Neuberger Berman Canada ULC Historic Quarter Change: USA ETF, New

Neuberger Berman Canada ULC 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, Neuberger Berman Canada ULC opened 11 positions, added to 4, reduced 5 and sold out of 12.

Q4 2015: Stock HYG; Country of operation —; Class Equity Call; Shares before 0.
Q2 2014: Stock MARKET VECTORS ETF TR; Country of operation —; Class RUSSIA ETF; Shares before 0.
Q2 2014: Stock EWW; Country of operation —; Class MSCI MEX CAP ETF; Shares before 0.
Q2 2014: Stock EWZ; Country of operation —; Class MSCI BRZ CAP ETF; Shares before 0.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1531987), 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 2016-07-12); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-12); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-01-29); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-10-14); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-07-20); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-04-30); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-01-29); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-03); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-01); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-04-28); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-01-29); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-10-25). 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 2012-12-31.

Quarter	Stock	Class	Shares after	Share change	Value before	Value after	Value change	Filed
Q4 2015	HYG January 16 Calls on HYG US 15 Jan 16 84.00 CALL	Equity Call	1,700	+1,700	$0	$14,000	+$14,000	2016-01-29
Q2 2014	MARKET VECTORS ETF TR CUSIP 57060U506	RUSSIA ETF	106,000	+106,000	$0	$2,791,000	+$2,791,000	2014-08-01
Q2 2014	EWW ISHARES	MSCI MEX CAP ETF	33,600	+33,600	$0	$2,278,000	+$2,278,000	2014-08-01
Q2 2014	EWZ ISHARES	MSCI BRZ CAP ETF	47,000	+47,000	$0	$2,246,000	+$2,246,000	2014-08-01
Q2 2014	FXI ISHARES	CHINA LG-CAP ETF	45,800	+45,800	$0	$1,696,000	+$1,696,000	2014-08-01
Q4 2013	EWW ISHARES	MSCI MEX CAP ETF	41,700	+41,700	$0	$2,836,000	+$2,836,000	2014-01-29
Q3 2013	ISHARES CUSIP 464286731	MSCI TAIWAN ETF	199,700	+199,700	$0	$2,780,000	+$2,780,000	2013-10-25
Q3 2013	MARKET VECTORS ETF TR CUSIP 57060U506	RUSSIA ETF	98,100	+98,100	$0	$2,764,000	+$2,764,000	2013-10-25
Q3 2013	FXI ISHARES	CHINA LG-CAP ETF	74,350	+74,350	$0	$2,757,000	+$2,757,000	2013-10-25
Q3 2013	EWY ISHARES	MSCI STH KOR ETF	44,835	+44,835	$0	$2,757,000	+$2,757,000	2013-10-25
Q3 2013	EWZ ISHARES	MSCI BRZ CAP ETF	14,350	+14,350	$0	$688,000	+$688,000	2013-10-25

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