Horizon Kinetics LLC historic quarter change: Foreign ADRs, Added
In depositary receipts for foreign shares (depositary receipts and foreign shares traded over the counter), over 13 quarters from 2013-06-30 to 2016-09-30, Horizon Kinetics LLC opened 16 positions, added to 29, reduced 15 and sold out of 19.
- Q3 2016: Stock ROYAL DUTCH SHELL PLC; Country of operation —; Class SPONS ADR A; Shares before 14,645.
- Q2 2016: Stock SHIRE PHARMACEUTICALS GR PLC; Country of operation —; Class SPONSORED ADR; Shares before 6,000.
- Q1 2016: Stock ASTRAZENECA PLC; Country of operation —; Class SPONSORED ADR; Shares before 28,000.
- Q1 2016: Stock ROYAL DUTCH SHELL PLC; Country of operation —; Class SPONS ADR A; Shares before 15,196.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1519418), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-14); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-15); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-15); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-12); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-13); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-14); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-05-15); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-02-17); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-13); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-14); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-02-13); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-14). 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 2011-06-30.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|
| Q3 2016 | ROYAL DUTCH SHELL PLC
CUSIP 780259206 | | SPONS ADR A | 14,645 | 16,206 | +1,561 | $809,000 | $811,000 | +$2,000 | 2016-11-14 |
|---|
| Q2 2016 | SHIRE PHARMACEUTICALS GR PLC
CUSIP 82481R106 | | SPONSORED ADR | 6,000 | 8,068 | +2,068 | $1,031,000 | $1,485,000 | +$454,000 | 2016-08-15 |
|---|
| Q1 2016 | ASTRAZENECA PLC
CUSIP 046353108 | | SPONSORED ADR | 28,000 | 28,302 | +302 | $951,000 | $797,000 | -$154,000 | 2016-04-15 |
|---|
| Q1 2016 | ROYAL DUTCH SHELL PLC
CUSIP 780259206 | | SPONS ADR A | 15,196 | 15,296 | +100 | $696,000 | $741,000 | +$45,000 | 2016-04-15 |
|---|
| Q1 2016 | PETROCHINA CO LTD
CUSIP 71646E100 | | SPONSORED ADR | 10,096 | 10,496 | +400 | $662,000 | $696,000 | +$34,000 | 2016-04-15 |
|---|
| Q4 2015 | CTRIP COM INTL LTD
CUSIP 22943F100 | | ADR | 5,800 | 11,600 | +5,800 | $366,000 | $537,000 | +$171,000 | 2016-02-12 |
|---|
| Q4 2015 | GLAXOSMITHKLINE PLC
CUSIP 37733W105 | | SPONSORED ADR | 25,723 | 26,348 | +625 | $989,000 | $1,064,000 | +$75,000 | 2016-02-12 |
|---|
| Q4 2015 | ROYAL DUTCH SHELL PLC
CUSIP 780259206 | | SPONS ADR A | 14,896 | 15,196 | +300 | $706,000 | $696,000 | -$10,000 | 2016-02-12 |
|---|
| Q3 2015 | ASTRAZENECA PLC
CUSIP 046353108 | | SPONSORED ADR | 26,000 | 28,000 | +2,000 | $828,000 | $891,000 | +$63,000 | 2015-11-13 |
|---|
| Q3 2015 | GLAXOSMITHKLINE PLC
CUSIP 37733W105 | | SPONSORED ADR | 23,823 | 25,723 | +1,900 | $992,000 | $989,000 | -$3,000 | 2015-11-13 |
|---|
| Q2 2015 | GLAXOSMITHKLINE PLC
CUSIP 37733W105 | | SPONSORED ADR | 23,773 | 23,823 | +50 | $1,097,000 | $992,000 | -$105,000 | 2015-08-14 |
|---|
| Q2 2015 | ASTRAZENECA PLC
CUSIP 046353108 | | SPONSORED ADR | 13,000 | 26,000 | +13,000 | $890,000 | $828,000 | -$62,000 | 2015-08-14 |
|---|
| Q2 2015 | ROYAL DUTCH SHELL PLC
CUSIP 780259206 | | SPONS ADR A | 13,996 | 14,896 | +900 | $835,000 | $849,000 | +$14,000 | 2015-08-14 |
|---|
| Q1 2015 | GLAXOSMITHKLINE PLC
CUSIP 37733W105 | | SPONSORED ADR | 23,723 | 23,773 | +50 | $1,014,000 | $1,097,000 | +$83,000 | 2015-05-15 |
|---|
| Q1 2015 | ROYAL DUTCH SHELL PLC
CUSIP 780259206 | | SPONS ADR A | 13,596 | 13,996 | +400 | $910,000 | $835,000 | -$75,000 | 2015-05-15 |
|---|
| Q1 2015 | PETROCHINA CO LTD
CUSIP 71646E100 | | SPONSORED ADR | 11,096 | 11,196 | +100 | $1,231,000 | $1,245,000 | +$14,000 | 2015-05-15 |
|---|
| Q4 2014 | PETROCHINA CO LTD
CUSIP 71646E100 | | SPONSORED ADR | 10,946 | 11,096 | +150 | $1,407,000 | $1,231,000 | -$176,000 | 2015-02-17 |
|---|
| Q2 2014 | PETROCHINA CO LTD
CUSIP 71646E100 | | ADR | 10,890 | 10,990 | +100 | $1,182,000 | $1,380,000 | +$198,000 | 2014-08-14 |
|---|
| Q2 2014 | GLAXOSMITHKLINE PLC
CUSIP 37733W105 | | ADR | 23,792 | 23,992 | +200 | $1,271,000 | $1,283,000 | +$12,000 | 2014-08-14 |
|---|
| Q1 2014 | PETROCHINA CO LTD SPONS ADR
CUSIP 71646E100 | | ADR | 9,450 | 10,890 | +1,440 | $1,037,000 | $1,182,000 | +$145,000 | 2014-05-14 |
|---|
| Q1 2014 | ASTRAZENECA PLC SPONSORED ADR
CUSIP 046353108 | | ADR | 12,020 | 13,106 | +1,086 | $714,000 | $850,000 | +$136,000 | 2014-05-14 |
|---|
| Q1 2014 | GLAXOSMITHKLINE PLC ADR SPONSORED
CUSIP 37733W105 | | ADR | 23,723 | 23,792 | +69 | $1,267,000 | $1,271,000 | +$4,000 | 2014-05-14 |
|---|
| Q4 2013 | COLFAX CORP COM
CUSIP 194014106 | | ADR | 1,146,245 | 1,157,367 | +11,122 | $64,751,000 | $73,713,000 | +$8,962,000 | 2014-02-13 |
|---|
| Q4 2013 | PROMOTORA DE INFORMACIONES SADR CL B CONV
CUSIP 74343G303 | | ADR CL B | 251,600 | 415,563 | +163,963 | $469,000 | $1,201,000 | +$732,000 | 2014-02-13 |
|---|
| Q4 2013 | ROYAL DUTCH SHELL PLC SPONSORED ADR RESP
CUSIP 780259206 | | ADR | 13,563 | 13,744 | +181 | $891,000 | $980,000 | +$89,000 | 2014-02-13 |
|---|
| Q4 2013 | CNOOC LTD SPONSORED ADR ISIN
CUSIP 126132109 | | ADR | 3,729 | 4,283 | +554 | $753,000 | $804,000 | +$51,000 | 2014-02-13 |
|---|
| Q4 2013 | PETROCHINA CO LTD SPONS ADR ISIN
CUSIP 71646E100 | | ADR | 9,250 | 9,450 | +200 | $1,017,000 | $1,037,000 | +$20,000 | 2014-02-13 |
|---|
| Q3 2013 | GLAXOSMITHKLINE PLC ADR SPONSORED
CUSIP 37733W105 | | ADR | 22,673 | 23,723 | +1,050 | $1,133,000 | $1,190,000 | +$57,000 | 2013-11-14 |
|---|
| Q3 2013 | ASTRAZENECA PLC SPONSORED ADR
CUSIP 046353108 | | ADR | 12,000 | 12,020 | +20 | $568,000 | $624,000 | +$56,000 | 2013-11-14 |
|---|
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