0001085146-16-004624.txt : 20161104 0001085146-16-004624.hdr.sgml : 20161104 20161103174927 ACCESSION NUMBER: 0001085146-16-004624 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161104 DATE AS OF CHANGE: 20161103 EFFECTIVENESS DATE: 20161104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Forward Management, LLC CENTRAL INDEX KEY: 0001385864 IRS NUMBER: 943310130 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12088 FILM NUMBER: 161973039 BUSINESS ADDRESS: STREET 1: 101 CALIFORNIA STREET, 16TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-869-6300 MAIL ADDRESS: STREET 1: 101 CALIFORNIA STREET, 16TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001385864 XXXXXXXX 09-30-2016 09-30-2016 Forward Management, LLC

101 CALIFORNIA STREET, 16TH FLOOR SAN FRANCISCO CA 94111

13F COMBINATION REPORT 028-12088 0001095952 028-06435 BROADMARK ASSET MANAGEMENT LLC 0001291274 028-11664 PICTET ASSET MANAGEMENT LTD N Robert S. Naka 415 869-6300 /s/ Robert S. Naka San Francisco CA 11-02-2016 0 201 1318782 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101177010047SHSOLE 10047008POINT3 ENERGY PARTNERS LPCL A RPT LTDPT28253910599368970SHSOLE 6897000ALEXANDER & BALDWIN INC NEWCOM01449110469218000SHSOLE 1800000ALEXANDRIA REAL ESTATE EQ INCOM0152711097296700SHSOLE 670000ALEXANDRIA REAL ESTATE EQ INPFD CONV SER D0152715053658102798SHSOLE 10279800AMBEV SASPONSORED ADR02319V1034561748909SHSOLE 74890900AMERICAN ASSETS TR INCCOM0240131046845157800SHSOLE 15780000AMERICAN CAMPUS CMNTYS INCCOM02483510061012000SHSOLE 1200000AMERICAN HOMES 4 RENTCL A02665T306497452298734SHSOLE 229873400AMERICAN TOWER CORP NEWCOM03027X100170015000SHSOLE 1500000APPLE INCCOM03783310010939664SHSOLE 966400ASHFORD HOSPITALITY PRIME INCOM0441021015069359500SHSOLE 35950000ASHFORD HOSPITALITY PRIME INPFD CV SER B044102507613342600000SHSOLE 260000000AUTOMATIC DATA PROCESSING INCOM0530151037178134SHSOLE 813400AVALONBAY CMNTYS INCCOM053484101391322000SHSOLE 2200000BECTON DICKINSON & COCOM0758871099575325SHSOLE 532500BELMOND LTDCL AG1154H1072695212000SHSOLE 21200000BLACK KNIGHT FINL SVCS INCCL A09214X10061114931SHSOLE 1493100BLACKROCK INCCOM09247X10113073605SHSOLE 360500BRANDYWINE RLTY TRSH BEN INT NEW10536820364841500SHSOLE 4150000BRIXMOR PPTY GROUP INCCOM11120U10511269405500SHSOLE 40550000BROADRIDGE FINL SOLUTIONS INCOM11133T10395014017SHSOLE 1401700BT GROUP PLCADR05577E101140955384SHSOLE 5538400CARDINAL HEALTH INCCOM14149Y108150119320SHSOLE 1932000CASCADE BANCORPCOM NEW14715420736460000SHSOLE 6000000CASEYS GEN STORES INCCOM14752810311659698SHSOLE 969800CATALENT INCCOM14880610238314831SHSOLE 1483100CECO ENVIRONMENTAL CORPCOM125141101393416SHSOLE 341600CHATHAM LODGING TRCOM16208T102370781926100SHSOLE 192610000CHEVRON CORP NEWCOM1667641009889589SHSOLE 958900CHINA YUCHAI INTL LTDCOMG210821055068443515SHSOLE 44351500CIM COML TR CORPCOM12552510531920745SHSOLE 2074500CME GROUP INCCOM12572Q105116311131SHSOLE 1113100COLONY CAP INCCL A19624R106239001311000SHSOLE 131100000COLONY CAP INCCONV PFD-C19624R4039912400000SHSOLE 40000000COMCAST CORP NEWCL A20030N101221633398SHSOLE 3339800CONSOLIDATED TOMOKA LD CONOTE 4.500% 3/1210226AB22160122000000SHSOLE 2200000000COOPER COS INCCOM NEW2166484028154549SHSOLE 454900CORE LABORATORIES N VCOMN227171076786030SHSOLE 603000CORENERGY INFRASTRUCTURE TRCOM NEW21870U50243614873SHSOLE 1487300CORENERGY INFRASTRUCTURE TRDEP SHS REPSTG21870U3049924400000SHSOLE 40000000CORENERGY INFRASTRUCTURE TRNOTE 7.000% 6/121870UAA41923819000000SHSOLE 1900000000CORESITE RLTY CORPCOM21870Q10577710500SHSOLE 1050000CORPORATE OFFICE PPTYS TRSH BEN INT22002T10893633000SHSOLE 3300000CROWN CASTLE INTL CORP NEWCOM22822V101162017200SHSOLE 1720000DDR CORPCOM23317H10234019500SHSOLE 1950000DIGITAL RLTY TR INCCOM253868103254426200SHSOLE 2620000DST SYS INC DELCOM2333261076135203SHSOLE 520300EASTMAN CHEM COCOM2774321006209148SHSOLE 914800EATON CORP PLCSHSG291831032824286SHSOLE 428600ENSTAR GROUP LIMITEDSHSG3075P1016664052SHSOLE 405200EPR PPTYSCONV PFD 9% SR E26884U30723941644101SHSOLE 64410100EPR PPTYSPFD C CNV 5.75%26884U2087638248700SHSOLE 24870000EQUITY ONECOM294752100125541000SHSOLE 4100000EQUITY RESIDENTIALSH BEN INT29476L107321650000SHSOLE 5000000EVERCORE PARTNERS INCCLASS A29977A10575414643SHSOLE 1464300EXTRA SPACE STORAGE INCCOM30225T102135017000SHSOLE 1700000EXXON MOBIL CORPCOM30231G10215181SHSOLE 18100FARMLAND PARTNERS INCCOM31154R1091680150000SHSOLE 15000000FBR & COCOM NEW30247C40016012084SHSOLE 1208400FEDERAL REALTY INVT TRSH BEN INT NEW3137472066934500SHSOLE 450000FELCOR LODGING TR INCCOM31430F1012236347700SHSOLE 34770000FELCOR LODGING TR INCPFD CV A $1.9531430F200256351025000SHSOLE 102500000FOMENTO ECONOMICO MEXICANO SSPON ADR UNITS344419106334636360SHSOLE 3636000FOREST CITY RLTY TR INCCOM CL A34560510971931100SHSOLE 3110000FRANKLIN STREET PPTYS CORPCOM35471R106390793101500SHSOLE 310150000GENERAL DYNAMICS CORPCOM3695501089315998SHSOLE 599800GENERAL GROWTH 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752800PROSHARES TR IIULTRASHRT EURO74347W88223810000SHSOLE 1000000PROSPERITY BANCSHARES INCCOM74360610562911460SHSOLE 1146000PRUDENTIAL PLCADR74435K204180750586SHSOLE 5058600PUBLIC STORAGECOM74460D1095222339SHSOLE 233900QTS RLTY TR INCCOM CL A74736A10395118000SHSOLE 1800000QUALCOMM INCCOM747525103120317564SHSOLE 1756400RAMCO-GERSHENSON PPTYS TRPERP PFD-D CV75145260816870245700SHSOLE 24570000RETAIL OPPORTUNITY INVTS CORCOM76131N1012416110000SHSOLE 11000000RITCHIE BROS AUCTIONEERSCOM76774410568719595SHSOLE 1959500ROBERT HALF INTL INCCOM770323103179347341SHSOLE 4734100SABRA HEALTH CARE REIT INCCOM78573L106469111863000SHSOLE 186300000SCHLUMBERGER LTDCOM8068571089077116203SHSOLE 11620300SELECT INCOME REITCOM SH BEN INT81618T10013450500000SHSOLE 50000000SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308455885659SHSOLE 8565900SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886458293534SHSOLE 9353400SENIOR HSG PPTYS TRSH BEN INT81721M10974933000SHSOLE 3300000SERITAGE GROWTH PPTYSCL A81752R10055210900SHSOLE 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NEW887317303120615149SHSOLE 1514900UBS GROUP AGSHSH420971072602191031SHSOLE 19103100ULTRAPAR PARTICIPACOES S ASP ADR REP COM90400P10175134300SHSOLE 3430000UMH PPTYS INCCV RED PFD-A90300220216191630000SHSOLE 63000000UNILEVER PLCSPON ADR NEW904767704310665510SHSOLE 6551000UNITED TECHNOLOGIES CORPCOM913017109102110044SHSOLE 1004400URSTADT BIDDLE PPTYS INCCL A9172862054444200000SHSOLE 20000000URSTADT BIDDLE PPTYS INCPFD-G CV 6.75%91728680911858450000SHSOLE 45000000US BANCORP DELCOM NEW902973304126429461SHSOLE 2946100VANGUARD BD INDEX FD INCSHORT TRM BOND92193782737452SHSOLE 45200VANGUARD INDEX FDSREIT ETF922908553454252358SHSOLE 5235800VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858461237SHSOLE 123700VANGUARD WORLD FDSTELCOMM ETF92204A884453948087SHSOLE 4808700VANTIV INCCL A92210H105109819515SHSOLE 1951500VARIAN MED SYS INCCOM92220P105101610213SHSOLE 1021300VIRTU FINL INCCL A92825410166544399SHSOLE 4439900VORNADO RLTY TRSH BEN INT929042109323932000SHSOLE 3200000WAL-MART STORES INCCOM9311421036989677SHSOLE 967700WASHINGTON PRIME GROUP NEWCOM93964W108193751565000SHSOLE 156500000WELLS FARGO & CO NEWCOM9497461013768500SHSOLE 850000WELLTOWER INCCOM95040Q104269236000SHSOLE 3600000WEX INCCOM96208T1047697112SHSOLE 711200WEYERHAEUSER COCOM9621661043692115600SHSOLE 11560000WHEELER REAL ESTATE INVT TRCOM9630251011015580000SHSOLE 58000000WHEELER REAL ESTATE INVT TRCV PFD SER B9630253098385390000SHSOLE 39000000WHEELER REAL ESTATE INVT TRPFD CNV SER D9630256065100200000SHSOLE 20000000WILLIAMS SONOMA INCCOM9699041013256352SHSOLE 635200WPP PLC NEWADR92937A102584349634SHSOLE 4963400