Chief Executive Officer

0000891092-16-014654.txt : 20160505 0000891092-16-014654.hdr.sgml : 20160505 20160505082235 ACCESSION NUMBER: 0000891092-16-014654 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160505 DATE AS OF CHANGE: 20160505 EFFECTIVENESS DATE: 20160505 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IndexIQ Advisors LLC CENTRAL INDEX KEY: 0001415996 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13712 FILM NUMBER: 161621692 BUSINESS ADDRESS: STREET 1: 800 WESTCHESTER AVENUE STREET 2: SUITE S-710 CITY: Rye Brook STATE: NY ZIP: 10573 BUSINESS PHONE: (914) 697-4945 MAIL ADDRESS: STREET 1: 800 WESTCHESTER AVENUE STREET 2: SUITE S-710 CITY: Rye Brook STATE: NY ZIP: 10573 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001415996 XXXXXXXX 03-31-2016 03-31-2016 false IndexIQ Advisors LLC

800 Westchester Avenue Suite S-710 Rye Brook NY 10573

13F HOLDINGS REPORT 028-13712 N Adam S. Patti Chief Executive Officer 914-697-4945 /s/ Adam S. Patti Rye Brook NY 05-05-2016 2 270 1500490 01 0001460140 028-13711 FINANCIAL DEVELOPMENT LLC 02 0001483922 028-13710 INDEXIQ LLC INFORMATION TABLE 2 infotable.xml ALLERGAN PLC SHS G0177J108 7057 26330 SH DFND 1,2 26330 0 0 AMIRA NATURE FOODS LTD SHS G0335L102 54 5559 SH DFND 1,2 5559 0 0 BUNGE LIMITED COM G16962105 232 4087 SH DFND 1,2 4087 0 0 KOSMOS ENERGY LTD SHS G5315B107 30 5175 SH DFND 1,2 5175 0 0 ROWAN COMPANIES PLC SHS CL A G7665A101 74 4571 SH DFND 1,2 4571 0 0 SEADRILL LIMITED SHS G7945E105 44 13440 SH DFND 1,2 13440 0 0 PENTAIR PLC SHS G7S00T104 1166 21497 SH DFND 1,2 21497 0 0 ADECOAGRO S A COM L00849106 354 30651 SH DFND 1,2 30651 0 0 OCEAN RIG UDW INC SHS Y64354205 3 3526 SH DFND 1,2 3526 0 0 AGL RES INC COM 001204106 3793 58225 SH DFND 1,2 58225 0 0 AG MTG INVT TR INC COM 001228105 329 25176 SH DFND 1,2 25176 0 0 ACADIA RLTY TR COM SH BEN INT 004239109 2216 63071 SH DFND 1,2 63071 0 0 AIRGAS INC COM 009363102 2977 21021 SH DFND 1,2 21021 0 0 ALCOA INC COM 013817101 54 5636 SH DFND 1,2 5636 0 0 ALON USA ENERGY INC COM 020520102 12 1150 SH DFND 1,2 1150 0 0 AMERICAN VANGUARD CORP COM 030371108 145 9192 SH DFND 1,2 9192 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 1482 21499 SH DFND 1,2 21499 0 0 ANADARKO PETE CORP COM 032511107 149 3197 SH DFND 1,2 3197 0 0 ANWORTH MORTGAGE ASSET CP COM 037347101 401 86121 SH DFND 1,2 86121 0 0 APACHE CORP COM 037411105 114 2338 SH DFND 1,2 2338 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 647 17818 SH DFND 1,2 17818 0 0 ARMOUR RESIDENTIAL REIT INC COM NEW 042315507 695 32279 SH DFND 1,2 32279 0 0 ASHFORD HOSPITALITY TR INC COM SHS 044103109 519 81349 SH DFND 1,2 81349 0 0 ASTORIA FINL CORP COM 046265104 342 21592 SH DFND 1,2 21592 0 0 ATMEL CORP COM 049513104 1959 241239 SH DFND 1,2 241239 0 0 BONANZA CREEK ENERGY INC COM 097793103 2 1500 SH DFND 1,2 1500 0 0 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 2175 155032 SH DFND 1,2 155032 0 0 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 4 7731 SH DFND 1,2 7731 0 0 CVR PARTNERS LP COM 126633106 94 11266 SH DFND 1,2 11266 0 0 CEDAR REALTY TRUST INC COM NEW 150602209 525 72668 SH DFND 1,2 72668 0 0 CHESAPEAKE LODGING TR SH BEN INT 165240102 1403 53006 SH DFND 1,2 53006 0 0 CHEVRON CORP NEW COM 166764100 1112 11661 SH DFND 1,2 11661 0 0 CONAGRA FOODS INC COM 205887102 534 11964 SH DFND 1,2 11964 0 0 COUSINS PPTYS INC COM 222795106 1947 187573 SH DFND 1,2 187573 0 0 DENBURY RES INC COM NEW 247916208 28 12765 SH DFND 1,2 12765 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 8005 126424 SH DFND 1,2 126424 0 0 E M C CORP MASS COM 268648102 7216 270772 SH DFND 1,2 270772 0 0 EP ENERGY CORP CL A 268785102 6 1301 SH DFND 1,2 1301 0 0 EMPIRE ST RLTY TR INC CL A 292104106 1892 107921 SH DFND 1,2 107921 0 0 FAIRCHILD SEMICONDUCTOR INTL COM 303726103 765 38253 SH DFND 1,2 38253 0 0 FIRSTMERIT CORP COM 337915102 2868 136262 SH DFND 1,2 136262 0 0 GENERAL MLS INC COM 370334104 1061 16744 SH DFND 1,2 16744 0 0 GLOBAL NET LEASE INC COM 379378102 1304 152292 SH DFND 1,2 152292 0 0 GULFMARK OFFSHORE INC CL A NEW 402629208 4 717 SH DFND 1,2 717 0 0 GULFPORT ENERGY CORP COM NEW 402635304 129 4557 SH DFND 1,2 4557 0 0 HAIN CELESTIAL GROUP INC COM 405217100 117 2857 SH DFND 1,2 2857 0 0 HALLIBURTON CO COM 406216101 187 5225 SH DFND 1,2 5225 0 0 HERSHA HOSPITALITY TR PR SHS BEN INT 427825500 829 38848 SH DFND 1,2 38848 0 0 HORMEL FOODS CORP COM 440452100 1031 23844 SH DFND 1,2 23844 0 0 HUDSON PAC PPTYS INC COM 444097109 1982 68539 SH DFND 1,2 68539 0 0 INGRAM MICRO INC CL A 457153104 1294 36021 SH DFND 1,2 36021 0 0 INGREDION INC COM 457187102 215 2009 SH DFND 1,2 2009 0 0 INVESTORS REAL ESTATE TR SH BEN INT 461730103 782 107661 SH DFND 1,2 107661 0 0 ISHARES MSCI EURZONE ETF 464286608 656 19062 SH DFND 1,2 19062 0 0 ISHARES MSCI JAPAN ETF 464286848 820 71858 SH DFND 1,2 71858 0 0 ISHARES TR TIPS BD ETF 464287176 2317 20212 SH DFND 1,2 20212 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 4329 128186 SH DFND 1,2 128186 0 0 ISHARES TR CORE S&P500 ETF 464287200 6 27 SH DFND 1,2 27 0 0 ISHARES TR CORE US AGGBD ET 464287226 109142 984676 SH DFND 1,2 984676 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 52 1508 SH DFND 1,2 1508 0 0 ISHARES TR IBOXX INV CP ETF 464287242 155407 1307921 SH DFND 1,2 1307921 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 1628 14048 SH DFND 1,2 14048 0 0 ISHARES TR S&P 500 VAL ETF 464287408 16637 184994 SH DFND 1,2 184994 0 0 ISHARES TR 7-10 Y TR BD ETF 464287440 1226 11108 SH DFND 1,2 11108 0 0 ISHARES TR 1-3 YR TR BD ETF 464287457 82782 973577 SH DFND 1,2 973577 0 0 ISHARES TR MSCI EAFE ETF 464287465 28417 497440 SH DFND 1,2 497440 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 46088 466428 SH DFND 1,2 466428 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 3629 36370 SH DFND 1,2 36370 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 55515 418415 SH DFND 1,2 418415 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 7510 67896 SH DFND 1,2 67896 0 0 ISHARES TR U.S. REAL ES ETF 464287739 135 1728 SH DFND 1,2 1728 0 0 ISHARES TR EUROPE ETF 464287861 139 3560 SH DFND 1,2 3560 0 0 ISHARES TR SP SMCP600GR ETF 464287887 29347 236289 SH DFND 1,2 236289 0 0 ISHARES TR EAFE SML CP ETF 464288273 4986 100135 SH DFND 1,2 100135 0 0 ISHARES TR IBOXX HI YD ETF 464288513 225 2786 SH DFND 1,2 2786 0 0 ISHARES TR CORE US CR BD 464288620 4649 42151 SH DFND 1,2 42151 0 0 ISHARES TR 3-7 YR TR BD ETF 464288661 1454 11548 SH DFND 1,2 11548 0 0 ISHARES TR SHRT TRS BD ETF 464288679 46678 422959 SH DFND 1,2 422959 0 0 ISHARES TR U.S. PFD STK ETF 464288687 176 4520 SH DFND 1,2 4520 0 0 ISHARES INDIA 50 ETF 464289529 6 226 SH DFND 1,2 226 0 0 ITC HLDGS CORP COM 465685105 1439 33034 SH DFND 1,2 33034 0 0 JARDEN CORP COM 471109108 9044 153417 SH DFND 1,2 153417 0 0 JOY GLOBAL INC COM 481165108 90 5580 SH DFND 1,2 5580 0 0 KLA-TENCOR CORP COM 482480100 2688 36919 SH DFND 1,2 36919 0 0 KELLOGG CO COM 487836108 767 10016 SH DFND 1,2 10016 0 0 KENNEDY-WILSON HLDGS INC COM 489398107 1845 84250 SH DFND 1,2 84250 0 0 LEXINGTON REALTY TRUST COM 529043101 1429 166152 SH DFND 1,2 166152 0 0 LINN ENERGY LLC UNIT LTD LIAB 536020100 3 8236 SH DFND 1,2 8236 0 0 LOUISIANA PAC CORP COM 546347105 1196 69845 SH DFND 1,2 69845 0 0 MACK CALI RLTY CORP COM 554489104 1716 73017 SH DFND 1,2 73017 0 0 MERCER INTL INC COM 588056101 299 31603 SH DFND 1,2 31603 0 0 MONDELEZ INTL INC CL A 609207105 1859 46334 SH DFND 1,2 46334 0 0 MONMOUTH REAL ESTATE INVT CO CL A 609720107 633 53200 SH DFND 1,2 53200 0 0 NATIONAL PENN BANCSHARES INC COM 637138108 632 59353 SH DFND 1,2 59353 0 0 NATIONAL STORAGE AFFILIATES COM SHS BEN IN 637870106 434 20459 SH DFND 1,2 20459 0 0 NEW SR INVT GROUP INC COM 648691103 747 72558 SH DFND 1,2 72558 0 0 NEW YORK MTG TR INC COM PAR $.02 649604501 465 98075 SH DFND 1,2 98075 0 0 NEWMONT MINING CORP COM 651639106 353 13297 SH DFND 1,2 13297 0 0 NEWPORT CORP COM 651824104 562 24431 SH DFND 1,2 24431 0 0 NORFOLK SOUTHERN CORP COM 655844108 2256 27102 SH DFND 1,2 27102 0 0 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 50 2114 SH DFND 1,2 2114 0 0 OASIS PETE INC NEW COM 674215108 47 6497 SH DFND 1,2 6497 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 327 4780 SH DFND 1,2 4780 0 0 OIL STS INTL INC COM 678026105 59 1870 SH DFND 1,2 1870 0 0 PENNSYLVANIA RL ESTATE INVT SH BEN INT 709102107 1318 60302 SH DFND 1,2 60302 0 0 PHILLIPS 66 COM 718546104 292 3371 SH DFND 1,2 3371 0 0 PIEDMONT NAT GAS INC COM 720186105 1517 25350 SH DFND 1,2 25350 0 0 PIONEER ENERGY SVCS CORP COM 723664108 5 2307 SH DFND 1,2 2307 0 0 PIONEER NAT RES CO COM 723787107 130 924 SH DFND 1,2 924 0 0 QUESTAR CORP COM 748356102 1165 46966 SH DFND 1,2 46966 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 256 81532 SH DFND 1,2 81532 0 0 RPC INC COM 749660106 32 2224 SH DFND 1,2 2224 0 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 1260 69885 SH DFND 1,2 69885 0 0 REDWOOD TR INC COM 758075402 893 68270 SH DFND 1,2 68270 0 0 RITE AID CORP COM 767754104 5012 614917 SH DFND 1,2 614917 0 0 ROUSE PPTYS INC COM 779287101 625 34007 SH DFND 1,2 34007 0 0 ROYAL GOLD INC COM 780287108 89 1738 SH DFND 1,2 1738 0 0 SANDERSON FARMS INC COM 800013104 681 7549 SH DFND 1,2 7549 0 0 SCHLUMBERGER LTD COM 806857108 580 7867 SH DFND 1,2 7867 0 0 SEABOARD CORP COM 811543107 159 53 SH DFND 1,2 53 0 0 SMUCKER J M CO COM NEW 832696405 437 3362 SH DFND 1,2 3362 0 0 SNYDERS-LANCE INC COM 833551104 0 1 SH DFND 1,2 1 0 0 SPECTRA ENERGY CORP COM 847560109 127 4163 SH DFND 1,2 4163 0 0 STONE ENERGY CORP COM 861642106 2 2023 SH DFND 1,2 2023 0 0 SUMMIT HOTEL PPTYS COM 866082100 906 75663 SH DFND 1,2 75663 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 74 5553 SH DFND 1,2 5553 0 0 TECO ENERGY INC COM 872375100 1001 36375 SH DFND 1,2 36375 0 0 TEREX CORP NEW COM 880779103 1570 63087 SH DFND 1,2 63087 0 0 TURQUOISE HILL RES LTD COM 900435108 289 113647 SH DFND 1,2 113647 0 0 TYSON FOODS INC CL A 902494103 1127 16911 SH DFND 1,2 16911 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 119258 1479073 SH DFND 1,2 1479073 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 94005 1135476 SH DFND 1,2 1135476 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 14407 401771 SH DFND 1,2 401771 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 87 2517 SH DFND 1,2 2517 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 690 14212 SH DFND 1,2 14212 0 0 VANGUARD INDEX FDS REIT ETF 922908553 1001 11943 SH DFND 1,2 11943 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 38734 325501 SH DFND 1,2 325501 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2519 23666 SH DFND 1,2 23666 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 34733 421565 SH DFND 1,2 421565 0 0 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 1781 60980 SH DFND 1,2 60980 0 0 WESTERN REFNG INC COM 959319104 72 2479 SH DFND 1,2 2479 0 0 WINTHROP RLTY TR SH BEN INT NEW 976391300 389 29639 SH DFND 1,2 29639 0 0 XENIA HOTELS & RESORTS INC COM 984017103 1535 98271 SH DFND 1,2 98271 0 0 THE ADT CORPORATION COM 00101J106 1783 43222 SH DFND 1,2 43222 0 0 ALERE INC COM 01449J105 782 15442 SH DFND 1,2 15442 0 0 ALON USA PARTNERS LP UT LTDPART INT 02052T109 5 415 SH DFND 1,2 415 0 0 ALTISOURCE RESIDENTIAL CORP CL B 02153W100 578 48133 SH DFND 1,2 48133 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 622 42351 SH DFND 1,2 42351 0 0 APOLLO COML REAL EST FIN INC COM 03762U105 851 52221 SH DFND 1,2 52221 0 0 APOLLO RESIDENTIAL MTG INC COM 03763V102 381 28418 SH DFND 1,2 28418 0 0 AQUA AMERICA INC COM 03836W103 673 21144 SH DFND 1,2 21144 0 0 ARES COML REAL ESTATE CORP COM 04013V108 256 23370 SH DFND 1,2 23370 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 236 21611 SH DFND 1,2 21611 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 454 25738 SH DFND 1,2 25738 0 0 BAXALTA INC COM 07177M103 5346 132321 SH DFND 1,2 132321 0 0 BOISE CASCADE CO DEL COM 09739D100 401 19369 SH DFND 1,2 19369 0 0 CVR ENERGY INC COM 12662P108 15 581 SH DFND 1,2 581 0 0 CVR REFNG LP COMUNIT REP LT 12663P107 20 1643 SH DFND 1,2 1643 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 2519 76340 SH DFND 1,2 76340 0 0 CALIFORNIA RES CORP COM 13057Q107 12 11433 SH DFND 1,2 11433 0 0 CAPSTEAD MTG CORP COM NO PAR 14067E506 841 85077 SH DFND 1,2 85077 0 0 CARETRUST REIT INC COM 14174T107 527 41520 SH DFND 1,2 41520 0 0 COBALT INTL ENERGY INC COM 19075F106 40 13412 SH DFND 1,2 13412 0 0 COLONY CAP INC CL A 19624R106 1650 98366 SH DFND 1,2 98366 0 0 CONOCOPHILLIPS COM 20825C104 308 7639 SH DFND 1,2 7639 0 0 CONSOL ENERGY INC COM 20854P109 149 13199 SH DFND 1,2 13199 0 0 CURRENCYSHS BRIT POUND STER BRIT POUND STE 23129S106 1604 11413 SH DFND 1,2 11413 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 42397 381348 SH DFND 1,2 381348 0 0 CYRUSONE INC COM 23283R100 2618 57357 SH DFND 1,2 57357 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 52 2376 SH DFND 1,2 2376 0 0 DYNEX CAP INC COM NEW 26817Q506 269 40430 SH DFND 1,2 40430 0 0 EOG RES INC COM 26875P101 247 3401 SH DFND 1,2 3401 0 0 EDUCATION RLTY TR INC COM NEW 28140H203 2358 56691 SH DFND 1,2 56691 0 0 EXXON MOBIL CORP COM 30231G102 2175 26017 SH DFND 1,2 26017 0 0 FELCOR LODGING TR INC COM 31430F101 950 116983 SH DFND 1,2 116983 0 0 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 2241 98535 SH DFND 1,2 98535 0 0 FIRST NIAGARA FINL GP INC COM 33582V108 723 74652 SH DFND 1,2 74652 0 0 FIRST POTOMAC RLTY TR COM 33610F109 462 50958 SH DFND 1,2 50958 0 0 FLOWSERVE CORP COM 34354P105 715 16109 SH DFND 1,2 16109 0 0 FOUR CORNERS PPTY TR INC COM 35086T109 969 53988 SH DFND 1,2 53988 0 0 FRANKLIN STREET PPTYS CORP COM 35471R106 905 85283 SH DFND 1,2 85283 0 0 FREEPORT-MCMORAN INC CL B 35671D857 50 4795 SH DFND 1,2 4795 0 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 1116 62528 SH DFND 1,2 62528 0 0 HATTERAS FINL CORP COM 41902R103 1201 83964 SH DFND 1,2 83964 0 0 HEARTLAND PMT SYS INC COM 42235N108 2337 24202 SH DFND 1,2 24202 0 0 ISTAR INC COM 45031U101 633 65577 SH DFND 1,2 65577 0 0 IDEX CORP COM 45167R104 775 9354 SH DFND 1,2 9354 0 0 INDEPENDENCE RLTY TR INC COM 45378A106 256 35981 SH DFND 1,2 35981 0 0 INFRAREIT INC COM 45685L100 482 28267 SH DFND 1,2 28267 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 1245 102227 SH DFND 1,2 102227 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 804 54756 SH DFND 1,2 54756 0 0 ISHARES TR MSCI INDIA ETF 46429B598 97 3572 SH DFND 1,2 3572 0 0 ISHARES TR CHINA ETF 46429B671 1735 40786 SH DFND 1,2 40786 0 0 ISHARES TR USA MIN VOL ETF 46429B697 101 2306 SH DFND 1,2 2306 0 0 ISHARES TR CORE MSCI EAFE 46432F842 53 1002 SH DFND 1,2 1002 0 0 ISHARES INC CORE MSCI EMKT 46434G103 19 460 SH DFND 1,2 460 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 155 5709 SH DFND 1,2 5709 0 0 KINDER MORGAN INC DEL COM 49456B101 238 13305 SH DFND 1,2 13305 0 0 KITE RLTY GROUP TR COM NEW 49803T300 2073 74816 SH DFND 1,2 74816 0 0 MARATHON PETE CORP COM 56585A102 126 3386 SH DFND 1,2 3386 0 0 MARKET VECTORS ETF TR JP MORGAN EM LC 57060U522 12457 670115 SH DFND 1,2 670115 0 0 MEDIA GEN INC NEW COM 58441K100 756 46352 SH DFND 1,2 46352 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 2724 209844 SH DFND 1,2 209844 0 0 MONOGRAM RESIDENTIAL TR INC COM 60979P105 1472 149326 SH DFND 1,2 149326 0 0 NEW YORK REIT INC COM 64976L109 1493 147823 SH DFND 1,2 147823 0 0 NEWCASTLE INVT CORP NEW COM PAR $0.01 65105M603 225 51972 SH DFND 1,2 51972 0 0 NOW INC COM 67011P100 68 3851 SH DFND 1,2 3851 0 0 ORCHID IS CAP INC COM 68571X103 189 18241 SH DFND 1,2 18241 0 0 PBF ENERGY INC CL A 69318G106 120 3614 SH DFND 1,2 3614 0 0 PARKWAY PPTYS INC COM 70159Q104 1185 75681 SH DFND 1,2 75681 0 0 PENNYMAC MTG INVT TR COM 70931T103 853 62518 SH DFND 1,2 62518 0 0 PHYSICIANS RLTY TR COM 71943U104 1806 97178 SH DFND 1,2 97178 0 0 PILGRIMS PRIDE CORP NEW COM 72147K108 298 11725 SH DFND 1,2 11725 0 0 POWERSHARES DB G10 CURCY HAR COM UT BEN INT 73935Y102 22153 947986 SH DFND 1,2 947986 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 176439 7772625 SH DFND 1,2 7772625 0 0 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 71 1772 SH DFND 1,2 1772 0 0 PROSHARES TR PSHS SH MSCI EMR 74347R396 571 21083 SH DFND 1,2 21083 0 0 PROSHARES TR II VIX MDTRM FUTR N 74347W338 143 2699 SH DFND 1,2 2699 0 0 PROSHARES TR II ULTRASHRT NEW 74347W395 291 3507 SH DFND 1,2 3507 0 0 PROSHARES TR II ULTRASHORT YEN N 74347W569 539 7046 SH DFND 1,2 7046 0 0 PROSHARES TR II ULTRASHRT EURO 74347W882 98 4245 SH DFND 1,2 4245 0 0 PROSHARES TR ULTSHT REAL EST 74348A244 462 11743 SH DFND 1,2 11743 0 0 QTS RLTY TR INC COM CL A 74736A103 1656 34951 SH DFND 1,2 34951 0 0 RESOURCE CAP CORP COM NEW 76120W708 308 27337 SH DFND 1,2 27337 0 0 RETAIL OPPORTUNITY INVTS COR COM 76131N101 1769 87911 SH DFND 1,2 87911 0 0 REXFORD INDL RLTY INC COM 76169C100 902 49671 SH DFND 1,2 49671 0 0 RYDEX ETF TRUST GUG S&P500 PU VA 78355W304 1275 25203 SH DFND 1,2 25203 0 0 RYDEX ETF TRUST GUG S&P500 PU GR 78355W403 214 2704 SH DFND 1,2 2704 0 0 SM ENERGY CO COM 78454L100 47 2486 SH DFND 1,2 2486 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3632 17667 SH DFND 1,2 17667 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 662 9479 SH DFND 1,2 9479 0 0 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 6608 169837 SH DFND 1,2 169837 0 0 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 590 20648 SH DFND 1,2 20648 0 0 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 40621 940283 SH DFND 1,2 940283 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 147 4333 SH DFND 1,2 4333 0 0 SPDR SERIES TRUST CITI INT GVT ETF 78464A490 298 5475 SH DFND 1,2 5475 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 118 1240 SH DFND 1,2 1240 0 0 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 3837 65530 SH DFND 1,2 65530 0 0 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 25246 552555 SH DFND 1,2 552555 0 0 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 38498 828262 SH DFND 1,2 828262 0 0 SABRA HEALTH CARE REIT INC COM 78573L106 1152 57318 SH DFND 1,2 57318 0 0 SANCHEZ ENERGY CORP COM 79970Y105 11 1933 SH DFND 1,2 1933 0 0 SANDISK CORP COM 80004C101 5546 72894 SH DFND 1,2 72894 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 64 1438 SH DFND 1,2 1438 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 65 819 SH DFND 1,2 819 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1207 53612 SH DFND 1,2 53612 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 131 2952 SH DFND 1,2 2952 0 0 SEMGROUP CORP CL A 81663A105 36 1611 SH DFND 1,2 1611 0 0 SILVER BAY RLTY TR CORP COM 82735Q102 438 29509 SH DFND 1,2 29509 0 0 SOUTHERN COPPER CORP COM 84265V105 103 3722 SH DFND 1,2 3722 0 0 STAG INDL INC COM 85254J102 1247 61269 SH DFND 1,2 61269 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 4757 57015 SH DFND 1,2 57015 0 0 SYNERGY RES CORP COM 87164P103 31 4041 SH DFND 1,2 4041 0 0 TESCO CORP COM 88157K101 12 1347 SH DFND 1,2 1347 0 0 TESORO LOGISTICS LP COM UNIT LP 88160T107 103 2263 SH DFND 1,2 2263 0 0 TIER REIT INC COM NEW 88650V208 572 42576 SH DFND 1,2 42576 0 0 TIME WARNER CABLE INC COM 88732J207 10025 48994 SH DFND 1,2 48994 0 0 TITAN INTL INC ILL COM 88830M102 77 14351 SH DFND 1,2 14351 0 0 VALERO ENERGY CORP NEW COM 91913Y100 205 3194 SH DFND 1,2 3194 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 11 92 SH DFND 1,2 92 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 2 41 SH DFND 1,2 41 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 86 788 SH DFND 1,2 788 0 0 VANGUARD WORLD FDS MATERIALS ETF 92204A801 30 308 SH DFND 1,2 308 0 0 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 3 38 SH DFND 1,2 38 0 0 WP GLIMCHER IN COM 92939N102 1576 166074 SH DFND 1,2 166074 0 0 WESTERN ASSET MTG CAP CORP COM 95790D105 367 36480 SH DFND 1,2 36480 0 0 WISDOMTREE TR EMERG CUR STR FD 97717W133 1787 100711 SH DFND 1,2 100711 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 976 16543 SH DFND 1,2 16543 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 3994 108492 SH DFND 1,2 108492 0 0 XYLEM INC COM 98419M100 392 9595 SH DFND 1,2 9595 0 0