Research Affiliates, LLC Last Quarter Change: USA ETF, Unchanged

Research Affiliates, LLC quarter change: USA ETF, Unchanged

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2013-06-30 to 2013-09-30, Research Affiliates, LLC opened 0 positions, added to 0, reduced 0, sold out of 0 and left 9 unchanged. The largest increase in value was IGOV (+$277,000); the largest decrease was PROSHARES SHORT SP500 ETF (-$1,185,000).

PROSHARES SHORT SP500 ETF: Country of operation —; Class COMMON STOCK; Shares 2013-06-30 692,994; Shares 2013-09-30 692,994.
PROSHARES SHORT QQQ ETF: Country of operation —; Class COMMON STOCK; Shares 2013-06-30 267,974; Shares 2013-09-30 267,974.
PROSHARES SHORT RUSSELL 2000 E: Country of operation —; Class COMMON STOCK; Shares 2013-06-30 168,087; Shares 2013-09-30 168,087.
IGOV: Country of operation —; Class COMMON STOCK; Shares 2013-06-30 64,392; Shares 2013-09-30 64,392.

Two Form 13F-HR filings compared (SEC CIK 1337848): 2013-06-30 (filed 2013-07-25) and 2013-09-30 (filed 2014-02-13). 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 2013-06-30	Shares 2013-09-30	Value 2013-06-30	Value 2013-09-30	Value change
PROSHARES SHORT SP500 ETF CUSIP 74347R503	COMMON STOCK	692,994	692,994	$20,575,000	$19,390,000	-$1,185,000
PROSHARES SHORT QQQ ETF CUSIP 74347R602	COMMON STOCK	267,974	267,974	$6,145,000	$5,502,000	-$643,000
PROSHARES SHORT RUSSELL 2000 E CUSIP 74347R826	COMMON STOCK	168,087	168,087	$3,468,000	$3,105,000	-$363,000
IGOV ISHARES SP CITIGROUP INTL TRE	COMMON STOCK	64,392	64,392	$6,211,000	$6,488,000	+$277,000
EBND SPDR BARCLAYS CAPITAL EMERGING	COMMON STOCK	96,298	96,298	$2,855,000	$2,911,000	+$56,000
VCLT VANGUARD LONG-TERM CORPORATE	COMMON STOCK	55,932	55,932	$4,640,000	$4,586,000	-$54,000
RWX SPDR DOW JONES INTL REAL ESTAT	COMMON STOCK	21,427	21,427	$855,000	$903,000	+$48,000
LQD ISHARES IBOXX INV GR CORP BOND	COMMON STOCK	268,276	268,276	$30,490,000	$30,455,000	-$35,000
MINT PIMCO ENHANCED SHORT MATURITY	COMMON STOCK	7,079	7,079	$717,000	$718,000	+$1,000

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