Forward Management, 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, Forward Management, LLC opened 58 positions, added to 57, reduced 69 and sold out of 49.
- Q3 2016: Stock IWM; Country of operation —; Class RUSSELL 2000 ETF; Shares before 0.
- Q3 2016: Stock EEM; Country of operation —; Class MSCI EMG MKT ETF; Shares before 0.
- Q3 2016: Stock VEA; Country of operation —; Class FTSE DEV MKT ETF; Shares before 0.
- Q3 2016: Stock BSV; Country of operation —; Class SHORT TRM BOND; Shares before 0.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1385864), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-04); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-03); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-05-13); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-11); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-09); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-11); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-05-14); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-02-10); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-12); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-12); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-08); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-03-04); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-06). 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 2006-12-31.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|
| Q3 2016 | IWM
ISHARES TR | | RUSSELL 2000 ETF | 0 | 415,953 | +415,953 | $0 | $51,666,000 | +$51,666,000 | 2016-11-04 |
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| Q3 2016 | EEM
ISHARES TR | | MSCI EMG MKT ETF | 0 | 4,163 | +4,163 | $0 | $155,000 | +$155,000 | 2016-11-04 |
|---|
| Q3 2016 | VEA
VANGUARD TAX MANAGED INTL FD | | FTSE DEV MKT ETF | 0 | 1,237 | +1,237 | $0 | $46,000 | +$46,000 | 2016-11-04 |
|---|
| Q3 2016 | BSV
VANGUARD BD INDEX FD INC | | SHORT TRM BOND | 0 | 452 | +452 | $0 | $37,000 | +$37,000 | 2016-11-04 |
|---|
| Q2 2016 | DIA
SPDR DOW JONES INDL AVRG ETF | | UT SER 1 | 0 | 780,570 | +780,570 | $0 | $101,606,000 | +$101,606,000 | 2016-08-03 |
|---|
| Q2 2016 | VNQ
VANGUARD INDEX FDS | | REIT ETF | 0 | 49,376 | +49,376 | $0 | $4,378,000 | +$4,378,000 | 2016-08-03 |
|---|
| Q2 2016 | RWX
SPDR INDEX SHS FDS | | DJ INTL RL ETF | 0 | 30,000 | +30,000 | $0 | $1,244,000 | +$1,244,000 | 2016-08-03 |
|---|
| Q2 2016 | ISHARES TR
CUSIP 464288422 | | INTL DEVPPTY ETF | 0 | 29,300 | +29,300 | $0 | $1,077,000 | +$1,077,000 | 2016-08-03 |
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| Q2 2016 | IJR
ISHARES TR | | CORE S&P SCP ETF | 0 | 1,080 | +1,080 | $0 | $126,000 | +$126,000 | 2016-08-03 |
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| Q2 2016 | ACWI
ISHARES TR | | MSCI ACWI ETF | 0 | 0 | 0 | $0 | $0 | $0 | 2016-08-03 |
|---|
| Q1 2016 | EEM
ISHARES TR | | MSCI EMG MKT ETF | 0 | 1,695,701 | +1,695,701 | $0 | $58,078,000 | +$58,078,000 | 2016-05-13 |
|---|
| Q1 2016 | VOX
VANGUARD WORLD FDS | | TELCOMM ETF | 0 | 46,762 | +46,762 | $0 | $4,336,000 | +$4,336,000 | 2016-05-13 |
|---|
| Q1 2016 | XLU
SELECT SECTOR SPDR TR | | SBI INT-UTILS | 0 | 74,039 | +74,039 | $0 | $3,674,000 | +$3,674,000 | 2016-05-13 |
|---|
| Q1 2016 | ISHARES
CUSIP 464286145 | | MSCI FRNTR100ETF | 0 | 14,950 | +14,950 | $0 | $367,000 | +$367,000 | 2016-05-13 |
|---|
| Q4 2015 | IWM
ISHARES TR | | RUSSELL 2000 ETF | 0 | 403,671 | +403,671 | $0 | $45,461,000 | +$45,461,000 | 2016-02-11 |
|---|
| Q4 2015 | XLV
SELECT SECTOR SPDR TR | | SBI HEALTHCARE | 0 | 3,357 | +3,357 | $0 | $242,000 | +$242,000 | 2016-02-11 |
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| Q4 2015 | XLP
SELECT SECTOR SPDR TR | | SBI CONS STPLS | 0 | 4,681 | +4,681 | $0 | $236,000 | +$236,000 | 2016-02-11 |
|---|
| Q4 2015 | XLK
SELECT SECTOR SPDR TR | | TECHNOLOGY | 0 | 5,447 | +5,447 | $0 | $233,000 | +$233,000 | 2016-02-11 |
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| Q4 2015 | XLY
SELECT SECTOR SPDR TR | | SBI CONS DISCR | 0 | 2,959 | +2,959 | $0 | $231,000 | +$231,000 | 2016-02-11 |
|---|
| Q4 2015 | DVY
ISHARES TR | | SELECT DIVID ETF | 0 | 2,930 | +2,930 | $0 | $220,000 | +$220,000 | 2016-02-11 |
|---|
| Q4 2015 | ACWI
ISHARES TR | | MSCI ACWI ETF | 0 | 505 | +505 | $0 | $28,000 | +$28,000 | 2016-02-11 |
|---|
| Q3 2015 | ACWX
ISHARES TR | | MSCI ACWI EX US | 0 | 147,610 | +147,610 | $0 | $6,495,000 | +$6,495,000 | 2015-11-09 |
|---|
| Q3 2015 | GLOBAL X FDS
CUSIP 37950E689 | | MSCI PAKISTAN | 0 | 35,940 | +35,940 | $0 | $570,000 | +$570,000 | 2015-11-09 |
|---|
| Q3 2015 | IJR
ISHARES TR | | CORE S&P SCP ETF | 0 | 404 | +404 | $0 | $43,000 | +$43,000 | 2015-11-09 |
|---|
| Q3 2015 | IXUS
ISHARES TR | | CORE MSCITOTAL | 0 | 846 | +846 | $0 | $41,000 | +$41,000 | 2015-11-09 |
|---|
| Q2 2015 | IWV
ISHARES TR | | RUSSELL 3000 ETF | 0 | 1,800 | +1,800 | $0 | $223,000 | +$223,000 | 2015-08-11 |
|---|
| Q2 2015 | PROSHARES TR
CUSIP 74348A244 | | ULTSHT REAL EST | 0 | 4,000 | +4,000 | $0 | $219,000 | +$219,000 | 2015-08-11 |
|---|
| Q2 2015 | MINT
PIMCO ETF TR | | ENHAN SHRT MA AC | 0 | 150 | +150 | $0 | $15,000 | +$15,000 | 2015-08-11 |
|---|
| Q2 2015 | IEV
ISHARES TR | | EUROPE ETF | 0 | 275 | +275 | $0 | $12,000 | +$12,000 | 2015-08-11 |
|---|
| Q1 2015 | IWM
ISHARES TR | | RUSSELL 2000 ETF | 0 | 1,336,456 | +1,336,456 | $0 | $166,215,000 | +$166,215,000 | 2015-05-14 |
|---|
| Q1 2015 | FXI
ISHARES TR | | CHINA LG-CAP ETF | 0 | 701,954 | +701,954 | $0 | $31,166,000 | +$31,166,000 | 2015-05-14 |
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| Q1 2015 | EFA
ISHARES TR | | MSCI EAFE ETF | 0 | 479,998 | +479,998 | $0 | $30,802,000 | +$30,802,000 | 2015-05-14 |
|---|
| Q4 2014 | VGIT
VANGUARD SCOTTSDALE FDS | | INT-TERM GOV | 0 | 90,950 | +90,950 | $0 | $5,865,000 | +$5,865,000 | 2015-02-10 |
|---|
| Q4 2014 | VCIT
VANGUARD SCOTTSDALE FDS | | INT-TERM CORP | 0 | 46,690 | +46,690 | $0 | $4,020,000 | +$4,020,000 | 2015-02-10 |
|---|
| Q4 2014 | ACWX
ISHARES | | MSCI ACWI US ETF | 0 | 11,725 | +11,725 | $0 | $504,000 | +$504,000 | 2015-02-10 |
|---|
| Q4 2014 | IJS
ISHARES TR | | SP SMCP600VL ETF | 0 | 1,997 | +1,997 | $0 | $236,000 | +$236,000 | 2015-02-10 |
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| Q4 2014 | RMT
ROYCE MICRO-CAP TR INC | | COM | 0 | 2,175 | +2,175 | $0 | $22,000 | +$22,000 | 2015-02-10 |
|---|
| Q3 2014 | EEM
ISHARES TR | | MSCI EMG MKT ETF | 0 | 267,027 | +267,027 | $0 | $11,097,000 | +$11,097,000 | 2014-11-12 |
|---|
| Q3 2014 | IWV
ISHARES TR | | RUSSELL 3000 ETF | 0 | 1,375 | +1,375 | $0 | $161,000 | +$161,000 | 2014-11-12 |
|---|
| Q3 2014 | XLV
SELECT SECTOR SPDR TR | | SBI HEALTHCARE | 0 | 424 | +424 | $0 | $27,000 | +$27,000 | 2014-11-12 |
|---|
| Q3 2014 | XLE
SELECT SECTOR SPDR TR | | SBI INT-ENERGY | 0 | 296 | +296 | $0 | $27,000 | +$27,000 | 2014-11-12 |
|---|
| Q3 2014 | XLF
SELECT SECTOR SPDR TR | | SBI INT-FINL | 0 | 1,176 | +1,176 | $0 | $27,000 | +$27,000 | 2014-11-12 |
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| Q2 2014 | DIREXION SHS ETF TR
CUSIP 25459Y314 | | DLY SEMICONDUCT | 0 | 1,500 | +1,500 | $0 | $30,000 | +$30,000 | 2014-08-12 |
|---|
| Q2 2014 | XLY
SELECT SECTOR SPDR TR | | SBI CONS DISCR | 0 | 211 | +211 | $0 | $14,000 | +$14,000 | 2014-08-12 |
|---|
| Q2 2014 | XLU
SELECT SECTOR SPDR TR | | SBI INT-UTILS | 0 | 322 | +322 | $0 | $14,000 | +$14,000 | 2014-08-12 |
|---|
| Q2 2014 | XLK
SELECT SECTOR SPDR TR | | TECHNOLOGY | 0 | 369 | +369 | $0 | $14,000 | +$14,000 | 2014-08-12 |
|---|
| Q1 2014 | XLE
SELECT SECTOR SPDR TR | | SBI INT-ENERGY | 0 | 304 | +304 | $0 | $27,000 | +$27,000 | 2014-05-08 |
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| Q1 2014 | XLI
SELECT SECTOR SPDR TR | | SBI INT-INDS | 0 | 508 | +508 | $0 | $27,000 | +$27,000 | 2014-05-08 |
|---|
| Q1 2014 | XLV
SELECT SECTOR SPDR TR | | SBI HEALTHCARE | 0 | 459 | +459 | $0 | $26,000 | +$26,000 | 2014-05-08 |
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| Q1 2014 | XLB
SELECT SECTOR SPDR TR | | SBI MATERIALS | 0 | 557 | +557 | $0 | $26,000 | +$26,000 | 2014-05-08 |
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| Q4 2013 | IWM
ISHARES | | RUSSELL 2000 ETF | 0 | 606,728 | +606,728 | $0 | $70,053,000 | +$70,053,000 | 2014-03-04 |
|---|
| Q4 2013 | MARKET VECTORS ETF TR
CUSIP 57060U761 | | VIETNAM ETF | 0 | 59,250 | +59,250 | $0 | $1,113,000 | +$1,113,000 | 2014-03-04 |
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| Q4 2013 | ISHARES
CUSIP 464286731 | | MSCI TAIWAN ETF | 0 | 77,000 | +77,000 | $0 | $1,108,000 | +$1,108,000 | 2014-03-04 |
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| Q4 2013 | KYN
KAYNE ANDERSON MLP INVT CO | | COM | 0 | 1,700 | +1,700 | $0 | $68,000 | +$68,000 | 2014-03-04 |
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| Q4 2013 | EFA
ISHARES | | MSCI EAFE ETF | 0 | 390 | +390 | $0 | $26,000 | +$26,000 | 2014-03-04 |
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| Q4 2013 | THD
ISHARES | | MSCI THI CAP ETF | 0 | 210 | +210 | $0 | $14,000 | +$14,000 | 2014-03-04 |
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| Q4 2013 | EIDO
ISHARES | | MSCI INDONIA ETF | 0 | 540 | +540 | $0 | $12,000 | +$12,000 | 2014-03-04 |
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| Q3 2013 | EEM
ISHARES | | MSCI EMG MKT ETF | 0 | 380,978 | +380,978 | $0 | $15,527,000 | +$15,527,000 | 2013-11-06 |
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