Horizon Kinetics LLC Last Quarter Change: USA ETF, Added

Horizon Kinetics LLC quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, Horizon Kinetics LLC opened 2 positions, added to 8, reduced 39, sold out of 5 and left 13 unchanged. The largest increase in value was NEA (+$7,644,000); the largest decrease was PFN (-$1,502,000).

NEA: Country of operation —; Class COM; Shares 2016-06-30 13,483; Shares 2016-09-30 537,389.
NAD: Country of operation —; Class COM; Shares 2016-06-30 82,815; Shares 2016-09-30 138,745.
DSL: Country of operation —; Class COM; Shares 2016-06-30 600,556; Shares 2016-09-30 600,795.
VB: Country of operation —; Class SMALL CP ETF; Shares 2016-06-30 3,862; Shares 2016-09-30 3,878.

Two Form 13F-HR filings compared (SEC CIK 1519418): 2016-06-30 (filed 2016-08-15) and 2016-09-30 (filed 2016-11-14). 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; share change is the position change.

Stock	Class	Shares 2016-06-30	Shares 2016-09-30	Share change	Value 2016-06-30	Value 2016-09-30	Value change
NEA NUVEEN AMT-FREE QLTY MUN INCOME	COM	13,483	537,389	+523,906	$202,000	$7,846,000	+$7,644,000
NAD NUVEEN DIVID ADVANTAGE MUN F	COM	82,815	138,745	+55,930	$1,295,000	$2,091,000	+$796,000
DSL DOUBLELINE INCOME SOLUTIONS	COM	600,556	600,795	+239	$11,020,000	$11,505,000	+$485,000
VB VANGUARD INDEX FDS	SMALL CP ETF	3,862	3,878	+16	$447,000	$474,000	+$27,000
WIW WSTRN ASSET/CLYMRE US TR INF	COM	171,069	171,086	+17	$1,900,000	$1,915,000	+$15,000
NZF NUVEEN DIV ADV MUNI FD 3	COM SH BEN INT	91,999	92,247	+248	$1,465,000	$1,452,000	-$13,000
WIA WESTERN ASSET CLYM INFL SEC	COM SH BEN INT	28,438	29,217	+779	$326,000	$334,000	+$8,000
NVG NUVEEN DIVID ADVANTAGE	COM	50,957	51,141	+184	$829,000	$822,000	-$7,000

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