15
2018-02-12 13F-HR Sloane Robinson LLP 81,700 203,900 149.57 7,873 21,177 168.98
2018-01-26 N-Q Amcap Fund (see advisory)
2018-02-02 13F-HR COCONUT GROVE BANK 1,000 1,000 0.00 96 102 6.25
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 9,500 2,900 -69.47 916 295 -67.79
2018-02-08 13F-HR D.A. DAVIDSON & CO. 6,530 6,781 3.84 629 689 9.54
2018-01-24 13F-HR Fisher Asset Management, LLC 7,860,683 7,927,747 0.85 757,534 806,014 6.40
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 119 168 41.18 6 44 633.33
2018-02-13 13F-HR ClariVest Asset Management LLC 166,990 155,190 -7.07 16,093 15,779 -1.95
2018-02-14 13F-HR MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 1,795,501 1,591,633 -11.35 173,033 161,821 -6.48
2018-02-14 13F-HR VANGUARD GROUP INC 497,025 527,486 6.13 47,898 53,630 11.97
2018-01-26 N-Q VANGUARD WORLD FUND (see advisory)
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 300 1,931 543.67 29 197 579.31
2018-01-17 13F-HR Cutler Group LP Call 9,100 6,000 -34.07 20 21 5.00
2018-02-14 13F-HR Viking Global Investors LP 575,483 660,838 14.83 55,459 67,187 21.15
2018-02-14 13F-HR HighTower Advisors, LLC 17,193 14,291 -16.88 1,666 1,455 -12.67
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 9,700 17,800 83.51 935 1,810 93.58
2018-02-13 13F-HR PITCAIRN CO 1,992 202
2018-02-13 13F-HR JP Morgan Chase & Co 12,769,338 12,822,074 0.41 1,217,303 1,303,621 7.09
2018-02-14 13F-HR DEUTSCHE BANK AG\ 354,873 292,973 -17.44 34,197 29,784 -12.90
2018-02-14 13F-HR Summit Trail Advisors, Llc 155 16
2017-12-21 N-Q Blackrock Funds (see advisory)
2018-02-12 13F-HR OVERBROOK MANAGEMENT CORP 4,334 2,817 -35.00 418 286 -31.58
2018-02-14 13F-HR Walleye Trading LLC Put 0 1,500 0 153
2017-11-08 13F-HR DIXON HUBARD FEINOUR & BROWN INC/VA 2,675 2,675 0.00 233 258 10.73
2018-02-13 13F-HR Wellington Management Group LLP 1,654,147 1,661,147 0.42 159,411 168,888 5.95
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 9,077 10,829 19.30 875 1,101 25.83
2018-02-13 13F-HR ASSETMARK, INC 1,584 1,641 3.60 153 167 9.15
2018-02-14 13F-HR Natixis 6,414 6,904 7.64 618 702 13.59
2018-01-12 13F-HR SHEETS SMITH WEALTH MANAGEMENT 4,961 5,063 2.06 478 515 7.74
2018-02-14 13F-HR Jefferies Group LLC 7,075 0 -100.00 682 0 -100.00
2018-02-14 13F-HR GCA INVESTMENT MANAGEMENT, LLC 2,700 0 -100.00 75 0 -100.00
2017-11-07 13F-HR CALDWELL & ORKIN INC 16,865 28,375 68.25 1,467 2,734 86.37
2018-02-12 13F-HR Mirae Asset Global Investments Co., Ltd. 25,064 24,382 -2.72 2,415 2,479 2.65
2017-11-06 13F-HR Spot Trading L.l.c. Call 200 0 -100.00 17 0 -100.00
2017-09-28 N-Q American Funds Global Balanced Fund (see advisory)
2018-02-14 13F-HR Capital Bank & Trust Co 949,176 596,114 -37.20 91,472 60,607 -33.74
2017-11-22 N-Q Litman Gregory Funds Trust (see advisory)
2017-10-27 N-Q Fidelity Mt Vernon Street Trust (see advisory)
2017-08-25 N-Q Bernstein Sanford C Fund Inc (see advisory)
2017-11-14 13F-HR NOMURA HOLDINGS INC Put 150,000 0 -100.00 13,035 0 -100.00
2017-08-25 N-Q Marsico Investment Fund (see advisory)
2018-01-24 13F-HR IFP Advisors, Inc 1,968 2,010 2.13 190 204 7.37
2018-02-12 13F-HR YorkBridge Wealth Partners, LLC 924 1,201 29.98 89 120 34.83
2018-01-19 13F-HR Winslow, Evans & Crocker, Inc. 22,580 19,580 -13.29 2,176,036 1,990,702 -8.52
2018-02-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 0 71,745 0 7,294
2017-09-29 N-Q Alger Funds Ii (see advisory)
2018-02-14 13F-HR UBS Group AG Put 30,000 80,000 166.67 2,891 8,134 181.36
2017-09-27 N-Q Columbia Funds Series Trust Ii (see advisory)
2018-02-12 13F-HR Veritable, L.P. 2,653 2,921 10.10 256 297 16.02
2018-02-06 13F-HR ING GROEP NV 14,766 18,165 23.02 1,423 1,847 29.80
2018-02-14 13F-HR DIAM Co., Ltd. 5,246 991,662 18,803.20 500 100,188 19,937.60
2018-02-14 13F-HR Duquesne Family Office LLC 128,200 128,200 0.00 12,355 13,034 5.50
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 18,600 33,200 78.49 1,792 3,375 88.34
2018-02-02 13F-HR ROCKEFELLER FINANCIAL SERVICES INC 7,690 7,690 0.00 741 782 5.53
2018-02-09 13F-HR Proficio Capital Partners LLC 49 75 53.06 5 8 60.00
2018-02-16 13F-HR We Are One Seven, Llc 329 33
2018-02-08 13F-HR LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 252,235 254,730 0.99 24,308 25,898 6.54
2018-02-02 13F-HR HUNTINGTON NATIONAL BANK 1,552 1,575 1.48 150 160 6.67
2018-02-14 13F-HR Veritas Asset Management LLP 150,000 170,000 13.33 14,455 17,284 19.57
2018-01-18 13F-HR ACADIAN ASSET MANAGEMENT LLC 62,099 76,406 23.04 5,984 7,768 29.81
2018-02-14 13F-HR FIFTH THIRD BANCORP 23,759 24,540 3.29 2,290 2,495 8.95
2018-02-01 13F-HR Tradewinds Capital Management, LLC 2,975 2,975 0.00 287 302 5.23
2017-11-02 13F-HR HOWARD HUGHES MEDICAL INSTITUTE 52,300 0 -100.00 4,549 0 -100.00
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. Call 54,300 10,800 -80.11 5,233 1,098 -79.02
2017-11-27 N-Q State Farm Mutual Fund Trust (see advisory)
2018-01-29 N-Q John Hancock Funds Iii (see advisory)
2018-01-23 13F-HR WEBSTER BANK, N. A. 151 15
2017-08-28 N-Q Calvert World Values Fund Inc (see advisory)
2018-02-01 13F-HR SUMITOMO LIFE INSURANCE CO 14,080 15,580 10.65 1,357 1,584 16.73
2018-02-14 13F-HR CAUSEWAY CAPITAL MANAGEMENT LLC 43,350 41,450 -4.38 4,178 4,214 0.86
2018-02-12 13F-HR CITIGROUP INC Put 2,000 5,000 150.00 193 508 163.21
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 10,495 0 -100.00 1,011 0 -100.00
2018-02-12 13F-HR FMR LLC / Fidelity 15,012,557 15,090,722 0.52 1,446,760 1,534,273 6.05
2018-02-14 13F-HR ROYAL BANK OF CANADA 2,610,637 2,687,923 2.96 251,587 273,281 8.62
2018-02-09 13F-HR Bank of New York Mellon Corp 204,887 204,472 -0.20 19,745 20,788 5.28
2017-09-26 N-Q Deutsche International Fund, Inc. (see advisory)
2018-02-09 13F-HR Legacy Financial Advisors, Inc. 201 20
2018-01-29 13F-HR REILLY FINANCIAL ADVISORS, LLC 332 332 0.00 32 34 6.25
2018-02-14 13F-HR Nuveen Asset Management, LLC 45,874 37,897 -17.39 4,421 3,853 -12.85
2017-11-28 N-Q American Funds Fundamental Investors (see advisory)
2017-09-26 N-Q Wilmington Funds (see advisory)
2018-01-22 13F-HR Laurel Grove Capital, LLC 3,350 3,350 0.00 323 341 5.57
2018-02-13 13F-HR Oz Management LP 4,300 9,832 128.65 414 1,000 141.55
2018-01-11 13F-HR Crestwood Advisors LLC 3,600 366
2018-01-18 13F-HR REGIONS FINANCIAL CORP 1,313 134
2017-11-28 N-Q Variable Insurance Products Fund Ii (see advisory)
2018-01-11 13F-HR Daiwa SB Investments Ltd. 2,300 2,000 -13.04 222 203 -8.56
2018-02-02 13F-HR AMERICAN CENTURY COMPANIES INC 2,152,787 1,978,034 -8.12 207,464 201,107 -3.06
2017-08-22 N-Q Columbia Etf Trust Ii (see advisory)
2018-02-14 13F-HR DekaBank Deutsche Girozentrale 27,526 27,526 0.00 2,646 2,646 0.00
2018-02-14 13F-HR SAMLYN CAPITAL, LLC 586,329 519,805 -11.35 56,505 52,849 -6.47
2017-09-29 N-Q Alger Funds (see advisory)
2017-09-15 N-Q Tcw Funds Inc (see advisory)
2018-02-14 13F-HR D. E. Shaw & Co., Inc. 343,542 33,937 -90.12 33,107 3,450 -89.58
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 2,003 204
2018-02-09 13F-HR Twin Tree Management, LP Put 0 1,100 0 112
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 156,171 286,014 83.14 15,050 29,079 93.22
2017-12-29 N-Q Nuveen Investment Trust Ii (see advisory)
2018-01-25 13F-HR Eqis Capital Management, Inc. 7,542 4,905 -34.96 727 499 -31.36
2018-02-12 13F-HR Pacad Investment Ltd. 5,500 0 -100.00 530 0 -100.00
2017-08-28 N-Q EUROPACIFIC GROWTH FUND (see advisory)
2018-01-25 N-Q Putnam Funds Trust (see advisory)
2018-02-02 13F-HR TELEMUS CAPITAL, LLC 5,807 5,770 -0.64 560 587 4.82
2018-02-14 13F-HR NOMURA HOLDINGS INC 297,241 359,000 20.78 28,705 36,435 26.93
2018-02-08 13F-HR Egerton Capital (UK) LLP 2,241,300 2,052,143 -8.44 215,994 208,641 -3.40
2017-11-14 13F-HR Paloma Partners Management Co 13,390 0 -100.00 1,164 0 -100.00
2018-02-14 13F-HR Castle Hook Partners LP 198,423 450,874 127.23 19,122 45,840 139.72
2018-02-13 13F-HR FCA CORP /TX 4,000 4,000 0.00 385 407 5.71
2017-10-30 13F-HR SUMMIT SECURITIES GROUP, LLC 24,300 0 -100.00 2,113 0 -100.00
2018-02-12 13F-HR CITIGROUP INC 72,073 80,569 11.79 6,946 8,190 17.91
2018-02-09 13F-HR Twin Tree Management, LP 0 93 0 9
2018-02-12 13F-HR DIMENSIONAL FUND ADVISORS LP 5,676 5,676 0.00 547 577 5.48
2018-02-06 13F-HR Migdal Insurance & Financial Holdings Ltd. 12,434 11,034 -11.26 1,198 1,122 -6.34
2017-08-25 N-Q Putnam Investment Funds (see advisory)
2018-02-01 13F-HR NORTHWEST INVESTMENT COUNSELORS, LLC 300 0 -100.00 29 0 -100.00
2018-02-13 13F-HR Parisi Gray Wealth Management 2,238 229
2017-08-29 N-Q Loomis Sayles Funds Ii (see advisory)
2017-10-27 N-Q Fidelity Advisor Series I (see advisory)
2017-09-28 N-Q Mfs Series Trust Xv (see advisory)
2017-10-27 N-Q Pioneer Emerging Markets Fund (see advisory)
2017-12-28 N-Q Fidelity Advisor Series Vii (see advisory)
2018-02-01 13F-HR Nationwide Fund Advisors 34,715 0 -100.00 3,345 0 -100.00
2018-02-07 13F-HR PARK AVENUE SECURITIES LLC 2,366 2,618 10.65 224 268 19.64
2018-01-10 13F-HR Jaffetilchin Investment Partners, LLC 3,585 0 -100.00 345 0 -100.00
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 206,473 205,501 -0.47 19,899 20,892 4.99
2017-10-26 13F-HR Acrospire Investment Management LLC 100 0 -100.00 9 0 -100.00
2018-02-14 13F-HR UBS Group AG 275,787 258,515 -6.26 26,577 26,284 -1.10
2018-02-15 13F-HR CASTLEARK MANAGEMENT LLC 1,500 1,500 0.00 145 153 5.52
2018-01-29 13F-HR FIDUCIARY TRUST CO 3,587 3,587 0.00 346 365 5.49
2018-01-25 13F-HR FTB Advisors, Inc. 82 857 945.12 7 87 1,142.86
2017-09-28 N-Q Mfs Series Trust Viii (see advisory)
2018-01-10 13F-HR DnB Asset Management AS 18,800 20,800 10.64 1,811,568 2,115,776 16.79
2018-02-02 13F-HR TD ASSET MANAGEMENT INC 0 5,600 0 569
2017-11-29 N-Q Eaton Vance Special Investment Trust (see advisory)
2018-02-07 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 4,894 8,470 73.07 472 861 82.42
2018-02-14 13F-HR QS Investors, LLC 6,800 4,400 -35.29 655 447 -31.76
2018-02-14 13F-HR NORTHERN TRUST CORP 840,089 861,525 2.55 80,960 87,592 8.19
2018-02-14 13F-HR MARSHALL WACE ASIA Ltd 50,520 0 -100.00 4,850 0 -100.00
2018-01-30 13F-HR Private Advisory Group LLC 2,918 0 -100.00 281 0 -100.00
2018-02-01 13F-HR BNP Paribas Investment Partners S.A. 602,156 467,600 -22.35 58,030 47,541 -18.08
2017-10-27 N-Q New Economy Fund (see advisory)
2017-09-27 N-Q Commonwealth International Series Trust (see advisory)
2018-02-09 13F-HR Timber Hill LLC 12,961 1,318
2018-02-13 13F-HR Financial Gravity Companies, Inc. 107 12
2018-02-09 13F-HR HENDERSON GROUP PLC 173,770 148,287 -14.66 16,746 15,077 -9.97
2018-02-07 13F-HR SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) 27 0 -100.00 3 0 -100.00
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 0 332 0 34
2018-02-08 13F-HR FIRST TRUST ADVISORS LP 277,176 298,368 7.65 26,711 30,335 13.57
2018-02-14 13F-HR Motley Fool Wealth Management, LLC 67,422 71,126 5.49 6,497 7,231 11.30
2018-02-09 13F-HR SUNTRUST BANKS INC 7,039 6,687 -5.00 677 679 0.30
2017-09-28 N-Q Vanguard Trustees' Equity Fund (see advisory)
2018-02-16 13F-HR/A-1 WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC 2,794,700 2,008,239 -28.14 269,325 204,158 -24.20
2018-02-13 13F-HR STEVENS CAPITAL MANAGEMENT LP 14,843 0 -100.00 1,430 0 -100.00
2017-11-13 13F-HR Laurion Capital Management LP 954 0 -100.00 83 0 -100.00
2018-02-14 13F-HR BRINKER CAPITAL INC 18,319 18,390 0.39 1,766 1,870 5.89
2018-01-26 13F-HR COMMERZBANK AKTIENGESELLSCHAFT /FI 5,986 5,109 -14.65 577 519 -10.05
2018-02-06 13F-HR Bt Investment Management Ltd 205,276 213,276 3.90 19,782,448 21,683,771 9.61
2018-02-06 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 246,530 341,529 38.53 23,758 34,723 46.15
2017-09-29 N-Q Aberdeen Funds (see advisory)
2018-02-02 13F-HR Ballentine Partners, LLC 2,901 2,766 -4.65 279 282 1.08
2017-08-29 N-Q Wasatch Funds Trust (see advisory)
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 3,538 0 -100.00 308 0 -100.00
2018-02-01 13F-HR Harel Insurance Investments & Financial Services Ltd. 1,000 2,500 150.00 96 254 164.58
2018-02-14 13F-HR Invesco Ltd. 2,223,494 2,226,590 0.14 214,279 226,378 5.65
2017-12-28 N-Q Ab Sustainable Global Thematic Fund, Inc. (see advisory)
2018-02-14 13F-HR HBK INVESTMENTS L P 5,761 19,595 240.13 555 1,992 258.92
2018-02-07 13F-HR JACOBSON & SCHMITT ADVISORS, LLC 33,698 51,200 51.94 3,247 5,206 60.33
2018-01-26 N-Q Fidelity Rutland Square Trust Ii (see advisory)
2018-02-08 13F-HR Advisory Services Network, LLC 1,022 137 -86.59 98 14 -85.71
2018-02-14 13F-HR CREDIT SUISSE AG/ 45,799 59,474 29.86 4,413 6,048 37.05
2017-11-06 13F-HR Spot Trading L.l.c. 1,439 6,288 336.97 125 606 384.80
2018-02-07 13F-HR Private Advisor Group, LLC 6,637 6,276 -5.44 637 638 0.16
2018-01-26 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 472 472 0.00 45 48 6.67
2018-02-14 13F-HR Grantham, Mayo, Van Otterloo & Co. LLC 341,278 155,788 -54.35 32,889 15,839 -51.84
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 64,600 130,100 101.39 6,226 13,227 112.45
2018-02-13 13F-HR ALLIANCEBERNSTEIN L.P. 321,961 342,673 6.43 31,027 34,839 12.29
2018-02-09 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 17,423 15,720 -9.77 1,679 1,598 -4.82
2017-08-17 N-Q Dreyfus Investment Funds (see advisory)
2018-02-14 13F-HR One Wealth Advisors, Llc 1,204 122
2018-02-14 13F-HR LOOMIS SAYLES & CO L P 109,755 110,663 0.83 10,577 11,251 6.37
2018-02-14 13F-HR Neuberger Berman Group LLC 806,173 832,261 3.24 77,691 87,677 12.85
2018-02-13 13F-HR Parallel Advisors, LLC 1,630 1,630 0.00 153 166 8.50
2018-02-12 13F-HR Liberty Mutual Group Asset Management Inc. 17,669 0 -100.00 1,703 0 -100.00
2017-11-27 N-Q India Fund Inc (see advisory)
2018-01-16 13F-HR PRIVATE TRUST CO NA 3,020 3,020 0.00 291 307 5.50
2017-11-29 N-Q Ubs Relationship Funds (see advisory)
2017-12-28 N-Q Fidelity Securities Fund (see advisory)
2017-11-28 N-Q American Balanced Fund (see advisory)
2018-02-14 13F-HR ELLINGTON MANAGEMENT GROUP LLC 13,300 6,200 -53.38 1,282 630 -50.86
2018-02-12 13F-HR Charles-Lim Capital Ltd 1,460,261 1,364,875 -6.53 140,725 138,767 -1.39
2018-02-12 13F-HR CABOT WEALTH MANAGEMENT INC 121,337 119,988 -1.11 11,693 12,199 4.33
2018-02-13 13F-HR New Vernon Capital Holdings II LLC 29,232 44,999 53.94 2,817 4,575 62.41
2018-02-09 13F-HR Mitsubishi UFJ Trust & Banking Corp 36,500 27,200 -25.48 3,518 2,765 -21.40
2018-02-07 13F-HR Gradient Investments LLC 21 2
2018-02-09 13F-HR FDx Advisors, Inc. 24,729 25,564 3.38 2,383 2,599 9.06
2017-12-29 N-Q American Beacon Funds (see advisory)
2018-02-02 13F-HR COMERICA BANK 91,265 104,913 14.95 8,276 11,161 34.86
2017-11-01 13F-HR Perpetual Ltd 145,906 0 -100.00 12,689 0 -100.00
2018-02-07 13F-HR CAM Group Holding A/S 1,491,312 1,483,440 -0.53 143,718 150,821 4.94
2017-08-29 N-Q Lattice Strategies Trust (see advisory)
2018-02-06 13F-HR TEACHER RETIREMENT SYSTEM OF TEXAS 29,433 0 -100.00 2,836 0 -100.00
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 527,745 395,987 -24.97 50,859 40,259 -20.84
2017-11-24 N-Q Touchstone Strategic Trust (see advisory)
2017-11-29 N-Q Mutual Fund & Variable Insurance Trust (see advisory)
2018-02-14 13F-HR AMP Capital Investors Ltd 277,982 266,522 -4.12 26,790 27,098 1.15
2018-02-16 13F-HR SALEM INVESTMENT COUNSELORS INC 1,100 1,100 0.00 105 112 6.67
2018-02-14 13F-HR Conatus Capital Management LP 170,830 6,834 -96.00 16,463 695 -95.78
2018-02-09 13F-HR MONTAG A & ASSOCIATES INC 6,345 645
2017-08-18 13F-HR WFG Advisors, LP 26 0 -100.00 2 0 -100.00
2018-02-13 13F-HR Edge Advisors, Llc 503 612 21.67 48 62 29.17
2017-11-22 N-Q Professionally Managed Portfolios (see advisory)
2017-10-30 N-Q Claymore Exchange-traded Fund Trust 2 (see advisory)
2017-09-28 N-Q Aberdeen Asia-pacific Income Fund Inc (see advisory)
2018-02-14 13F-HR LPL Financial LLC 0 2,044 0 208
2018-01-29 13F-HR BB&T CORP 4,038 6,717 66.34 390 683 75.13
2017-09-29 N-Q Goldman Sachs Trust Ii (see advisory)
2017-11-24 N-Q Mfs Series Trust Xvi (see advisory)
2018-01-25 13F-HR Genesis Asset Managers, LLP 192,398 192,398 0.00 18,541 19,561 5.50
2017-08-25 N-Q Etf Series Solutions (see advisory)
2017-11-28 N-Q Emerging Markets Growth Fund Inc (see advisory)
2017-08-29 N-Q Northern Lights Fund Trust Iii (see advisory)
2017-12-28 N-Q Eaton Vance Mutual Funds Trust (see advisory)
2018-01-29 N-Q Neuberger Berman Equity Funds (see advisory)
2018-02-14 13F-HR MORGAN STANLEY 1,787,331 2,215,981 23.98 172,245 225,299 30.80
2018-02-14 13F-HR NGAM ADVISORS, L.P. 181,296 173,875 -4.09 17,471 17,678 1.18
2018-02-14 13F-HR PEAK6 Investments, L.P. Put 18,000 101,900 466.11 1,735 10,360 497.12
2018-01-24 13F-HR Lenox Wealth Management, Inc. 134 3
2018-02-06 13F-HR State of New Jersey Common Pension Fund D 722,878 684,400 -5.32 69,664 69,583 -0.12
2018-02-09 13F-HR Employees Retirement System of Texas 85,600 77,900 -9.00 8,249 7,920 -3.99
2018-02-14 13F-HR DSM Capital Partners LLC 1,462,753 1,155,648 -21.00 140,966 117,495 -16.65
2018-01-16 13F-HR CWM, LLC 37 37 0.00 4 4 0.00
2018-01-31 13F-HR GILDER GAGNON HOWE & CO LLC 562,342 557,185 -0.92 54,193 56,649 4.53
2018-02-09 13F-HR Baird Financial Group, Inc. 247,769 297,877 20.22 23,878 30,286 26.84
2018-02-14 13F-HR MARSICO CAPITAL MANAGEMENT LLC 35,100 34,782 -0.91 3,383 3,536 4.52
2018-01-24 13F-HR HERMES INVESTMENT MANAGEMENT LTD 297,456 299,224 0.59 28,666 30,422 6.13
2018-02-14 13F-HR Cubist Systematic Strategies, LLC 0 3,378 0 343
2017-11-29 N-Q Sma Relationship Trust (see advisory)
2018-02-12 13F-HR KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC 29,481 30,090 2.07 2,841 3,059 7.67
2018-02-13 13F-HR Mosaic Family Wealth, LLC 129 0 -100.00 12 0 -100.00
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 18,537 18,130 -2.20 1,786 1,843 3.19
2017-11-13 13F-HR Laurion Capital Management LP Put 30,000 0 -100.00 2,609 0 -100.00
2017-08-28 N-Q First Trust Exchange-traded Fund Ii (see advisory)
2018-02-15 13F-HR BB&T SECURITIES, LLC 21,662 22,463 3.70 2,087 2,283 9.39
2017-10-27 N-Q CAPITAL WORLD GROWTH & INCOME FUND (see advisory)
2018-01-25 N-Q Columbia Funds Series Trust I (see advisory)
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. Put 20,000 0 -100.00 1,927 0 -100.00
2017-10-26 13F-HR Integrated Investment Consultants, LLC 13 1
2018-02-13 13F-HR COMMONWEALTH BANK OF AUSTRALIA 1,806,947 541,870 -70.01 174,131 55,087 -68.36
2018-02-09 13F-HR COMERICA SECURITIES INC 5,836 6,144 5.28 562 625 11.21
2017-09-28 N-Q Powershares Exchange-traded Fund Trust Ii (see advisory)
2018-01-02 13F-HR PARK NATIONAL CORP /OH/ 2,068 210
2018-02-08 13F-HR SEI INVESTMENTS CO 1,461,590 1,474,300 0.87 140,853 149,893 6.42
2018-02-08 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 89,694 25,002 -72.13 8,644 2,542 -70.59
2017-11-29 N-Q Eaton Vance Series Trust Ii (see advisory)
2018-02-14 13F-HR CAPITAL INTERNATIONAL LTD /CA/ 15,800 15,900 0.63 1,523 1,617 6.17
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 121,378 128,974 6.26 11,697 13,113 12.11
2018-02-12 13F-HR Standard Life Aberdeen Plc 1,334,330 1,421,080 6.50 128,590 144,559 12.42
2018-01-29 13F-HR Coronation Fund Managers Ltd. 122,189 166,403 36.18 11,775 16,918 43.68
2018-02-13 13F-HR MARIETTA INVESTMENT PARTNERS LLC 137,903 137,528 -0.27 13,290 13,982 5.21
2018-02-09 13F-HR BlackRock Inc. 2,311,964 2,012,054 -12.97 222,805 204,565 -8.19
2018-02-12 13F-HR PRINCIPAL FINANCIAL GROUP INC 620,064 617,452 -0.42 59,756 62,776 5.05
2017-11-14 13F-HR First Allied Advisory Services, Inc. 2,604 0 -100.00 226 0 -100.00
2018-02-12 13F-HR CITIGROUP INC Call 0 11,500 0 1,169
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 27,200 37,000 36.03 2,621 3,762 43.53
2018-02-14 13F-HR Squarepoint Ops LLC 23,754 19,000 -20.01 2,289 1,932 -15.60
2018-01-29 13F-HR Verde Servicos Internacionais S.A. 51,612 53,061 2.81 4,973 5,394 8.47
2018-02-14 13F-HR BLAIR WILLIAM & CO/IL 11,317 12,893 13.93 1,091 1,311 20.16
2018-02-14 13F-HR Walleye Trading LLC Call 800 600 -25.00 77 61 -20.78
2017-12-27 N-Q Advisors' Inner Circle Fund Ii (see advisory)
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 5,706 16,989 197.74 550 1,728 214.18
2018-02-14 13F-HR PEAK6 Investments, L.P. 0 28,872 0 2,935
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 6,700 3,300 -50.75 646 336 -47.99
2018-02-05 13F-HR Calton & Associates, Inc. 111 11
2018-02-13 13F-HR FIRST INTERSTATE BANK 1,280 1,280 0.00 123 130 5.69
2018-02-14 13F-HR HSBC HOLDINGS PLC 362,642 344,238 -5.07 34,947 34,999 0.15
2018-01-02 13F-HR American Financial Network Advisory Services Llc 47 47 0.00 5 5 0.00
2017-11-22 N-Q Blackrock Enhanced International Dividend Trust (see advisory)
2017-11-28 N-Q Putnam Variable Trust (see advisory)
2018-02-08 13F-HR BAILARD, INC. 3,478 0 -100.00 335 0 -100.00
2018-02-09 13F-HR Virtu Financial LLC 5,576 567
2017-09-29 N-Q Investment Managers Series Trust (see advisory)
2018-01-25 13F-HR JENNISON ASSOCIATES LLC 1,055,339 1,168,554 10.73 101,703 118,807 16.82
2018-02-14 13F-HR STATE STREET CORP 57,619 140,571 143.97 5,553 14,292 157.37
2017-10-18 N-Q Trust For Professional Managers (see advisory)
2018-02-14 13F-HR DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 301,970 0 -100.00 29,100 0 -100.00
2018-02-02 13F-HR Seacrest Wealth Management, Llc 603 61
2018-02-07 13F-HR RIVER & MERCANTILE ASSET MANAGEMENT LLP 7,280 41,419 468.94 701 4,213 501.00
2018-02-12 13F-HR HANSBERGER GROWTH INVESTORS, LP 68,457 63,539 -7.18 6,597 6,460 -2.08
2017-11-28 N-Q Variable Insurance Products Fund (see advisory)
2017-09-20 N-Q Amg Funds (see advisory)
2017-09-27 N-Q Franklin Templeton International Trust (see advisory)
2017-11-28 N-Q International Growth & Income Fund (see advisory)
2017-11-14 13F-HR Three Corner Global Investors LP 116,300 0 -100.00 10,115 0 -100.00
2018-01-26 13F-HR ADVISOR PARTNERS LLC 2,009 216
2017-11-14 13F-HR JANE STREET GROUP, LLC 2,470 0 -100.00 215 0 -100.00
2017-11-28 N-Q American Funds Insurance Series (see advisory)
2018-02-08 13F-HR PineBridge Investments, L.P. 12,700 8,000 -37.01 1,224 813 -33.58
2018-01-17 13F-HR Cutler Group LP 7,276 18,978 160.83 701 1,929 175.18
2018-02-12 13F-HR Artisan Partners Limited Partnership 3,350,974 3,829,617 14.28 322,933 389,357 20.57
2017-11-02 13F-HR Bristol Advisors, LLC 7,300 0 -100.00 635 0 -100.00
2017-11-28 N-Q Matthews International Funds (see advisory)
2018-01-23 13F-HR BFSG, LLC 2,395 0 -100.00 231 0 -100.00
2018-02-14 13F-HR TRILOGY GLOBAL ADVISORS LP 809,269 878,883 8.60 77,989 89,356 14.58
2017-10-27 13F-HR Cable Hill Partners, LLC 0 50 0 5
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 647,302 913,516 41.13 62,381 92,877 48.89
2017-11-21 N-Q Allianz Funds (see advisory)
2017-10-27 N-Q Pnc Funds (see advisory)
2018-02-14 13F-HR Capital World Investors 8,646,015 8,510,451 -1.57 833,216 865,258 3.85
2018-02-07 13F-HR Boston Common Asset Management, LLC 71,370 80,590 12.92 6,878 8,194 19.13
2017-08-23 N-Q Rbc Funds Trust (see advisory)
2017-09-28 N-Q Fidelity Advisor Series Viii (see advisory)
2018-02-13 13F-HR PIONEER INVESTMENT MANAGEMENT INC 52,933 62,000 17.13 5,101 6,303 23.56
2018-01-18 13F-HR Mondrian Investment Partners LTD 600 600 0.00 58 61 5.17
2018-01-25 13F-HR Sumitomo Mitsui Asset Management Company, LTD 78,794 74,833 -5.03 7,593 7,608 0.20
2018-01-18 13F-HR WealthTrust-Arizona, LLC 263 263 0.00 25 27 8.00
2018-02-07 13F-HR LS Investment Advisors, LLC 240 240 0.00 23 24 4.35
2018-01-29 13F-HR Lenox Wealth Advisors, Inc. 40 27 -32.50 4 3 -25.00
2017-09-28 N-Q Fidelity Investment Trust (see advisory)
2018-02-14 13F-HR Integral Derivatives, LLC Put 3,400 0 -100.00 328 0 -100.00
2017-11-28 N-Q Capital World Bond Fund (see advisory)
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 215,946 204,221 -5.43 20,810,716 20,763,149 -0.23
2017-09-26 N-Q Caldwell & Orkin Funds Inc (see advisory)
2018-02-13 13F-HR MAVERICK CAPITAL LTD 35,830 0 -100.00 3,453 0 -100.00
2018-02-13 13F-HR EMERGING SOVEREIGN GROUP LLC 336,651 50,551 -84.98 32,443 5,140 -84.16
2017-11-06 13F-HR Spot Trading L.l.c. Put 36,000 1,100 -96.94 3,131 106 -96.61
2018-01-25 13F-HR First Personal Financial Services 77,312 77,312 0.00 7,451 7,860 5.49
2018-01-10 13F-HR SIT INVESTMENT ASSOCIATES INC 4,375 4,600 5.14 422 468 10.90
2017-11-14 13F-HR/A-1 UBS Group AG Call 2,900 0 -100.00 176 0 -100.00
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 25 44 76.00 8 18 125.00
2018-02-14 13F-HR EDMOND DE ROTHSCHILD HOLDING S.A. 23,234 23,234 0.00 2,237 2,361 5.54
2018-02-14 13F-HR Avestar Capital, Llc 713 61
2017-09-27 N-Q Blackrock Long-horizon Equity Fund (see advisory)
2018-02-12 13F-HR FINANCIAL COUNSELORS INC 5,810 5,810 0.00 560 591 5.54
2017-11-28 N-Q Fidelity Hastings Street Trust (see advisory)
2018-02-13 13F-HR ETRADE Capital Management LLC 2,825 3,335 18.05 272 339 24.63
2018-02-14 13F-HR FRANKLIN RESOURCES INC 455,011 458,000 0.66 43,850 46,564 6.19
2018-02-13 13F-HR UNITED CAPITAL FINANCIAL ADVISERS, LLC 2,567 81,216 3,063.85 247 8,257 3,242.91
2018-02-12 13F-HR VAN ECK ASSOCIATES CORP 265,100 328,500 23.92 25,548 33,399 30.73
2018-02-15 13F-HR GLENMEDE TRUST CO NA 339 339 0.00 32 34 6.25
2017-11-24 N-Q Blackrock Funds Iii (see advisory)
2017-11-22 N-Q COLLEGE RETIREMENT EQUITIES FUND (see advisory)
2018-01-31 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 36,176 33,299 -7.95 3,486 3,386 -2.87
2018-01-17 13F-HR Cutler Group LP Put 1,100 5,300 381.82 3 20 566.67
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 1,176,475 1,107,038 -5.90 113,377 112,553 -0.73
2018-02-14 13F-HR DRIEHAUS CAPITAL MANAGEMENT LLC 1,012,691 849,280 -16.14 97,593 86,346 -11.52
2018-02-13 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC 13,790 17,854 29.47 1,308 1,815 38.76
2017-10-16 13F-HR SEVEN EIGHT CAPITAL, LLC 5,700 0 -100.00 496 0 -100.00
2017-10-31 13F-HR Legato Capital Management LLC 54,760 0 -100.00 4,762 0 -100.00
2018-01-30 13F-HR Roble, Belko & Company, Inc 124 124 0.00 12 13 8.33
2018-01-25 13F-HR Cornerstone Advisors, Inc. 2,637 2,281 -13.50 254 232 -8.66
2018-02-14 13F-HR Verition Fund Management LLC 5,253 0 -100.00 506 0 -100.00
2018-02-07 13F-HR WHITTIER TRUST CO 29 0 -100.00 3 0 -100.00
2018-01-16 13F-HR VONTOBEL ASSET MANAGEMENT INC 2,129,606 2,140,936 0.53 224,620 239,025 6.41
2018-01-26 N-Q GROWTH FUND OF AMERICA (see advisory)
2018-02-14 13F-HR/A-1 PUTNAM INVESTMENTS LLC 13,227 13,235 0.06 1,274 1,345 5.57
2018-02-05 13F-HR TOKIO MARINE ASSET MANAGEMENT CO LTD 61,700 84,000 36.14 5,946 8,540 43.63
2018-02-06 13F-HR DUBUQUE BANK & TRUST CO 23,716 24,558 3.55 2,285 2,496 9.23
2018-02-06 13F-HR D'Orazio & Associates, Inc. 1,000 1,000 0.00 96 102 6.25
2018-02-14 13F-HR GAM Holding AG 112,000 51,400 -54.11 10,771 5,226 -51.48
2017-08-29 N-Q Janus Investment Fund (see advisory)
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. Put 52,700 12,300 -76.66 5,079 1,251 -75.37
2018-02-14 13F-HR Walleye Trading LLC 46,138 9,063 -80.36 4,446 921 -79.28
2018-02-07 13F-HR CONNABLE OFFICE INC 13,302 12,198 -8.30 1,282 1,240 -3.28
2018-02-14 13F-HR Motley Fool Asset Management LLC 113,350 113,350 0.00 10,924 11,524 5.49
2017-08-24 N-Q Fiera Capital Series Trust (see advisory)
2018-02-14 13F-HR Sensato Investors LLC 158,900 0 -100.00 15,313 0 -100.00
2018-02-14 13F-HR ROYAL BANK OF CANADA Put 50,000 50,000 0.00 4,819 5,084 5.50
2018-01-17 13F-HR Creative Planning 0 1,998 0 203
2018-02-14 13F-HR NOMURA ASSET MANAGEMENT CO LTD 39,185 42,520 8.51 3,776 4,323 14.49
2017-08-24 N-Q Spdr Index Shares Funds (formerly Streettracks Index Shares Funds) (see advisory)
2017-11-29 N-Q VanEck Funds (see advisory)
2018-02-14 13F-HR Two Creeks Capital Management, LP 938,626 938,626 0.00 90,455 95,430 5.50
2018-02-02 13F-HR TURNER INVESTMENTS, L.P. 5,706 290 -94.92 550 29 -94.73
2018-02-14 13F-HR VIRTUS ETF ADVISERS LLC 583 59
2018-02-13 13F-HR Truewealth Llc 545 55
2018-02-12 13F-HR BROWN ADVISORY INC 2,949 3,265 10.72 284 331 16.55
2018-01-31 13F-HR Trailhead Pacific, Llc 26,000 2,643
2017-09-15 N-Q Steward Funds, Inc. (see advisory)
2018-02-12 13F-HR JUPITER ASSET MANAGEMENT LTD 193,900 179,707 -7.32 18,686 18,271 -2.22
2018-01-31 13F-HR IFC Holdings Incorporated/FL 18,103 16,808 -7.15 1,744 1,706 -2.18
2018-02-09 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 4,131,279 4,248,844 2.85 393,835 431,981 9.69
2018-01-24 13F-HR SG Americas Securities, LLC 49,854 36,694 -26.40 4,804 3,731 -22.34
2018-02-09 13F-HR Connor, Clark & Lunn Investment Management Ltd. 8,100 824
2018-02-12 13F-HR Navellier & Associates Inc 462 789 70.78 45 80 77.78
2018-01-24 13F-HR Harbour Capital Advisors, LLC 3,110 2,985 -4.02 300 303 1.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 113,200 129,900 14.75 10,909 13,207 21.07
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 937,169 1,115,636 19.04 90,531 113,490 25.36
2018-02-12 13F-HR Aubrey Capital Management Ltd 75,130 7,638,467
2018-02-13 13F-HR MACKENZIE FINANCIAL CORP 0 8,100 0 824
2018-01-30 13F-HR BESSEMER GROUP INC 37,447 59,368 58.54 3,608 6,035 67.27
2017-10-26 N-Q American Century World Mutual Funds Inc (see advisory)
2018-02-09 13F-HR Gryphon Financial Partners Llc 8 1
2018-01-29 N-Q Claymore Exchange-traded Fund Trust (see advisory)
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 12,500 22,800 82.40 1,205 2,318 92.37
2018-02-05 13F-HR Northcape Capital Pty Ltd 742,137 751,691 1.29 71,519 76,424 6.86
2018-02-14 13F-HR EULAV Asset Management 75,500 59,500 -21.19 7,276 6,049 -16.86
2018-02-02 13F-HR GABELLI FUNDS LLC 17,500 17,500 0.00 1,686 1,779 5.52
2018-02-07 13F-HR HUNTINGTON ASSET ADVISORS, INC. 1,700 1,700 0.00 164 173 5.49
2018-01-17 13F-HR Asset Dedication, LLC 270 270 0.00 26 27 3.85
2017-12-28 N-Q Eaton Vance Growth Trust (see advisory)
2018-02-14 13F-HR Marshall Wace North America L.P. 0 69,680 0 7,085
2018-02-09 13F-HR CITADEL ADVISORS LLC 16,827 53,692 219.08 1,622 5,459 236.56
2018-01-17 13F-HR FCM INVESTMENTS/TX 26,000 0 -100.00 2,506 0 -100.00
2018-02-08 13F-HR Handelsbanken Fonder AB 45,000 45,000 0.00 4,337 4,575 5.49
2018-01-18 13F-HR Westpac Banking Corp 112,070 0 -100.00 10,800,186 0 -100.00
2018-02-14 13F-HR RUANE, CUNNIFF & GOLDFARB INC 9,074 9,074 0.00 874 923 5.61
2017-11-27 N-Q Baron Select Funds (see advisory)
2018-02-12 13F-HR MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT LLC 206,922 8,422 -95.93 19,941 856 -95.71
2017-11-28 N-Q Variable Insurance Products Fund Iii (see advisory)
2018-02-09 13F-HR TCW GROUP INC 22,800 0 -100.00 2,197 0 -100.00
2018-02-13 13F-HR Advisors Asset Management, Inc. 6,142 6,640 8.11 592 675 14.02
2018-02-09 13F-HR NORDEA INVESTMENT MANAGEMENT AB 26,159 35,188 34.52 2,521 3,578 41.93
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 1,329,784 1,349,763 1.50 128,152 137,231 7.08
2018-02-07 13F-HR AGF INVESTMENTS INC. 10,400 10,400 0.00 1,002 1,057 5.49
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 541 3,154 482.99 52 321 517.31
2017-09-01 N-Q Calamos Investment Trust/il (see advisory)
2018-02-12 13F-HR FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ 2,985 2,985 0.00 288 303 5.21
2018-02-14 13F-HR MACQUARIE GROUP LTD 8,692 48,250 455.11 838 4,902 484.96
2018-02-14 13F-HR Nikko Asset Management Americas, Inc. 199,400 447,500 124.42 19,216 44,440 131.27
2018-02-13 13F-HR Allianz Asset Management AG 276,333 339,041 22.69 26,630 34,470 29.44
2017-09-29 N-Q Alger Global Growth Fund (see advisory)
2018-02-09 13F-HR Fiera Capital Corp 2,555,125 3,045,608 19.20 246,237 309,647 25.75
2018-02-13 13F-HR Bishop Rock Capital, L.P. 47,685 45,921 -3.70 4,595 4,669 1.61
2017-09-28 N-Q Asia Tigers Fund Inc (see advisory)
2018-02-12 13F-HR Atlantic Trust Group, LLC 58,001 61,871 6.67 5,590 6,290 12.52
2018-01-26 13F-HR JOHNSTON ASSET MANAGEMENT CORP 2,626,945 2,671,925 1.71 253,158 271,655 7.31
2018-02-14 13F-HR WOLVERINE TRADING, LLC 21,281 19,938 -6.31 2,051 2,027 -1.17
2018-02-12 13F-HR FIL Ltd 1,980,395 1,992,270 0.60 190,851 202,553 6.13
2018-02-14 13F-HR TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 169,000 169,000 0.00 16,287 17,182 5.50
2017-11-29 N-Q Rydex Variable Trust (see advisory)
2018-02-12 13F-HR LOGAN CAPITAL MANAGEMENT INC 10,032 10,032 0.00 967 1,020 5.48
2017-11-28 N-Q Fidelity Contrafund (see advisory)
2018-02-06 13F-HR WCM INVESTMENT MANAGEMENT/CA 7,507,836 8,016,441 6.77 723,531 815,031 12.65
2017-11-24 N-Q Master Investment Portfolio (see advisory)
2018-02-14 13F-HR WADDELL & REED FINANCIAL INC 22,690 4,090 -81.97 2,187 416 -80.98
2017-11-29 N-Q Brown Advisory Funds (see advisory)

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( HDB / HDFC Bank Ltd. ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

CUSIP: 40415F101