Chief Compliance Officer

0001398344-16-013153.txt : 20160510 0001398344-16-013153.hdr.sgml : 20160510 20160510132502 ACCESSION NUMBER: 0001398344-16-013153 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160510 DATE AS OF CHANGE: 20160510 EFFECTIVENESS DATE: 20160510 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: 161634853 BUSINESS ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: Denver STATE: CO ZIP: 80203 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: Denver STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: ALPS ADVISERS INC DATE OF NAME CHANGE: 20060920 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001376113 XXXXXXXX 03-31-2016 03-31-2016 false ALPS ADVISORS INC

1290 Broadway, Suite 1100 Denver CO 80203

13F COMBINATION REPORT 028-12230 028-02634 Aristotle Capital Management, LLC 028-06683 TCW Investment Management Co. 028-02494 TCW Group, Inc. 028-05267 Delaware Management Business Trust 028-04129 Weatherbie Capital, LLC 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 028-11320 Stadion Money Management, LLC 028-10400 Principal Real Estate Investors LLC 028-10106 Principal Financial Group, Inc. 028-13256 RiverNorth Capital Management, LLC N Erin D. Nelson Chief Compliance Officer 303-623-2577 /s/ Erin D. Nelson Denver CO 05-10-2016 3 619 9684810 1 028-14056 Red Rocks Capital LLC 2 028-13657 Morningstar Investment Services LLC 3 028-16629 Sterling Global Strategies LLC INFORMATION TABLE 2 fp0019492_13fhr-table.xml 13F INFORMATION TABLE AbbVie Inc Common Stock 00287Y109 22091 386740 SH DFND 386740 0 0 Acceleron Pharma Inc Common Stock 00434H108 1101 41718 SH DFND 41718 0 0 Acelrx Pharmaceutica Common Stock 00444T100 154 49983 SH DFND 49983 0 0 Achillion Pharmac. Common Stock 00448Q201 1186 153668 SH DFND 153668 0 0 Acorda Therapeutics Common Stock 00484M106 1361 51450 SH DFND 51450 0 0 Adamas Pharma Inc. Common Stock 00548A106 348 24086 SH DFND 24086 0 0 Aduro Biotech Inc Common Stock 00739L101 911 71103 SH DFND 71103 0 0 Advanced Accelerator Common Stock 00790T100 1519 43382 SH DFND 43382 0 0 Aerie Pharmaceutical Common Stock 00771V108 361 29650 SH DFND 29650 0 0 Aetna Inc Common Stock 00817Y108 464 4134 SH DFND 4134 0 0 Affimed Therapeutics Common Stock N01045108 140 37403 SH DFND 37403 0 0 Agios Pharmaceutical Common Stock 00847X104 1719 42331 SH DFND 42331 0 0 Aimmune Therp Inc. Common Stock 00900T107 644 47514 SH DFND 47514 0 0 Akamai Technologies Common Stock 00971T101 434 7805 SH DFND 7805 0 0 Akebia Therapuetics Common Stock 00972D105 384 42622 SH DFND 42622 0 0 Alleghany Corp Common Stock 017175100 27536 55493 SH DFND 1 55493 0 0 Allegiant Travel Common Stock 01748X102 447 2509 SH DFND 2509 0 0 Alphabet Inc Class A Common Stock 02079K305 433 568 SH DFND 568 0 0 Altria Group Inc Common Stock 02209S103 22504 359149 SH DFND 359149 0 0 AMAG Pharmaceuticals Common Stock 00163U106 1351 57738 SH DFND 57738 0 0 Ambarella Inc Common Stock G037AX101 506 11328 SH DFND 11328 0 0 American Airlines Common Stock 02376R102 454 11062 SH DFND 11062 0 0 American Eagle Common Stock 02553E106 477 28635 SH DFND 28635 0 0 American Railcar Common Stock 02916P103 437 10719 SH DFND 10719 0 0 Amsurg Corp Common Stock 03232P405 456 6113 SH DFND 6113 0 0 Anchor Bancorp Wisco Common Stock 03283P106 443 9830 SH DFND 9830 0 0 Antero Midstream Common Stock 03673L103 86861 3928591 SH DFND 3928591 0 0 Anthera Pharmaceutic Common Stock 03674U201 162 44844 SH DFND 44844 0 0 AO Smith Corp Common Stock 831865209 445 5829 SH DFND 5829 0 0 Applied Genetic Tech Common Stock 03820J100 284 20285 SH DFND 20285 0 0 Aquinox Pharma Common Stock 03842B101 171 19356 SH DFND 19356 0 0 Aralez Pharma Common Stock 03852X100 255 71930 SH DFND 71930 0 0 Ares Capital Corp Common Stock 04010L103 18773 1265009 SH DFND 1 1265009 0 0 Ascendis Pharma A/S ADR Common Stock 04351P101 524 28259 SH DFND 28259 0 0 AT&T Inc Common Stock 00206R102 22343 570416 SH DFND 570416 0 0 Axovant Sciences Ltd Common Stock G0750W104 1280 111506 SH DFND 111506 0 0 B2Gold Corporation Common Stock 11777Q209 5105 3075105 SH DFND 3075105 0 0 Banc of California Common Stock 05990K106 476 27181 SH DFND 27181 0 0 BankUnited Common Stock 06652K103 413 11993 SH DFND 11993 0 0 BioCryst Pharma Inc Common Stock 09058V103 233 82476 SH DFND 82476 0 0 Biogen Inc Common Stock 09062X103 484 1860 SH DFND 1860 0 0 BJ's Restaurants Inc Common Stock 09180C106 407 9780 SH DFND 9780 0 0 Blackstone Group LP Common Stock 09253U108 42400 1511594 SH DFND 1 1511594 0 0 Bluebird Bio, Inc. 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Common Stock 25264R207 422 2382 SH DFND 2382 0 0 Diamond Resorts Intl Common Stock 25272T104 427 17578 SH DFND 17578 0 0 Dicks Sporting Goods Common Stock 253393102 440 9407 SH DFND 9407 0 0 Digital Realty Trust REIT Common Stock 253868103 1526 17247 SH DFND 17247 0 0 DineEquity Inc. 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Common Stock G3198U102 452 21751 SH DFND 21751 0 0 Essex Property Trust REIT Common Stock 297178105 1812 7748 SH DFND 7748 0 0 Estee Lauder Co Common Stock 518439104 468 4962 SH DFND 4962 0 0 Everest Re Group Ltd Common Stock G3223R108 436 2208 SH DFND 2208 0 0 Exlservice Holdings Common Stock 302081104 459 8860 SH DFND 8860 0 0 Expeditors Intl. Common Stock 302130109 433 8868 SH DFND 8868 0 0 Extra Space Storage REIT Common Stock 30225T102 1353 14481 SH DFND 14481 0 0 F5 Networks Inc Common Stock 315616102 456 4310 SH DFND 4310 0 0 Facebook Inc Common Stock 30303M102 480 4205 SH DFND 4205 0 0 Factset Research Sys Common Stock 303075105 480 3166 SH DFND 3166 0 0 Federal REIT Common Stock 313747206 1271 8144 SH DFND 8144 0 0 Federated Investors Common Stock 314211103 443 15340 SH DFND 15340 0 0 Federated Natl Hldg Common Stock 31422T101 411 20907 SH DFND 20907 0 0 Fibrogen Inc Common Stock 31572Q808 1469 68978 SH DFND 68978 0 0 Fifth Third Bancorp Common Stock 316773100 453 27113 SH DFND 27113 0 0 First American Finan Common Stock 31847R102 449 11771 SH DFND 11771 0 0 First Majestic Slv DL Common Stock 32076V103 2678 413231 SH DFND 413231 0 0 First Republic Bank Common Stock 33616C100 430 6451 SH DFND 6451 0 0 Fiserv Inc Common Stock 337738108 443 4318 SH DFND 4318 0 0 Five Below Inc Common Stock 33829M101 452 10941 SH DFND 10941 0 0 Five Prime Therap. Common Stock 33830X104 540 13289 SH DFND 13289 0 0 Flexion Therapeutics Common Stock 33938J106 223 24223 SH DFND 24223 0 0 Foamix Ltd Common Stock M46135105 224 34363 SH DFND 34363 0 0 Foot Locker Inc Common Stock 344849104 436 6759 SH DFND 6759 0 0 Ford Motor Co Common Stock 345370860 22663 1678715 SH DFND 1678715 0 0 Fortuna Silver Mines Common Stock 349915108 1875 480667 SH DFND 480667 0 0 Fortune Brands Home Common Stock 34964C106 452 8068 SH DFND 8068 0 0 Forward Pharma ADR Common Stock 34986J105 889 52310 SH DFND 52310 0 0 Fossil Group Inc. Common Stock 34988V106 405 9108 SH DFND 9108 0 0 Fox Factory Hldg Common Stock 35138V102 428 27077 SH DFND 27077 0 0 Franco-Nevada Corp Common Stock 351858105 24156 393556 SH DFND 393556 0 0 Frontier Comm Common Stock 35906A108 22696 4060058 SH DFND 4060058 0 0 Galapagos NV ADR Common Stock 36315X101 1835 43874 SH DFND 43874 0 0 Garmin Ltd Common Stock H2906T109 21975 549927 SH DFND 549927 0 0 GATX Corp Common Stock 361448103 441 9286 SH DFND 9286 0 0 General Dynamics Common Stock 369550108 421 3202 SH DFND 3202 0 0 General Growth Pptys REIT Common Stock 370023103 2031 68311 SH DFND 68311 0 0 General Motors Co. Common Stock 37045V100 470 14958 SH DFND 14958 0 0 Genesis Energy MLP Common Stock 371927104 199312 6269648 SH DFND 6269648 0 0 Genocea Biosciences Common Stock 372427104 245 31661 SH DFND 31661 0 0 Genpact Ltd Common Stock G3922B107 447 16444 SH DFND 16444 0 0 Gentex Corp Common Stock 371901109 429 27373 SH DFND 27373 0 0 Gentherm Inc Common Stock 37253A103 447 10754 SH DFND 10754 0 0 Genworth Financial Common Stock 37247D106 36 13169 SH DFND 13169 0 0 Gibraltar Industries Common Stock 374689107 470 16451 SH DFND 16451 0 0 G-III Apparel Group Common Stock 36237H101 392 8019 SH DFND 8019 0 0 Gilead Sciences Inc Common Stock 375558103 438 4771 SH DFND 4771 0 0 Glacier Bancorp Inc Common Stock 37637Q105 430 16900 SH DFND 16900 0 0 Global Payments Inc Common Stock 37940X102 477 7299 SH DFND 7299 0 0 Globus Medical Inc Class A Common Stock 379577208 411 17312 SH DFND 17312 0 0 Golar LNG Partners Common Stock Y2745C102 431 29309 SH DFND 29309 0 0 Gold Fields Limited ADR Common Stock 38059T106 4420 1121835 SH DFND 1121835 0 0 Goldcorp, Inc. DL Common Stock 380956409 22817 1405880 SH DFND 1405880 0 0 Graco Inc Common Stock 384109104 444 5283 SH DFND 5283 0 0 Grand Canyon Edu Inc Common Stock 38526M106 440 10285 SH DFND 10285 0 0 Graphic Pack Hldg Common Stock 388689101 434 33762 SH DFND 33762 0 0 Greenbrier Cos Inc Common Stock 393657101 460 16638 SH DFND 16638 0 0 GrubHub Inc Common Stock 400110102 455 18113 SH DFND 18113 0 0 GTT Communications Common Stock 362393100 456 27549 SH DFND 27549 0 0 Halozyme Therapeutic Common Stock 40637H109 1351 142665 SH DFND 142665 0 0 Hanmi Financial Corp Common Stock 410495204 431 19583 SH DFND 19583 0 0 Harley-Davidson Inc Common Stock 412822108 463 9012 SH DFND 9012 0 0 Harmony Gold Mining ADR Common Stock 413216300 4234 1163112 SH DFND 1163112 0 0 Hasbro Inc Common Stock 418056107 435 5436 SH DFND 5436 0 0 Hawaiian Holdings Common Stock 419879101 443 9394 SH DFND 9394 0 0 HCA Holdings Inc. Common Stock 40412C101 455 5832 SH DFND 5832 0 0 HCI Group Inc Common Stock 40416E103 445 13370 SH DFND 13370 0 0 HCP Inc REIT Common Stock 40414L109 1776 54527 SH DFND 54527 0 0 Headwaters Inc Common Stock 42210P102 460 23204 SH DFND 23204 0 0 Healthsouth Corp. Common Stock 421924309 456 12112 SH DFND 12112 0 0 Hecla Mining Co. Common Stock 422704106 661 237679 SH DFND 237679 0 0 HEICO Corp Class A Common Stock 422806208 459 9641 SH DFND 9641 0 0 Heritage Ins. Hlds. Common Stock 42727J102 458 28660 SH DFND 28660 0 0 Herman Miller Inc Common Stock 600544100 512 16562 SH DFND 16562 0 0 Hexcel Corp Common Stock 428291108 428 9794 SH DFND 9794 0 0 HFF Inc. CL A Common Stock 40418F108 431 15660 SH DFND 15660 0 0 Hibbett Sports Inc. 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DL Common Stock 450913108 2963 1340894 SH DFND 1340894 0 0 Illinois Tool Works Common Stock 452308109 446 4356 SH DFND 4356 0 0 Illumina Inc Common Stock 452327109 461 2846 SH DFND 2846 0 0 Immune Design Corp Common Stock 45252L103 294 22653 SH DFND 22653 0 0 Immunogen Inc Common Stock 45253H101 834 97910 SH DFND 97910 0 0 Impax Laboratories Common Stock 45256B101 2614 81650 SH DFND 81650 0 0 IMS Health Holdings Common Stock 44970B109 442 16638 SH DFND 16638 0 0 INC Research Hldgs Common Stock 45329R109 432 10484 SH DFND 10484 0 0 Infosys Tech Ltd ADR Common Stock 456788108 227 11941 SH DFND 11941 0 0 Ingredion Inc. Common Stock 457187102 431 4037 SH DFND 4037 0 0 Inotek Pharmaceutic Common Stock 45780V102 220 29701 SH DFND 29701 0 0 Insys Therapeutics Common Stock 45824V209 385 24097 SH DFND 24097 0 0 Integrated Dev. Tech Common Stock 458118106 439 21476 SH DFND 21476 0 0 Intel Corp Common Stock 458140100 475 14698 SH DFND 14698 0 0 Inteliquent Inc. Common Stock 45825N107 430 26806 SH DFND 26806 0 0 Intercept Pharma Common Stock 45845P108 3515 27364 SH DFND 27364 0 0 InterDigital Inc. Common Stock 45867G101 455 8170 SH DFND 8170 0 0 International Paper Common Stock 460146103 22467 547447 SH DFND 547447 0 0 Intl Bus Machines Common Stock 459200101 23278 153700 SH DFND 153700 0 0 Invesco Ltd. Common Stock G491BT108 22404 728103 SH DFND 728103 0 0 Investment Tech. Common Stock 46145F105 440 19914 SH DFND 19914 0 0 Investors Bancorp Common Stock 46146L101 433 37237 SH DFND 37237 0 0 IPG Photonics Corp. Common Stock 44980X109 461 4793 SH DFND 4793 0 0 Irobot Corp. Common Stock 462726100 451 12766 SH DFND 12766 0 0 Ironwood Pharm. Inc Common Stock 46333X108 1568 143337 SH DFND 143337 0 0 iShs Barclays AggBnd ETF ETF 464287226 8929 80515 SH DFND 3 80515 0 0 iShs Barclays TIPS ETF ETF 464287176 24591 213969 SH DFND 2 213969 0 0 iShs Core S&P 500 ETF ETF 464287200 119002 570533 SH DFND 2 570533 0 0 iShs Core S&P 500 ETF ETF 464287200 16860 81589 SH DFND 81589 0 0 iShs JPM USD Emg. ETF ETF 464288281 22869 204665 SH DFND 2 204665 0 0 iShs MSCI EAFE SC ETF ETF 464288273 18482 366789 SH DFND 2 366789 0 0 iShs R1K Grwth Index ETF ETF 464287614 2061 20741 SH DFND 2 20741 0 0 iShs R2K Growth ETF ETF 464287648 667 4915 SH DFND 2 4915 0 0 iShs Russell MdCp Gr ETF ETF 464287481 464 5003 SH DFND 2 5003 0 0 iShs S&P MidCap 400 ETF ETF 464287507 55147 375940 SH DFND 2 375940 0 0 ITT Corp Common Stock 450911201 442 11993 SH DFND 11993 0 0 j2 Global Inc. Common Stock 48123V102 456 7411 SH DFND 7411 0 0 Jack Henry & Assoc. 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Common Stock 49803L109 2486 54149 SH DFND 54149 0 0 KKR & Co. L.P. Common Stock 48248M102 4569 311049 SH DFND 1 311049 0 0 Kla-Tencor Corp Common Stock 482480100 446 6125 SH DFND 6125 0 0 Knoll Inc. Common Stock 498904200 473 21839 SH DFND 21839 0 0 Kroger Co/The Common Stock 501044101 467 12207 SH DFND 12207 0 0 Lakeland Financial Common Stock 511656100 442 9645 SH DFND 9645 0 0 Lam Research Corp Common Stock 512807108 457 5531 SH DFND 5531 0 0 Landstar System Inc Common Stock 515098101 438 6776 SH DFND 6776 0 0 Lannett Company, Inc Common Stock 516012101 384 21424 SH DFND 21424 0 0 Las Vegas Sands Corp Common Stock 517834107 425 8216 SH DFND 8216 0 0 La-Z-Boy Inc Common Stock 505336107 446 16669 SH DFND 16669 0 0 Legacy Texas Fin Grp Common Stock 52471Y106 438 22296 SH DFND 22296 0 0 LendingTree Inc Common Stock 52603B107 464 4742 SH DFND 4742 0 0 Level 3 Comm. Common Stock 52729N308 482 9114 SH DFND 9114 0 0 Lexicon Pharm. 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