Chief Compliance Officer

0001398344-18-010846.txt : 20180731 0001398344-18-010846.hdr.sgml : 20180731 20180731114513 ACCESSION NUMBER: 0001398344-18-010846 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180731 DATE AS OF CHANGE: 20180731 EFFECTIVENESS DATE: 20180731 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-12230 FILM NUMBER: 18980127 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001376113 XXXXXXXX 06-30-2018 06-30-2018 true 1 RESTATEMENT false ALPS ADVISORS INC

1290 Broadway, Suite 1100 Denver CO 80203

13F COMBINATION REPORT 028-12230 028-02634 Aristotle Capital Management, LLC 028-10679 Clough Capital Partners LP 028-03434 Congress Asset Management Co. 028-11239 CoreCommodity Management, LLC 028-05267 Macquarie Investment Management Business Trust 028-13120 Macquarie Group Limited 028-10106 Principal Financial Group, Inc. 028-10400 Principal Real Estate Investors LLC 028-03791 Pzena Investment Management 028-13577 RiverFront Investment Group 028-13256 RiverNorth Capital Management, LLC 028-11320 Stadion Money Management, LLC 028-11076 Sustainable Growth Advisers, LP 028-02494 TCW Group, Inc. 028-06683 TCW Investment Management Co. 028-04129 Weatherbie Capital, LLC 028-04557 Wellington Management Company, LLP N Erin D. Nelson Chief Compliance Officer 303-623-2577 /s/ Erin D. Nelson Denver CO 07-30-2018 3 852 15639355 1 028-14056 Red Rocks Capital LLC 2 028-17446 Morningstar Investment Management LLC 3 028-14185 Rocky Mountain Advisers, LLC INFORMATION TABLE 2 fp0034826_13fhra-table.xml 13F INFORMATION TABLE AAON Inc COMMON STOCK 000360206 540 14725 SH DFND 14725 0 0 AbbVie Inc COMMON STOCK 00287Y109 1139 11779 SH DFND 11779 0 0 ABIOMED Inc COMMON STOCK 003654100 788 4202 SH DFND 4202 0 0 Acacia Communications Inc COMMON STOCK 00401C108 343 9477 SH DFND 9477 0 0 Acceleron Pharma Inc COMMON STOCK 00434H108 2127 50125 SH DFND 50125 0 0 Accenture PLC COMMON STOCK G1151C101 830 5419 SH DFND 5419 0 0 Achillion Pharmaceuticals Inc COMMON STOCK 00448Q201 440 152763 SH DFND 152763 0 0 Aclaris Therapeutics Inc COMMON STOCK 00461U105 843 34168 SH DFND 34168 0 0 Acorda Therapeutics Inc COMMON STOCK 00484M106 1111 51801 SH DFND 51801 0 0 Acuity Brands Inc COMMON STOCK 00508Y102 436 2477 SH DFND 2477 0 0 Adamas Pharmaceuticals Inc COMMON STOCK 00548A106 855 25241 SH DFND 25241 0 0 Adaptimmune Therapeutics Plc COMMON STOCK 00653A107 693 103816 SH DFND 103816 0 0 Adient plc COMMON STOCK G0084W101 221 2811 SH DFND 2811 0 0 Adobe Systems Inc COMMON STOCK 00724F101 1009 5760 SH DFND 5760 0 0 Adtalem Global Education Inc COMMON STOCK 00737L103 573 13637 SH DFND 13637 0 0 ADTRAN Inc COMMON STOCK 00738A106 407 21051 SH DFND 21051 0 0 Aduro Biotech Inc COMMON STOCK 00739L101 620 82678 SH DFND 82678 0 0 Advanced Energy Industries Inc COMMON STOCK 007973100 446 6607 SH DFND 6607 0 0 Advanced Micro Devices Inc COMMON STOCK 007903107 321 31205 SH DFND 31205 0 0 AECOM COMMON STOCK 00766T100 239 6430 SH DFND 6430 0 0 Aerie Pharmaceuticals Inc COMMON STOCK 00771V108 2430 40673 SH DFND 40673 0 0 AES Corp/VA COMMON STOCK 00130H105 48230 4453359 SH DFND 4453359 0 0 Aetna Inc COMMON STOCK 00817Y108 855 4737 SH DFND 4737 0 0 Agios Pharmaceuticals Inc COMMON STOCK 00847X104 3054 53416 SH DFND 53416 0 0 Agnico Eagle Mines Ltd COMMON STOCK 008474108 25606 554485 SH DFND 554485 0 0 Aimmune Therapeutics Inc COMMON STOCK 00900T107 2132 56362 SH DFND 56362 0 0 Air Products & Chemicals Inc COMMON STOCK 009158106 211 1285 SH DFND 1285 0 0 Akebia Therapeutics Inc COMMON STOCK 00972D105 779 52379 SH DFND 52379 0 0 Akorn Inc COMMON STOCK 009728106 4467 138593 SH DFND 138593 0 0 Alamos Gold Inc COMMON STOCK 011532108 10586 1626123 SH DFND 1626123 0 0 Alaska Air Group Inc COMMON STOCK 011659109 529 7203 SH DFND 7203 0 0 Albemarle Corp COMMON STOCK 012653101 255 1994 SH DFND 1994 0 0 Alexandria Real Estate Equitie COMMON STOCK 015271109 868 6648 SH DFND 6648 0 0 Alexion Pharmaceuticals Inc COMMON STOCK 015351109 390 3265 SH DFND 3265 0 0 Align Technology Inc COMMON STOCK 016255101 781 3517 SH DFND 3517 0 0 Allegiant Travel Co COMMON STOCK 01748X102 614 3966 SH DFND 3966 0 0 Allison Transmission Holdings COMMON STOCK 01973R101 585 13592 SH DFND 13592 0 0 Alphabet Inc COMMON STOCK 02079K107 513 490 SH DFND 490 0 0 Alphabet Inc COMMON STOCK 02079K305 1062 1008 SH 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Man COMMON STOCK 03675Y103 755 38311 SH DFND 38311 0 0 AO Smith Corp COMMON STOCK 831865209 565 9224 SH DFND 9224 0 0 Apogee Enterprises Inc COMMON STOCK 037598109 478 10451 SH DFND 10451 0 0 Apollo Global Management LLC COMMON STOCK 037612306 544 16249 SH DFND 16249 0 0 APPLE INC COMMON STOCK 037833100 5236 30943 SH DFND 30943 0 0 Applied Industrial Technologie COMMON STOCK 03820C105 542 7957 SH DFND 7957 0 0 Applied Materials Inc COMMON STOCK 038222105 1215 23767 SH DFND 23767 0 0 Applied Optoelectronics Inc COMMON STOCK 03823U102 284 7513 SH DFND 7513 0 0 APTIV PLC COMMON STOCK G6095L109 792 9331 SH DFND 9331 0 0 Aquinox Pharmaceuticals Inc COMMON STOCK 03842B101 306 26001 SH DFND 26001 0 0 Arch Capital Group Ltd COMMON STOCK G0450A105 203 2241 SH DFND 2241 0 0 Archer-Daniels-Midland Co COMMON STOCK 039483102 46268 1154396 SH DFND 1154396 0 0 Archrock Inc COMMON STOCK 03957W106 332 31640 SH DFND 31640 0 0 Arconic Inc COMMON STOCK 03965L100 473 17365 SH DFND 17365 0 0 Arena Pharmaceuticals Inc COMMON STOCK 040047607 1476 43460 SH DFND 43460 0 0 ARES CAPITAL CORP COMMON STOCK 04010L103 6427 390675 SH DFND 1 390675 0 0 Argan Inc COMMON STOCK 04010E109 345 7667 SH DFND 7667 0 0 Arista Networks Inc COMMON STOCK 040413106 664 2820 SH DFND 2820 0 0 Armstrong World Industries Inc COMMON STOCK 04247X102 584 9639 SH DFND 9639 0 0 Array BioPharma Inc COMMON STOCK 04269X105 2795 218328 SH DFND 218328 0 0 Arrowhead Pharmaceuticals Inc COMMON STOCK 04280A100 305 82856 SH DFND 82856 0 0 Ascendis Pharma A/S COMMON STOCK 04351P101 1614 40297 SH DFND 40297 0 0 Aspen Technology Inc COMMON STOCK 045327103 482 7285 SH DFND 7285 0 0 AT&T Inc COMMON STOCK 00206R102 52424 1348349 SH DFND 1348349 0 0 Atara Biotherapeutics Inc COMMON STOCK 046513107 614 33904 SH DFND 33904 0 0 Athene Holding Ltd COMMON STOCK G0684D107 459 8874 SH DFND 8874 0 0 Athenex Inc COMMON STOCK 04685N103 1022 64265 SH DFND 64265 0 0 ATN International Inc COMMON STOCK 00215F107 475 8601 SH DFND 8601 0 0 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RILEY FINANCIAL INC COMMON STOCK 05580M108 504 27838 SH DFND 27838 0 0 B2Gold Corp COMMON STOCK 11777Q209 5954 1920576 SH DFND 1920576 0 0 Badger Meter Inc COMMON STOCK 056525108 665 13912 SH DFND 13912 0 0 BancFirst Corp COMMON STOCK 05945F103 469 9161 SH DFND 9161 0 0 Bank of America Corp COMMON STOCK 060505104 846 28665 SH DFND 28665 0 0 Bank of Hawaii Corp COMMON STOCK 062540109 514 5993 SH DFND 5993 0 0 Bank of Nova Scotia/The COMMON STOCK 064149107 470 7279 SH DFND 7279 0 0 Bank of NT Butterfield & Son L COMMON STOCK G0772R208 512 14106 SH DFND 14106 0 0 Bank of the Ozarks Inc COMMON STOCK 063904106 522 10781 SH DFND 10781 0 0 Banner Corp COMMON STOCK 06652V208 461 8359 SH DFND 8359 0 0 Barnes & Noble Inc COMMON STOCK 067774109 71 10638 SH DFND 10638 0 0 Barnes Group Inc COMMON STOCK 067806109 463 7319 SH DFND 7319 0 0 Barrick Gold Corp COMMON STOCK 067901108 8333 575880 SH DFND 575880 0 0 Bassett Furniture Industries I COMMON STOCK 070203104 227 6036 SH DFND 6036 0 0 BB&T Corp 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ASSET MGMT- CL A COMMON STOCK 112585104 9528 235025 SH DFND 1 235025 0 0 BROOKFIELD INFRASTRUCTURE PARTNERS LP COMMON STOCK G16252101 5847 152283 SH DFND 1 152283 0 0 Brooks Automation Inc COMMON STOCK 114340102 418 17545 SH DFND 17545 0 0 Bruker Corp COMMON STOCK 116794108 537 15660 SH DFND 15660 0 0 Buckeye Partners LP COMMON STOCK 118230101 603802 12185717 SH DFND 12185717 0 0 Builders FirstSource Inc COMMON STOCK 12008R107 603 27693 SH DFND 27693 0 0 Cabot Microelectronics Corp COMMON STOCK 12709P103 609 6474 SH DFND 6474 0 0 CACI International Inc COMMON STOCK 127190304 212 1599 SH DFND 1599 0 0 Cadence Design Systems Inc COMMON STOCK 127387108 1172 28022 SH DFND 28022 0 0 CALIFORNIA RESOURCES CORP COMMON STOCK 13057Q206 248 12761 SH DFND 12761 0 0 Calithera Biosciences Inc COMMON STOCK 13089P101 328 39313 SH DFND 39313 0 0 Callaway Golf Co COMMON STOCK 131193104 468 33606 SH DFND 33606 0 0 Callon Petroleum Co COMMON STOCK 13123X102 546 44935 SH DFND 44935 0 0 Cambrex Corp COMMON 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520 4588 SH DFND 4588 0 0 Eagle Pharmaceuticals Inc/DE COMMON STOCK 269796108 390 7294 SH DFND 7294 0 0 East West Bancorp Inc COMMON STOCK 27579R104 724 11909 SH DFND 11909 0 0 Eaton Corp PLC COMMON STOCK G29183103 49847 630892 SH DFND 630892 0 0 Ecolab Inc COMMON STOCK 278865100 399 2970 SH DFND 2970 0 0 Edwards Lifesciences Corp COMMON STOCK 28176E108 463 4104 SH DFND 4104 0 0 Eldorado Gold Corp COMMON STOCK 284902103 2438 1704800 SH DFND 1704800 0 0 Electronic Arts Inc COMMON STOCK 285512109 480 4567 SH DFND 4567 0 0 Emergent BioSolutions Inc COMMON STOCK 29089Q105 2700 58094 SH DFND 58094 0 0 Emerson Electric Co COMMON STOCK 291011104 50704 727563 SH DFND 727563 0 0 Enanta Pharmaceuticals Inc COMMON STOCK 29251M106 1238 21094 SH DFND 21094 0 0 Enbridge Energy Partners LP COMMON STOCK 29250R106 247120 17894258 SH DFND 17894258 0 0 Endeavour Silver Corp COMMON STOCK 29258Y103 663 277475 SH DFND 277475 0 0 ENDO INTERNATIONAL PLC COMMON STOCK G30401106 2386 307839 SH DFND 307839 0 0 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