Chief Compliance Officer

0000950123-15-006368.txt : 20150515 0000950123-15-006368.hdr.sgml : 20150515 20150515143056 ACCESSION NUMBER: 0000950123-15-006368 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150515 EFFECTIVENESS DATE: 20150515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS ADVISORS INC CENTRAL INDEX KEY: 0001376113 IRS NUMBER: 000000000 STATE OF INCORPORATION: CO FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12230 FILM NUMBER: 15868011 BUSINESS ADDRESS: STREET 1: P.O. BOX 328 CITY: Denver STATE: CO ZIP: 80201-0328 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: P.O. BOX 328 CITY: Denver STATE: CO ZIP: 80201-0328 FORMER COMPANY: FORMER CONFORMED NAME: ALPS ADVISERS INC DATE OF NAME CHANGE: 20060920 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001376113 XXXXXXXX 03-31-2015 03-31-2015 ALPS ADVISORS INC

P.O. BOX 328 DENVER CO 80201-0328

13F COMBINATION REPORT 028-12230 028-05690 Matrix Asset Advisors, Inc. 028-06683 TCW Investment Management Co. 028-02494 TCW Group, Inc. 028-03579 Schneider Capital Management Corp. 028-04129 M.A. Weatherbie and Co., Inc. 028-03791 Pzena Investment Management 028-04557 Wellington Management Company, LLP 028-05923 Cornerstone Capital Management, Inc. 028-10679 Clough Capital Partners LP 028-10917 Jefferies Group, Inc. 028-11239 CoreCommodity Management, LLC 028-13577 RiverFront Investment Group 028-14056 Red Rocks Capital LLC N Bradley J. Swenson Chief Compliance Officer 303-623-2577 /s/ Bradley J. 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A Common Stock 379577208 526 20838 SH DFND 20838 0 0 GNC HOLDINGS INC-CL A Common Stock 36191G107 551 11239 SH DFND 11239 0 0 GOLAR LNG PARTNERS LP Common Stock Y2745C102 548 20363 SH DFND 20363 0 0 GOLD FIELDS LTD-SPONS ADR Common Stock 38059T106 6999 1745409 SH DFND 1745409 0 0 GOLD RESOURCE CORP Common Stock 38068T105 35 10936 SH DFND 10936 0 0 GOLDCORP INC Common Stock 380956409 21627 1193518 SH DFND 1193518 0 0 GOODYEAR TIRE & RUBBER CO Common Stock 382550101 562 20744 SH DFND 20744 0 0 GOOGLE INC-CL A Common Stock 38259P508 518 933 SH DFND 933 0 0 GRACO INC Common Stock 384109104 518 7183 SH DFND 7183 0 0 GRAND CANYON EDUCATION INC Common Stock 38526M106 494 11410 SH DFND 11410 0 0 GREEN PLAINS INC Common Stock 393222104 554 19414 SH DFND 19414 0 0 GREENBRIER COMPANIES INC Common Stock 393657101 535 9221 SH DFND 9221 0 0 Greenhaven Cont Cmdt ETF ETF 395258106 19500 920227 SH DFND 920227 0 0 GREENHILL & CO INC Common Stock 395259104 514 12971 SH DFND 12971 0 0 Gugg S&P500 Eq Wght ETF ETF 78355W106 238 2932 SH DFND 2932 0 0 GULFPORT ENERGY CORP Common Stock 402635304 513 11183 SH DFND 11183 0 0 H&E EQUIPMENT SERVICES INC Common Stock 404030108 549 21964 SH DFND 21964 0 0 HALLIBURTON CO Common Stock 406216101 793 18062 SH DFND 18062 0 0 HALOZYME THERAPEUTICS INC Common Stock 40637H109 890 62310 SH DFND 62310 0 0 HANESBRANDS INC Common Stock 410345102 513 15294 SH DFND 15294 0 0 HARLEY-DAVIDSON INC Common Stock 412822108 528 8699 SH DFND 8699 0 0 HARMAN INTERNATIONAL Common Stock 413086109 522 3904 SH DFND 3904 0 0 HARMONY GOLD MNG-SPON ADR Common Stock 413216300 3244 1864113 SH DFND 1864113 0 0 HARRIS CORP Common Stock 413875105 568 7209 SH DFND 7209 0 0 HASBRO INC Common Stock 418056107 534 8438 SH DFND 8438 0 0 HCI GROUP INC Common Stock 40416E103 510 11122 SH DFND 11122 0 0 HCP INC Common Stock 40414L109 2458 56877 SH DFND 56877 0 0 HEALTH CARE REIT INC Common Stock 42217K106 3297 42621 SH DFND 42621 0 0 HEALTH CARE SELECT SECTOR Common Stock 81369Y209 15796 217871 SH DFND 217871 0 0 HECLA MINING CO Common Stock 422704106 4264 1431028 SH DFND 1431028 0 0 HELMERICH & PAYNE Common Stock 423452101 553 8119 SH DFND 8119 0 0 HERMAN MILLER INC Common Stock 600544100 543 19557 SH DFND 19557 0 0 HEXCEL CORP Common Stock 428291108 545 10607 SH DFND 10607 0 0 HIBBETT SPORTS INC Common Stock 428567101 505 10299 SH DFND 10299 0 0 HI-CRUSH PARTNERS LP Common Stock 428337109 544 15521 SH DFND 15521 0 0 HIGHWOODS PROPERTIES INC Common Stock 431284108 515 11241 SH DFND 11241 0 0 HOME BANCSHARES INC Common Stock 436893200 513 15135 SH DFND 15135 0 0 HOME DEPOT INC Common Stock 437076102 511 4499 SH DFND 4499 0 0 HOME LOAN SERVICING SOLUTION Common Stock G6648D109 464 28026 SH DFND 28026 0 0 HORIZON PHARMA PLC Common Stock G4617B105 1534 59066 SH DFND 59066 0 0 HORNBECK OFFSHORE SERVICES Common Stock 440543106 505 26838 SH DFND 26838 0 0 HOST HOTELS & RESORTS INC Common Stock 44107P104 1892 93771 SH DFND 93771 0 0 HUNT (JB) TRANSPRT SVCS INC Common Stock 445658107 500 5858 SH DFND 5858 0 0 HUNTINGTON BANCSHARES INC Common Stock 446150104 555 50181 SH DFND 50181 0 0 HYPERION THERAPEUTICS INC Common Stock 44915N101 471 10254 SH DFND 10254 0 0 HYSTER-YALE MATERIALS Common Stock 449172105 536 7313 SH DFND 7313 0 0 IAMGOLD CORP Common Stock 450913108 1075 574872 SH DFND 574872 0 0 IDEXX LABORATORIES INC Common Stock 45168D104 530 3428 SH DFND 3428 0 0 ILLUMINA INC Common Stock 452327109 496 2673 SH DFND 2673 0 0 IMMUNOGEN INC Common Stock 45253H101 383 42784 SH DFND 42784 0 0 IMPAX LABORATORIES INC Common Stock 45256B101 1660 35425 SH DFND 35425 0 0 INDUSTRIAL SELECT SECT SPDR ETF 81369Y704 15927 285589 SH DFND 285589 0 0 INFOSYS LTD-SP ADR Common Stock 456788108 227 6478 SH DFND 6478 0 0 INGREDION INC Common Stock 457187102 308 3953 SH DFND 3953 0 0 INNOSPEC INC Common Stock 45768S105 546 11767 SH DFND 11767 0 0 INSMED INC Common Stock 457669307 512 24619 SH DFND 24619 0 0 INSYS THERAPEUTICS INC Common Stock 45824V209 512 8805 SH DFND 8805 0 0 INTEGRATED DEVICE TECH INC Common Stock 458118106 509 25439 SH DFND 25439 0 0 INTEL CORP Common Stock 458140100 575 18384 SH DFND 18384 0 0 INTELIQUENT INC Common Stock 45825N107 525 33369 SH DFND 33369 0 0 INTERCONTINENTAL EXCHANGE IN Common Stock 45866F104 519 2225 SH DFND 2225 0 0 INTERNATIONAL PAPER CO Common Stock 460146103 23936 431361 SH DFND 431361 0 0 INTERVAL LEISURE GROUP Common Stock 46113M108 510 19469 SH DFND 19469 0 0 INTL FLAVORS & FRAGRANCES Common Stock 459506101 517 4408 SH DFND 4408 0 0 IPG PHOTONICS CORP Common Stock 44980X109 486 5240 SH DFND 5240 0 0 IROBOT CORP Common Stock 462726100 529 16215 SH DFND 16215 0 0 iShs Barclays TIPS ETF ETF 464287176 26589 234083 SH DFND 234083 0 0 iShs Core S&P 500 ETF ETF 464287200 191361 920757 SH DFND 920757 0 0 iShs JPM USD Emg. ETF ETF 464288281 21625 192870 SH DFND 192870 0 0 iShs MSCI EAFE Index ETF ETF 464287465 13525 210767 SH DFND 210767 0 0 iShs MSCI EAFE SC ETF ETF 464288273 19964 403560 SH DFND 403560 0 0 iShs R1K Grwth Index ETF ETF 464287614 410 4146 SH DFND 4146 0 0 iShs R1K Value Index ETF ETF 464287598 238 2307 SH DFND 2307 0 0 iShs R2K Growth ETF ETF 464287648 5750 37940 SH DFND 37940 0 0 iShs Russell MdCp Gr ETF ETF 464287481 411 4196 SH DFND 4196 0 0 iShs S&P 100 Index ETF ETF 464287101 237 2630 SH DFND 2630 0 0 iShs S&P MidCap 400 ETF ETF 464287507 73025 480494 SH DFND 480494 0 0 ITC HOLDINGS CORP Common Stock 465685105 533 14248 SH DFND 14248 0 0 JACK HENRY & ASSOCIATES INC Common Stock 426281101 537 7679 SH DFND 7679 0 0 JOHNSON & JOHNSON Common Stock 478160104 24489 243426 SH DFND 243426 0 0 JONES LANG LASALLE INC Common Stock 48020Q107 551 3232 SH DFND 3232 0 0 JPMORGAN CHASE & CO Common Stock 46625H100 23471 387438 SH DFND 387438 0 0 KAPSTONE PAPER AND PACKAGING CORP Common Stock 48562P103 529 16095 SH DFND 16095 0 0 KARYOPHARM THERAPEUTICS INC Common Stock 48576U106 542 17704 SH DFND 17704 0 0 KERYX BIOPHARMACEUTICALS Common Stock 492515101 640 50296 SH DFND 50296 0 0 KEYCORP Common Stock 493267108 546 38543 SH DFND 38543 0 0 KILROY REALTY CORP Common Stock 49427F108 793 10410 SH DFND 10410 0 0 KIMCO REALTY CORP Common Stock 49446R109 1367 50907 SH DFND 50907 0 0 Kinder Morgan Inc Common Stock 49456B101 4537 107862 SH DFND 107862 0 0 KINROSS GOLD CORP Common Stock 496902404 2786 1243839 SH DFND 1243839 0 0 KLA-TENCOR CORP Common Stock 482480100 22651 388587 SH DFND 388587 0 0 KRAFT FOODS GROUP INC Common Stock 50076Q106 33396 383358 SH DFND 383358 0 0 KROGER CO Common Stock 501044101 524 6840 SH DFND 6840 0 0 KYTHERA BIOPHARMACEUTICALS I Common Stock 501570105 564 11244 SH DFND 11244 0 0 LANDSTAR SYSTEM INC Common Stock 515098101 507 7643 SH DFND 7643 0 0 LANNETT CO INC Common Stock 516012101 530 7823 SH DFND 7823 0 0 LAS VEGAS SANDS CORP Common Stock 517834107 536 9746 SH DFND 9746 0 0 LAZARD LTD-CL A Common Stock G54050102 550 10462 SH DFND 10462 0 0 LENNOX INTERNATIONAL INC Common Stock 526107107 537 4809 SH DFND 4809 0 0 LIGAND PHARMACEUTICALS Common Stock 53220K504 1298 16828 SH DFND 16828 0 0 LINEAR TECHNOLOGY CORP Common Stock 535678106 515 11006 SH DFND 11006 0 0 LOCKHEED MARTIN CORP Common Stock 539830109 24334 119896 SH DFND 119896 0 0 LORILLARD INC Common Stock 544147101 23031 352422 SH DFND 352422 0 0 LUMBER LIQUIDATORS HOLDINGS Common Stock 55003T107 539 17517 SH DFND 17517 0 0 LUMINEX CORP Common Stock 55027E102 529 33050 SH DFND 33050 0 0 LYONDELLBASELL INDU-CL A Common Stock N53745100 24741 281786 SH DFND 281786 0 0 MACERICH CO/THE Common Stock 554382101 1467 17395 SH DFND 17395 0 0 MACROGENICS INC Common Stock 556099109 462 14721 SH DFND 14721 0 0 MACY'S INC Common Stock 55616P104 569 8766 SH DFND 8766 0 0 Magellan Midstream MLP Common Stock 559080106 695815 9070720 SH DFND 9070720 0 0 MAIDEN HOLDINGS LTD Common Stock G5753U112 537 36241 SH DFND 36241 0 0 MANHATTAN ASSOCIATES INC Common Stock 562750109 495 9779 SH DFND 9779 0 0 MANNKIND CORP Common Stock 56400P201 1050 201846 SH DFND 201846 0 0 MARCUS & MILLICHAP INC Common Stock 566324109 583 15560 SH DFND 15560 0 0 MARKETAXESS HOLDINGS INC Common Stock 57060D108 497 5999 SH DFND 5999 0 0 Markwest Energy Part MLP Common Stock 570759100 742906 11239115 SH DFND 11239115 0 0 MARSH & MCLENNAN COS Common Stock 571748102 552 9842 SH DFND 9842 0 0 MARTIN MARIETTA MATERIALS Common Stock 573284106 510 3651 SH DFND 3651 0 0 MASTERCARD INC-CLASS A Common Stock 57636Q104 552 6387 SH DFND 6387 0 0 MATADOR RESOURCES CO Common Stock 576485205 564 25724 SH DFND 25724 0 0 MATERIALS SELECT SECTOR SPDR ETF 81369Y100 16167 331432 SH DFND 331432 0 0 MATTEL INC Common Stock 577081102 21528 942139 SH DFND 942139 0 0 MAXIMUS INC Common Stock 577933104 541 8099 SH DFND 8099 0 0 MCKESSON CORP Common Stock 58155Q103 558 2467 SH DFND 2467 0 0 MEAD JOHNSON NUTRITION CO Common Stock 582839106 523 5199 SH DFND 5199 0 0 MEDICINES COMPANY Common Stock 584688105 911 32526 SH DFND 32526 0 0 MEDIVATION INC Common Stock 58501N101 507 3931 SH DFND 3931 0 0 MEDNAX INC Common Stock 58502B106 519 7158 SH DFND 7158 0 0 MERCK & CO. INC. Common Stock 58933Y105 24171 420504 SH DFND 420504 0 0 MERIDIAN BIOSCIENCE INC Common Stock 589584101 504 26390 SH DFND 26390 0 0 MERITAGE HOMES CORP Common Stock 59001A102 586 12048 SH DFND 12048 0 0 MERRIMACK PHARMACEUTICALS IN Common Stock 590328100 625 52597 SH DFND 52597 0 0 METHODE ELECTRONICS INC Common Stock 591520200 540 11479 SH DFND 11479 0 0 MICROCHIP TECHNOLOGY INC Common Stock 595017104 23296 476396 SH DFND 476396 0 0 MICRON TECHNOLOGY INC Common Stock 595112103 510 18796 SH DFND 18796 0 0 MICROSOFT CORP Common Stock 594918104 548 13482 SH DFND 13482 0 0 MOBILE TELESYSTEMS-SP ADR Common Stock 607409109 246 24311 SH DFND 24311 0 0 MOHAWK INDUSTRIES INC Common Stock 608190104 542 2920 SH DFND 2920 0 0 MONSANTO CO Common Stock 61166W101 2995 26609 SH DFND 26609 0 0 MONSTER BEVERAGE CORP Common Stock 611740101 528 3814 SH DFND 3814 0 0 MOSAIC CO/THE Common Stock 61945C103 807 17511 SH DFND 17511 0 0 NATIONAL GENERAL HLDGS Common Stock 636220303 546 29205 SH DFND 29205 0 0 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SH DFND 4873566 0 0 NIC INC Common Stock 62914B100 530 29998 SH DFND 29998 0 0 NIKE INC -CL B Common Stock 654106103 584 5821 SH DFND 5821 0 0 NiSource Inc Common Stock 65473P105 2070 46880 SH DFND 46880 0 0 NOBLE CORP PLC Common Stock G65431101 24844 1739761 SH DFND 1739761 0 0 NORDSTROM INC Common Stock 655664100 563 7008 SH DFND 7008 0 0 NORTHERN OIL AND GAS INC Common Stock 665531109 602 78060 SH DFND 78060 0 0 NORTHERN TIER ENERGY LP Common Stock 665826103 529 20861 SH DFND 20861 0 0 NOVAGOLD RESOURCES INC Common Stock 66987E206 1174 396514 SH DFND 396514 0 0 NU SKIN ENTERPRISES INC - A Common Stock 67018T105 557 9243 SH DFND 9243 0 0 NUCOR CORP Common Stock 670346105 24211 509390 SH DFND 509390 0 0 NuStar LP MLP Common Stock 67058H102 259984 4283099 SH DFND 4283099 0 0 NVIDIA CORP Common Stock 67066G104 468 22361 SH DFND 22361 0 0 NVR INC Common Stock 62944T105 526 396 SH DFND 396 0 0 OASIS PETROLEUM INC Common Stock 674215108 567 39839 SH DFND 39839 0 0 OCCIDENTAL PETROLEUM CORP Common Stock 674599105 362 4964 SH DFND 4964 0 0 OCEANEERING INTL INC Common Stock 675232102 561 10402 SH DFND 10402 0 0 OFG BANCORP Common Stock 67103X102 487 29860 SH DFND 29860 0 0 OGE Energy Corp Common Stock 670837103 1948 61618 SH DFND 61618 0 0 OLD DOMINION FREIGHT LINE Common Stock 679580100 504 6517 SH DFND 6517 0 0 ON ASSIGNMENT INC Common Stock 682159108 522 13600 SH DFND 13600 0 0 ONCOMED PHARMACEUTICALS INC Common Stock 68234X102 382 14822 SH DFND 14822 0 0 Oneok Inc Common Stock 682680103 3995 82819 SH DFND 82819 0 0 Oneok Partners LP MLP Common Stock 68268N103 434205 10631855 SH DFND 10631855 0 0 OPHTHOTECH CORP Common Stock 683745103 776 16684 SH DFND 16684 0 0 O'REILLY AUTOMOTIVE INC Common Stock 67103H107 525 2429 SH DFND 2429 0 0 ORITANI FINANCIAL CORP Common Stock 68633D103 522 35853 SH DFND 35853 0 0 OSIRIS THERAPEUTICS INC Common Stock 68827R108 299 17027 SH DFND 17027 0 0 OUTERWALL INC Common Stock 690070107 527 7975 SH DFND 7975 0 0 PACCAR INC Common Stock 693718108 525 8307 SH DFND 8307 0 0 PACIRA PHARMACEUTICALS INC Common Stock 695127100 1602 18035 SH DFND 18035 0 0 PACKAGING CORP OF AMERICA Common Stock 695156109 521 6665 SH DFND 6665 0 0 PACWEST BANCORP Common Stock 695263103 517 11024 SH DFND 11024 0 0 PAN AMERICAN SILVER CORP Common Stock 697900108 127 14500 SH DFND 14500 0 0 PATRICK INDUSTRIES INC Common Stock 703343103 534 8571 SH DFND 8571 0 0 PAYCHEX INC Common Stock 704326107 23953 482771 SH DFND 482771 0 0 PDL BIOPHARMA INC Common Stock 69329Y104 1074 152625 SH DFND 152625 0 0 PEOPLE'S UNITED FINANCIAL Common Stock 712704105 23787 1564919 SH DFND 1564919 0 0 PEPSICO INC Common Stock 713448108 571 5976 SH DFND 5976 0 0 PETROLEO BRASILEIRO-SPON ADR Common Stock 71654V408 145 24146 SH DFND 24146 0 0 PFIZER INC Common Stock 717081103 24183 695108 SH DFND 695108 0 0 PGT INC Common Stock 69336V101 539 48224 SH DFND 48224 0 0 PHILIP MORRIS INTERNATIONAL Common Stock 718172109 22886 303814 SH DFND 303814 0 0 PILGRIM'S PRIDE CORP Common Stock 72147K108 448 19834 SH DFND 19834 0 0 PIMCO Enhan Shrt Mat ETF ETF 72201R833 6241 61701 SH DFND 61701 0 0 PIPER JAFFRAY COS Common Stock 724078100 495 9438 SH DFND 9438 0 0 PITNEY BOWES INC Common Stock 724479100 24516 1051299 SH DFND 1051299 0 0 Plains All American MLP Common Stock 726503105 724469 14854809 SH DFND 14854809 0 0 Plains GP Holdings MLP Common Stock 72651A108 3933 138635 SH DFND 138635 0 0 PNC FINANCIAL SERVICES GROUP Common Stock 693475105 548 5875 SH DFND 5875 0 0 POLARIS INDUSTRIES INC Common Stock 731068102 496 3513 SH DFND 3513 0 0 POOL CORP Common Stock 73278L105 520 7457 SH DFND 7457 0 0 PORTOLA PHARMACEUTICALS INC Common Stock 737010108 918 24195 SH DFND 24195 0 0 POZEN INC Common Stock 73941U102 123 15872 SH DFND 15872 0 0 PPL CORP Common Stock 69351T106 24971 741860 SH DFND 741860 0 0 PRA GROUP INC Common Stock 69354N106 533 9812 SH DFND 9812 0 0 PRESTIGE BRANDS HOLDINGS INC Common Stock 74112D101 542 12645 SH DFND 12645 0 0 PRICELINE GROUP INC/THE 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DFND 31037 0 0 RANDGOLD RESOURCES LTD-ADR Common Stock 752344309 27796 401273 SH DFND 401273 0 0 REALTY INCOME CORP Common Stock 756109104 1423 27576 SH DFND 27576 0 0 RECEPTOS INC Common Stock 756207106 2541 15408 SH DFND 15408 0 0 REGENCY CENTERS CORP Common Stock 758849103 789 11597 SH DFND 11597 0 0 Regency Energy Part MLP Common Stock 75885Y107 447910 19585056 SH DFND 19585056 0 0 REPROS THERAPEUTICS INC Common Stock 76028H209 104 12064 SH DFND 12064 0 0 RESMED INC Common Stock 761152107 527 7335 SH DFND 7335 0 0 REVANCE THERAPEUTICS INC Common Stock 761330109 244 11784 SH DFND 11784 0 0 REX AMERICAN RESOURCES CORP Common Stock 761624105 542 8918 SH DFND 8918 0 0 REYNOLDS AMERICAN INC Common Stock 761713106 23267 337643 SH DFND 337643 0 0 RIGEL PHARMACEUTICALS INC Common Stock 766559603 156 43674 SH DFND 43674 0 0 RIGNET INC Common Stock 766582100 556 19443 SH DFND 19443 0 0 ROBERT HALF INTL INC Common Stock 770323103 513 8475 SH DFND 8475 0 0 ROCKWELL AUTOMATION INC Common Stock 773903109 577 4973 SH DFND 4973 0 0 ROLLINS INC Common Stock 775711104 537 21698 SH DFND 21698 0 0 ROSETTA RESOURCES INC Common Stock 777779307 535 31412 SH DFND 31412 0 0 ROSS STORES INC Common Stock 778296103 515 4885 SH DFND 4885 0 0 ROYAL GOLD INC Common Stock 780287108 8378 132751 SH DFND 132751 0 0 RPC INC Common Stock 749660106 558 43577 SH DFND 43577 0 0 RPX CORP Common Stock 74972G103 518 36029 SH DFND 36029 0 0 RR DONNELLEY & SONS CO Common Stock 257867101 536 27921 SH DFND 27921 0 0 RUBICON MINERALS CORP Common Stock 780911103 24 24798 SH DFND 24798 0 0 SAGE THERAPEUTICS INC Common Stock 78667J108 646 12862 SH DFND 12862 0 0 SANDERSON FARMS INC Common Stock 800013104 518 6498 SH DFND 6498 0 0 SANDRIDGE PERMIAN TRUST Common Stock 80007A102 580 81614 SH DFND 81614 0 0 SANDSTORM GOLD LTD Common Stock 80013R206 3508 1069639 SH DFND 1069639 0 0 SCHLUMBERGER LTD Common Stock 806857108 698 8360 SH DFND 8360 0 0 SCICLONE PHARMACEUTICALS INC Common Stock 80862K104 223 25196 SH DFND 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