NEXT Financial Group, Inc quarter change: Foreign Stocks, Added
In share positions in stocks (depositary receipts and foreign shares traded over the counter), from the quarter ended 2016-06-30 to 2016-09-30, NEXT Financial Group, Inc opened 12 positions, added to 30, reduced 11, sold out of 1 and left 15 unchanged. The largest increase in value was BP (+$350,000); the largest decrease was TM (-$87,000).
- BP: Country of operation —; Class SPONSORED ADR; Shares 2016-06-30 22,640; Shares 2016-09-30 32,786.
- RIO: Country of operation —; Class SPONSORED ADR; Shares 2016-06-30 6,044; Shares 2016-09-30 15,574.
- NVS: Country of operation —; Class SPONSORED ADR; Shares 2016-06-30 5,907; Shares 2016-09-30 10,044.
- PUK: Country of operation —; Class ADR; Shares 2016-06-30 3,796; Shares 2016-09-30 7,732.
Two Form 13F-HR filings compared (SEC CIK 1616654): 2016-06-30 (filed 2016-07-07) and 2016-09-30 (filed 2016-11-01). 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 | Country of operation | Class | Shares 2016-06-30 | Shares 2016-09-30 | Share change | Value 2016-06-30 | Value 2016-09-30 | Value change |
|---|
BP
BP PLC | | SPONSORED ADR | 22,640 | 32,786 | +10,146 | $803,000 | $1,153,000 | +$350,000 |
|---|
RIO
RIO TINTO PLC | | SPONSORED ADR | 6,044 | 15,574 | +9,530 | $189,000 | $520,000 | +$331,000 |
|---|
NVS
NOVARTIS A G | | SPONSORED ADR | 5,907 | 10,044 | +4,137 | $487,000 | $793,000 | +$306,000 |
|---|
PUK
PRUDENTIAL PLC | | ADR | 3,796 | 7,732 | +3,936 | $129,000 | $276,000 | +$147,000 |
|---|
BUD
ANHEUSER BUSCH INBEV SA/NV | | SPONSORED ADR | 3,842 | 4,838 | +996 | $505,000 | $636,000 | +$131,000 |
|---|
ABBNY
ABB LTD | Switzerland | SPONSORED ADR | 8,200 | 12,606 | +4,406 | $162,000 | $284,000 | +$122,000 |
|---|
BIDU
BAIDU INC | | SPON ADR REP A | 518 | 1,128 | +610 | $85,000 | $205,000 | +$120,000 |
|---|
BHP
BHP BILLITON LTD | | SPONSORED ADR | 406 | 3,076 | +2,670 | $11,000 | $107,000 | +$96,000 |
|---|
TSM
TAIWAN SEMICONDUCTOR MFG LTD | | SPONSORED ADR | 1,359 | 4,227 | +2,868 | $35,000 | $129,000 | +$94,000 |
|---|
TEVA
TEVA PHARMACEUTICAL INDS LTD | | ADR | 4,737 | 7,138 | +2,401 | $237,000 | $328,000 | +$91,000 |
|---|
DEO
DIAGEO P L C | | SPON ADR NEW | 2,012 | 2,605 | +593 | $227,000 | $302,000 | +$75,000 |
|---|
ULXXXX
UNILEVER PLC | | SPON ADR NEW | 3,196 | 4,588 | +1,392 | $153,000 | $217,000 | +$64,000 |
|---|
NVO
NOVO-NORDISK A S | | ADR | 5,588 | 6,295 | +707 | $300,000 | $262,000 | -$38,000 |
|---|
SAP
SAP SE | | SPON ADR | 1,980 | 2,030 | +50 | $148,000 | $186,000 | +$38,000 |
|---|
PBR
PETROLEO BRASILEIRO SA PETRO | | SPONSORED ADR | 2,500 | 5,100 | +2,600 | $17,000 | $48,000 | +$31,000 |
|---|
SNY
SANOFI | | SPONSORED ADR | 12,365 | 14,238 | +1,873 | $517,000 | $544,000 | +$27,000 |
|---|
NTTYY
NIPPON TELEG & TEL CORP | Japan | SPONSORED ADR | 2,830 | 3,270 | +440 | $133,000 | $150,000 | +$17,000 |
|---|
ING
ING GROEP N V | | SPONSORED ADR | 2,199 | 2,999 | +800 | $22,000 | $37,000 | +$15,000 |
|---|
TELFY
TELEFONICA S A | Spain | SPONSORED ADR | 41 | 895 | +854 | $0 | $9,000 | +$9,000 |
|---|
CX
CEMEX SAB DE CV | | SPON ADR NEW | 500 | 1,400 | +900 | $3,000 | $11,000 | +$8,000 |
|---|
WPP
WPP PLC NEW | | ADR | 301 | 326 | +25 | $31,000 | $38,000 | +$7,000 |
|---|
ERIC
ERICSSON | | ADR B SEK 10 | 105 | 1,036 | +931 | $0 | $7,000 | +$7,000 |
|---|
KEP
KOREA ELECTRIC PWR | | SPONSORED ADR | 1,250 | 1,550 | +300 | $32,000 | $38,000 | +$6,000 |
|---|
SMFG
SUMITOMO MITSUI FINL GROUP I | | SPONSORED ADR | 677 | 1,345 | +668 | $3,000 | $9,000 | +$6,000 |
|---|
VOD
VODAFONE GROUP PLC NEW | | SPNSR ADR | 6,052 | 6,218 | +166 | $186,000 | $181,000 | -$5,000 |
|---|
NOK
NOKIA CORP | | SPONSORED ADR | 3,295 | 3,659 | +364 | $18,000 | $21,000 | +$3,000 |
|---|
KT
KT CORP | | SPONSORED ADR | 100 | 200 | +100 | $1,000 | $3,000 | +$2,000 |
|---|
MUFG
MITSUBISHI UFJ FINL GROUP IN | | SPONSORED ADR | 236 | 561 | +325 | $1,000 | $3,000 | +$2,000 |
|---|
HIMX
HIMAX TECHNOLOGIES INC | | SPONSORED ADR | 900 | 1,100 | +200 | $7,000 | $9,000 | +$2,000 |
|---|
HSBC
HSBC HLDGS PLC | | SPON ADR NEW | 34 | 49 | +15 | $1,000 | $2,000 | +$1,000 |
|---|
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