ALPHA WINDWARD LLC Historic Quarter Change: USA ETF, New

ALPHA WINDWARD LLC historic quarter change: USA ETF, New

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), over 13 quarters from 2013-06-30 to 2016-09-30, ALPHA WINDWARD LLC opened 15 positions, added to 82, reduced 72 and sold out of 14.

Q1 2016: Stock TFI; Country of operation —; Class NUVN BRCLY MUNI; Shares before 0.
Q1 2016: Stock MUB; Country of operation —; Class ETF; Shares before 0.
Q1 2016: Stock SHM; Country of operation —; Class NUVN BR SHT MUNI; Shares before 0.
Q4 2015: Stock CALY; Country of operation —; Class COM; Shares before 0.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1353219), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-10-19); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-07-08); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-14); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-01-15); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-10-13); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-07-08); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-04-16); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-01-23); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-10-21); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-07-16); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-04-16); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-01-14); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-10-18). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2005-12-31.

Quarter	Stock	Class	Shares after	Share change	Value before	Value after	Value change	Filed
Q1 2016	TFI SPDR SER TR	NUVN BRCLY MUNI	27,122	+27,122	$0	$1,338,000	+$1,338,000	2016-04-14
Q1 2016	MUB ISHARES TR NATIONAL MUN	ETF	11,898	+11,898	$0	$1,328,000	+$1,328,000	2016-04-14
Q1 2016	SHM SPDR SER TR	NUVN BR SHT MUNI	190	+190	$0	$9,000	+$9,000	2016-04-14
Q4 2015	CALY CALLAWAY GOLF CO	COM	43,680	+43,680	$0	$411,000	+$411,000	2016-01-15
Q4 2015	SPDR SERIES TRUST CUSIP 78464A425	NUVN BR SHT MUNI	380	+380	$0	$9,000	+$9,000	2016-01-15
Q4 2015	SUB ISHARES TR SHT NTLAMTFR	ETF	87	+87	$0	$9,000	+$9,000	2016-01-15
Q3 2015	VWO VANGUARD INTL EQUITY INDEX F F	ETF	80,063	+80,063	$0	$2,649,000	+$2,649,000	2015-10-13
Q4 2014	SPDR SERIES TRUST CUSIP 78464A425	NUVN BR SHT MUNI	9,700	+9,700	$0	$236,000	+$236,000	2015-01-23
Q4 2014	SUB ISHARES SHT NTLAMTFR	ETF	2,225	+2,225	$0	$236,000	+$236,000	2015-01-23
Q4 2013	RWX SPDR INDEX SHS FDS DJ INTL RL	ETF	47,100	+47,100	$0	$1,941,000	+$1,941,000	2014-01-14
Q3 2013	EFA ISHARES MSCI EAFE	ETF	132,876	+132,876	$0	$8,478,000	+$8,478,000	2013-10-18
Q3 2013	IWR ISHARES RUS MID-CAP	ETF	38,360	+38,360	$0	$5,335,000	+$5,335,000	2013-10-18
Q3 2013	EEM ISHARES MSCI EMG MKT	ETF	96,789	+96,789	$0	$3,945,000	+$3,945,000	2013-10-18
Q3 2013	IWM ISHARES RUSSELL 2000	ETF	19,747	+19,747	$0	$2,105,000	+$2,105,000	2013-10-18
Q3 2013	VNQ VANGUARD INDEX FDS REIT	ETF	22,060	+22,060	$0	$1,459,000	+$1,459,000	2013-10-18

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