Newfound Research LLC Historic Quarter Change: USA ETF, Added

Newfound Research LLC historic quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), over 3 quarters from 2015-12-31 to 2016-09-30, Newfound Research LLC opened 24 positions, added to 68, reduced 53 and sold out of 6.

Q3 2016: Stock IXG; Country of operation —; Class ISHARES GLOBAL FINANCIALS ET; Shares before 69,628.
Q3 2016: Stock RXI; Country of operation —; Class ISHARES GLOBAL CONSUMER DISC; Shares before 39,225.
Q3 2016: Stock IXJ; Country of operation —; Class ISHARES GLOBAL HEALTHCARE ET; Shares before 25,484.
Q3 2016: Stock iShares; Country of operation —; Class ISHARES MORTGAGE REAL ESTATE; Shares before 218,929.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1630806), 3 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-08); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-09); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-05-11). 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 2015-12-31.

Quarter	Stock	Class	Shares before	Shares after	Share change	Value before	Value after	Value change	Filed
Q3 2016	IXG iShares	ISHARES GLOBAL FINANCIALS ET	69,628	90,440	+20,812	$3,328,000	$0	-$3,328,000	2016-11-08
Q3 2016	RXI iShares	ISHARES GLOBAL CONSUMER DISC	39,225	58,801	+19,576	$3,310,000	$0	-$3,310,000	2016-11-08
Q3 2016	IXJ iShares	ISHARES GLOBAL HEALTHCARE ET	25,484	51,668	+26,184	$2,574,000	$0	-$2,574,000	2016-11-08
Q3 2016	iShares CUSIP 464288539	ISHARES MORTGAGE REAL ESTATE	218,929	362,845	+143,916	$2,246,000	$0	-$2,246,000	2016-11-08
Q3 2016	LQD iShares	ISHARES IBOXX $ INVEST GR CORP BD	17,791	28,890	+11,099	$2,184,000	$0	-$2,184,000	2016-11-08
Q3 2016	HYG iShares	ISHARES IBOXX HI YD CP BD ETF	25,708	41,996	+16,288	$2,177,000	$0	-$2,177,000	2016-11-08
Q3 2016	CWB SPDR	SPDR BARCLAYS CONV SEC ETF	38,087	62,141	+24,054	$1,670,000	$0	-$1,670,000	2016-11-08
Q3 2016	VYM Vanguard	VANGUARD HIGH DVD YIELD ETF	14,064	17,314	+3,250	$1,005,000	$0	-$1,005,000	2016-11-08
Q3 2016	VNQ Vanguard	VANGUARD REIT VIPER	9,248	15,016	+5,768	$820,000	$0	-$820,000	2016-11-08
Q3 2016	IDV iShares	ISHARES INTERNATIONAL SELECT	27,519	44,892	+17,373	$788,000	$0	-$788,000	2016-11-08
Q3 2016	TLT iShares	ISHARES 20+ YEAR TREASURY BO	5,227	8,270	+3,043	$726,000	$0	-$726,000	2016-11-08
Q3 2016	VNQI Vanguard	VANGUARD GLBL EX-US REAL EST	11,035	17,913	+6,878	$597,000	$0	-$597,000	2016-11-08
Q3 2016	JPMorgan CUSIP 46625H365	JPMORGAN CHASE & CO ALERIAN ML ETF	18,218	29,914	+11,696	$580,000	$0	-$580,000	2016-11-08
Q3 2016	Van Eck CUSIP 57060U878	MARKET VECTORS ETF TR	3,119	4,123	+1,004	$101,000	$0	-$101,000	2016-11-08
Q3 2016	FLOT iShares	ISHARES TR FLTG RATENT ETF	971	1,213	+242	$49,000	$0	-$49,000	2016-11-08
Q3 2016	HYS PIMCO	PIMCO ETF TR 0-5 YR HIGH YIELD CORP	390	445	+55	$38,000	$0	-$38,000	2016-11-08
Q3 2016	USMV iShares	ISHARES MSCI USA MINIMUM VOL	777	911	+134	$36,000	$0	-$36,000	2016-11-08
Q3 2016	NOBL ProShares	PROSHARES S&P500 ARISTOCRATS	562	661	+99	$31,000	$0	-$31,000	2016-11-08
Q3 2016	HDG ProShares	PROSHARES HEDGE REPLICAT ETF	709	873	+164	$30,000	$0	-$30,000	2016-11-08
Q3 2016	IJR iShares	ISHARES TR CORE S&P SCP ETF	262	295	+33	$30,000	$0	-$30,000	2016-11-08
Q3 2016	MTUM iShares	ISHARES MSCI USA MOMENTUM	357	418	+61	$27,000	$0	-$27,000	2016-11-08
Q3 2016	MNA ProShares	IQ MERGER ARBITRAGE ETF	858	1,085	+227	$24,000	$0	-$24,000	2016-11-08
Q3 2016	WTMF WisdomTree	WISDOMTREE MGD FUTURES STRAT	567	717	+150	$24,000	$0	-$24,000	2016-11-08
Q3 2016	USDU WisdomTree	WISDOMTREE BBG USD BULLISH	748	947	+199	$20,000	$0	-$20,000	2016-11-08
Q3 2016	ProShares CUSIP 74347X310	PROSHARES RAFI LONG/SHORT	483	616	+133	$19,000	$0	-$19,000	2016-11-08
Q3 2016	VCLT Vanguard	VANGUARD LONG-TERM CORP BOND	190	243	+53	$18,000	$0	-$18,000	2016-11-08
Q3 2016	SCHX Schwab	SCHWAB US LARGE-CAP ETF	355	357	+2	$18,000	$0	-$18,000	2016-11-08
Q3 2016	FTLS First Trust	FIRST TRUST LONG/SHORT EQUITY	384	487	+103	$12,000	$0	-$12,000	2016-11-08
Q3 2016	VEU Vanguard	VANGUARD FTSE ALL-WORLD EX-U	230	232	+2	$10,000	$0	-$10,000	2016-11-08
Q3 2016	MINT PIMCO	PIMCO ENHANCED SHORT MATURIT	49	71	+22	$5,000	$0	-$5,000	2016-11-08
Q3 2016	VMBS Vanguard	VANGUARD MORTGAGE-BACKED SEC	40	170	+130	$2,000	$0	-$2,000	2016-11-08
Q2 2016	IXN iShares	iShares Global Tech ETF	39,331	72,268	+32,937	$3,927,000	$7,034,000	+$3,107,000	2016-08-09
Q2 2016	IXC iShares	ISHARES GLOBAL ENERGY ETF	131,443	192,670	+61,227	$3,879,000	$6,225,000	+$2,346,000	2016-08-09
Q2 2016	HYG iShares	ISHARES IBOXX HI YD CP BD ETF	126	25,708	+25,582	$10,000	$2,177,000	+$2,167,000	2016-08-09
Q2 2016	LQD iShares	ISHARES IBOXX $ INVEST GR CORP BD	11,873	17,791	+5,918	$1,411,000	$2,184,000	+$773,000	2016-08-09
Q2 2016	XLI SPDR	INDUSTRIAL SELECT SECT SPDR	25,288	36,273	+10,985	$1,403,000	$2,032,000	+$629,000	2016-08-09
Q2 2016	VNQI Vanguard	VANGUARD GLBL EX-US REAL EST	6,108	11,035	+4,927	$327,000	$597,000	+$270,000	2016-08-09
Q2 2016	Van Eck CUSIP 57060U878	MARKET VECTORS ETF TR	2,195	3,119	+924	$69,000	$101,000	+$32,000	2016-08-09
Q2 2016	USMV iShares	ISHARES MSCI USA MINIMUM VOL	468	777	+309	$21,000	$36,000	+$15,000	2016-08-09
Q2 2016	NOBL ProShares	PROSHARES S&P500 ARISTOCRATS	369	562	+193	$19,000	$31,000	+$12,000	2016-08-09
Q2 2016	MTUM iShares	ISHARES MSCI USA MOMENTUM	214	357	+143	$16,000	$27,000	+$11,000	2016-08-09
Q2 2016	IJR iShares	ISHARES TR CORE S&P SCP ETF	209	262	+53	$23,000	$30,000	+$7,000	2016-08-09
Q2 2016	VCLT Vanguard	VANGUARD LONG-TERM CORP BOND	138	190	+52	$12,000	$18,000	+$6,000	2016-08-09
Q2 2016	SCHX Schwab	SCHWAB US LARGE-CAP ETF	316	355	+39	$15,000	$18,000	+$3,000	2016-08-09
Q2 2016	VCSH Vanguard	VANGUARD S/T CORP BOND ETF	46	70	+24	$4,000	$6,000	+$2,000	2016-08-09
Q2 2016	IEF iShares	ISHARES - LEHMAN 7-10 YR. TREA	44	45	+1	$5,000	$5,000	$0	2016-08-09
Q2 2016	VSS Vanguard	VANGUARD FTSE ALL WO X-US SC	34	35	+1	$3,000	$3,000	$0	2016-08-09
Q1 2016	JXI iShares	ISHARES GLOBAL UTILITIES ETF	168,854	205,113	+36,259	$7,433,000	$9,858,000	+$2,425,000	2016-05-11
Q1 2016	TLT iShares	ISHARES 20+ YEAR TREASURY BO	473	12,941	+12,468	$57,000	$1,690,000	+$1,633,000	2016-05-11
Q1 2016	XLP SPDR	CONSUMER STAPLES SPDR	34,983	60,380	+25,397	$1,766,000	$3,204,000	+$1,438,000	2016-05-11
Q1 2016	LQD iShares	ISHARES IBOXX $ INVEST GR CORP BD	7	11,873	+11,866	$1,000	$1,411,000	+$1,410,000	2016-05-11
Q1 2016	XLI SPDR	INDUSTRIAL SELECT SECT SPDR	14,827	25,288	+10,461	$786,000	$1,403,000	+$617,000	2016-05-11
Q1 2016	Van Eck CUSIP 57060U878	MARKET VECTORS ETF TR	1,733	2,195	+462	$54,000	$69,000	+$15,000	2016-05-11
Q1 2016	FLOT iShares	ISHARES TR FLTG RATENT ETF	1,095	1,344	+249	$55,000	$68,000	+$13,000	2016-05-11
Q1 2016	WTMF WisdomTree	WISDOMTREE MGD FUTURES STRAT	642	898	+256	$27,000	$38,000	+$11,000	2016-05-11
Q1 2016	MNA IndexIQ	IQ MERGER ARBITRAGE ETF	1,005	1,319	+314	$28,000	$38,000	+$10,000	2016-05-11
Q1 2016	HDG ProShares	PROSHARES HEDGE REPLICAT ETF	856	1,075	+219	$36,000	$45,000	+$9,000	2016-05-11
Q1 2016	IJR iShares	ISHARES TR CORE S&P SCP ETF	125	209	+84	$14,000	$23,000	+$9,000	2016-05-11
Q1 2016	USDU WisdomTree	WISDOMTREE BBG USD BULLISH	767	1,051	+284	$21,000	$28,000	+$7,000	2016-05-11
Q1 2016	ProShares CUSIP 74347X310	PROSHARES RAFI LONG/SHORT	518	689	+171	$20,000	$27,000	+$7,000	2016-05-11
Q1 2016	FTLS First Trust	FIRST TRUST LONG/SHORT EQUITY	414	543	+129	$14,000	$17,000	+$3,000	2016-05-11
Q1 2016	Exchange Traded Concepts CUSIP 26922A305	ALPHACLONE ALTERNATIVE ALPHA	353	483	+130	$13,000	$16,000	+$3,000	2016-05-11
Q1 2016	VCIT Vanguard	VANGUARD INT-TERM CORPORATE	441	445	+4	$37,000	$39,000	+$2,000	2016-05-11
Q1 2016	VCLT Vanguard	VANGUARD LONG-TERM CORP BOND	134	138	+4	$11,000	$12,000	+$1,000	2016-05-11
Q1 2016	HYG iShares	ISHARES IBOXX HI YD CP BD ETF	123	126	+3	$10,000	$10,000	$0	2016-05-11
Q1 2016	BND Vanguard	VANGUARD TOTAL BOND MARKET	109	110	+1	$9,000	$9,000	$0	2016-05-11
Q1 2016	QAI IndexIQ	IQ HEDGE MULTI-STRAT TRACKER	128	146	+18	$4,000	$4,000	$0	2016-05-11
Q1 2016	PowerShares CUSIP 73935B870	POWERSHARES MULTISTRAT ETF	165	185	+20	$4,000	$4,000	$0	2016-05-11

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