-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T60jnCNh3e1asL/Mn9JUMJODRGc6VLg0yiLpMO4Tw/jvRfk+mcpBJhVFmtQMDDvH 31TAQN6w5kocszfjdHx6ng== 0001047469-09-005696.txt : 20090515 0001047469-09-005696.hdr.sgml : 20090515 20090515110127 ACCESSION NUMBER: 0001047469-09-005696 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MACQUARIE GROUP LTD CENTRAL INDEX KEY: 0001418333 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13120 FILM NUMBER: 09830026 BUSINESS ADDRESS: STREET 1: LEVEL 3, 25 NATIONAL CIRCUIT CITY: FORREST ACT 2603 STATE: C3 ZIP: 00000 MAIL ADDRESS: STREET 1: LEVEL 3, 25 NATIONAL CIRCUIT CITY: FORREST ACT 2603 STATE: C3 ZIP: 00000 13F-HR 1 a2192477z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment [ ]; Amendment Number:___ This Amendment(Check only one): [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Macquarie Group Limited Address: 1 Martin Place Sydney, NSW 2000 Australia Form 13F File Number: 028-13120 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Kevin O'Neill Title: Executive Director, Risk Management Group Phone: 61 2 8232 7386 Signature, Place, and Date of Signing /s/ Kevin O'Neill Sydney, Australia May 15, 2009 - -------------------- ----------------- ------------ [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 ------- Form 13F Information Table Entry Total: 337 ------ Form 13F Information Table Value Total: $667,046 ------------ (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NO. 13F FILE # NAME - ----- ----------- ---------------------------------------------------------- 01 28-13122 Macquarie Bank Limited 02 28-13124 Macquarie Investment Management Limited 03 28-13126 Macquarie Capital Investment Management (Australia) Ltd. 04 28-11525 Macquarie Capital Investment Management LLC
AMOUNT AND TYPE OF SECURITY VOTING AUTHORITY MARKET ----------------- (SOLE, SHARED, OR NONE) TITLE OF CUSIP VALUE TYPE OF INVESTMENT OTHER ------------------------------- NAME OF ISSUER CLASS NUMBER (X$1000) AMOUNT SECURITY DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ 3M Co COM 88579Y101 $ 315 6,336 SHS Defined 1 6,336 3M Co COM 88579Y101 $ 195 4,000 SHS Defined 2 4,000 Abbott Laboratories COM 002824100 $ 560 11,700 SHS Defined 2 11,700 Acadia Realty Trust COM 004239109 $ 124 12,182 SHS Defined 2 12,182 AES Corp/The COM 00130H105 $ 72 12,393 SHS Defined 1 12,393 AES Corp/The COM 00130H105 $ 27 4,700 SHS Defined 2 4,700 Air Products & Chemicals Inc COM 009158106 $ 82 1,458 SHS Defined 1 1,458 Air Products & Chemicals Inc COM 009158106 $ 144 2,600 SHS Defined 2 2,600 AirMedia Group Inc COM 009411109 $ 2,763 664,290 SHS Sole 664,290 Alexandria Real Estate Equities Inc COM 015271109 $ 1,654 48,611 SHS Defined 2 48,611 Altria Group Inc COM 02209S103 $ 303 18,500 SHS Defined 2 18,500 Aluminum Corp of China Ltd COM 022276109 $ 5,751 393,377 SHS Defined 1 393,377 AMB Property Corp COM 00163T109 $ 673 50,901 SHS Defined 2 50,901 America Movil SAB de CV COM 02364W105 $ 972 35,897 SHS Defined 1 35,897 America Movil SAB de CV COM 02364W105 $ 528 19,870 SHS Defined 2 19,870 America Movil SAB de CV COM 02364W105 $ 1,640 61,750 SHS Defined 3 61,750 American Campus Communities COM 024835100 $ 919 57,085 SHS Defined 2 57,085 American Capital Ltd COM 02503Y103 $ 32 17,546 SHS Defined 2 17,546 American International Group Inc COM 026874107 $ 177 176,666 SHS Defined 1 176,666 American International Group Inc COM 026874107 $ 17 17,900 SHS Defined 2 17,900 Amerigas Partners LP COM 030975106 $ 1,307 46,813 SHS Defined 4 46,813 Amgen Inc COM 031162100 $ 401 7,934 SHS Defined 2 7,934 APOLLO GOLD CORP COM 03761E102 $ 1,286 4,000,000 SHS Sole 4,000,000 Apollo Investment Corp COM 03761U106 $ 52 16,083 SHS Defined 2 16,083 Apple Inc COM 037833100 $ 1,954 18,588 SHS Defined 1 18,588 Apple Inc COM 037833100 $ 700 6,700 SHS Defined 2 6,700 Aqua America Inc COM 03836W103 $ 206 10,311 SHS Defined 1 10,311 Arch Coal Inc COM 039380100 $ 323 24,177 SHS Defined 1 24,177 Arch Coal Inc COM 039380100 $ 48 3,600 SHS Defined 2 3,600 Archer-Daniels- Midland Co COM 039483102 $ 167 6,010 SHS Defined 1 6,010 Archer-Daniels- Midland Co COM 039483102 $ 474 17,300 SHS Defined 2 17,300 AT&T Inc COM 00206R102 $ 1,100 43,721 SHS Defined 2 43,721 AvalonBay Communities Inc COM 053484101 $ 656 14,974 SHS Defined 2 14,974 Banco Bradesco SA COM 059460303 $ 2,435 245,949 SHS Defined 1 245,949 Banco Santander Chile COM 05965X109 $ 259 7,528 SHS Defined 1 7,528 Bank of America Corp COM 060505104 $ 288 47,737 SHS Defined 2 47,737 Bank of New York Mellon Corp/The COM 064058100 $ 220 8,483 SHS Defined 2 8,483 Baxter International Inc COM 071813109 $ 263 5,200 SHS Defined 2 5,200 Berkshire Hathaway Inc COM 084670207 $ 225 80 SHS Defined 2 80 BHP Billiton Ltd COM 088606108 $ 6,039 135,397 SHS Defined 1 135,397 BioMed Realty Trust Inc COM 09063H107 $ 1,529 243,125 SHS Defined 2 243,125 Blackstone Group LP COM 09253U108 $ 1,225 168,978 SHS Defined 1 168,978 Blackstone Group LP/The COM 09253U108 $ 131 19,160 SHS Defined 2 19,160 Blue Coat Systems Inc COM 09534T508 $ 969 80,683 SHS Defined 1 80,683 Boston Properties Inc COM 101121101 $ 1,664 52,134 SHS Defined 2 52,134 BRE Properties Inc COM 05564E106 $ 334 18,348 SHS Defined 2 18,348 Bristol-Myers Squibb Co COM 110122108 $ 298 14,200 SHS Defined 2 14,200 Bunge Ltd COM G16962105 $ 151 2,664 SHS Defined 1 2,664 Bunge Ltd COM G16962105 $ 248 4,500 SHS Defined 2 4,500 Burlington Northern Santa Fe Corp COM 12189T104 $ 232 3,853 SHS Defined 1 3,853 Burlington Northern Santa Fe Corp COM 12189T104 $ 207 3,400 SHS Defined 2 3,400 Cemex SAB de CV COM 151290889 $ 472 75,487 SHS Defined 1 75,487 Centerpoint Energy Inc COM 15189T107 $ 95 9,400 SHS Defined 2 9,400 CENTERPOINT ENERGY INC COM COM 15189T107 $ 22 2,100 SHS Sole 2,100 Chesapeake Energy Corp COM 165167107 $ 73 4,259 SHS Defined 1 4,259 Chesapeake Energy Corp COM 165167107 $ 157 9,000 SHS Defined 2 9,000 Chevron Corp COM 166764100 $ 1,157 17,321 SHS Defined 2 17,321 China Digital TV Holding Co Ltd COM 16938G107 $ 990 142,000 SHS Sole 142,000 China Life Insurance Co Ltd COM 16939P106 $ 12,146 246,660 SHS Defined 1 246,660 China Mobile Ltd COM 16941M109 $ 31,490 723,573 SHS Defined 1 723,573 China Nepstar Chain Drugstore Ltd COM 16943C109 $ 2,976 731,250 SHS Sole 731,250 China Telecom Corp Ltd COM 169426103 $ 3,270 78,933 SHS Defined 1 78,933 China Unicom Hong Kong Ltd COM 16945R104 $ 8,610 827,113 SHS Defined 1 827,113 CHINA YUCHAI INTL LTD COM COM G21082105 $ 57 12,100 SHS Sole 12,100 Cia Energetica de Minas Gerais COM 204409601 $ 155 10,491 SHS Defined 1 10,491 Cia Energetica de Minas Gerais COM 204409601 $ 406 27,750 SHS Defined 2 27,750 Cia Siderurgica Nacional SA COM 20440W105 $ 1,532 103,258 SHS Defined 1 103,258 Cia Vale do Rio Doce COM 204412209 $ 935 70,317 SHS Defined 1 70,317 Cia Vale do Rio Doce COM 204412209 $ 1,566 120,000 SHS Defined 2 120,000 Cia Vale do Rio Doce-ADR Call 204412209 $ 2,141 1,610 Call Defined 1 1,610 Cisco Systems Inc COM 17275R102 $ 1,119 66,709 SHS Defined 1 66,709 Cisco Systems Inc COM 17275R102 $ 718 44,030 SHS Defined 2 44,030 Citigroup Inc COM 172967101 $ 3,105 1,227,184 SHS Defined 1 1,227,184 Citigroup Inc COM 172967101 $ 100 43,406 SHS Defined 2 43,406 CNINSURE INC SPONSORED ADR ADR 18976M103 $ 1,966 263,340 SHS Sole 263,340 CNOOC Ltd COM 126132109 $ 790 7,857 SHS Defined 1 7,857 Coca-Cola Co/The COM 191216100 $ 354 8,045 SHS Defined 1 8,045 Coca-Cola Co/The COM 191216100 $ 632 14,400 SHS Defined 2 14,400 COEUR D ALENE MINES CORP IDA COM 192108108 $ 1,907 2,052,842 SHS Sole 2,052,842 Coeur d'Alene Mines Corp COM 192108108 $ 14 15,000 SHS Defined 1 15,000 Colgate-Palmolive Co COM 194162103 $ 212 3,600 SHS Defined 2 3,600 Comcast Corp COM 20030N101 $ 164 12,050 SHS Defined 2 12,050 ConocoPhillips COM 20825C104 $ 1,036 26,458 SHS Defined 1 26,458 ConocoPhillips COM 20825C104 $ 562 14,400 SHS Defined 2 14,400 Consolidated Edison Inc COM 209115104 $ 67 1,700 SHS Defined 1 1,700 Consolidated Edison Inc COM 209115104 $ 116 3,000 SHS Defined 2 3,000 CONSOLIDATED EDISON INC COM COM 209115104 $ 36 900 SHS Sole 900 Continental Resources Inc/OK COM 212015101 $ 302 14,400 SHS Sole 14,400 Corning Inc COM 219350105 $ 151 11,700 SHS Defined 2 11,700 Corporate Office Properties Trust SBI MD COM 22002T108 $ 357 15,300 SHS Defined 2 15,300 CVS Caremark Corp COM 126650100 $ 350 12,809 SHS Defined 2 12,809 DCT Industrial Trust Inc COM 233153105 $ 78 27,872 SHS Defined 2 27,872 Deere & Co COM 244199105 $ 62 1,883 SHS Defined 1 1,883 Deere & Co COM 244199105 $ 149 4,600 SHS Defined 2 4,600 Dell Inc COM 24702R101 $ 140 14,804 SHS Defined 1 14,804 Dell Inc COM 24702R101 $ 124 13,100 SHS Defined 2 13,100 Digital Realty Trust Inc COM 253868103 $ 2,593 81,683 SHS Defined 2 81,683 DOMINION RES INC VA NEW COM COM 25746U109 $ 15 500 SHS Sole 500 Dominion Resources Inc/VA COM 25746U109 $ 385 12,415 SHS Defined 1 12,415 Dominion Resources Inc/VA COM 25746U109 $ 211 6,900 SHS Defined 2 6,900 Dr Reddys Laboratories Ltd COM 256135203 $ 380 40,163 SHS Defined 1 40,163 Duke Energy Corp COM 26441C105 $ 406 28,371 SHS Defined 1 28,371 Duke Energy Corp COM 26441C105 $ 123 8,728 SHS Defined 2 8,728 DUKE ENERGY CORP NEW COM COM 26441C105 $ 39 2,700 SHS Sole 2,700 EastGroup Properties Inc COM 277276101 $ 403 15,251 SHS Defined 2 15,251 Eaton Corp COM 278058102 $ 263 7,123 SHS Defined 1 7,123 Eaton Corp COM 278058102 $ 33 900 SHS Defined 2 900 EI Du Pont de Nemours & Co COM 263534109 $ 37 1,678 SHS Defined 1 1,678 EI Du Pont de Nemours & Co COM 263534109 $ 189 8,600 SHS Defined 2 8,600 El Paso Corp COM 28336L109 $ 82 13,069 SHS Defined 1 13,069 El Paso Corp COM 28336L109 $ 47 7,500 SHS Defined 2 7,500 Eli Lilly & Co COM 532457108 $ 253 7,700 SHS Defined 2 7,700 EMC Corp/ Massachusetts COM 268648102 $ 165 14,700 SHS Defined 2 14,700 Enbridge Energy Partners LP COM 29250R106 $ 10,800 361,263 SHS Defined 3 361,263 Enbridge Energy Partners LP COM 29250R106 $ 6,663 222,849 SHS Defined 4 222,849 Energen Corp COM 29265N108 $ 207 7,123 SHS Defined 1 7,123 Energen Corp COM 29265N108 $ 40 1,400 SHS Defined 2 1,400 Energy Transfer Partners LP COM 29273R109 $ 32,322 899,636 SHS Defined 3 899,636 Energy Transfer Partners LP COM 29273R109 $ 13,254 368,883 SHS Defined 4 368,883 Enersis SA COM 29274F104 $ 270 17,878 SHS Defined 1 17,878 Entergy Corp COM 29364G103 $ 214 3,200 SHS Defined 2 3,200 Enterprise Products Partners LP COM 293792107 $ 34,293 1,546,839 SHS Defined 3 1,546,839 Enterprise Products Partners LP COM 293792107 $ 13,791 622,059 SHS Defined 4 622,059 Equity Residential COM 29476L107 $ 1,484 87,141 SHS Defined 2 87,141 Essex Property Trust Inc COM 297178105 $ 1,303 23,752 SHS Defined 2 23,752 Exelon Corp COM 30161N101 $ 609 13,427 SHS Defined 1 13,427 Exelon Corp COM 30161N101 $ 259 5,800 SHS Defined 2 5,800 Exelon Corp COM 30161N101 $ 23,121 516,890 SHS Defined 3 516,890 Exelon Corp COM 30161N101 $ 11,192 250,220 SHS Defined 4 250,220 Exxon Mobil Corp COM 30231G102 $ 2,992 43,600 SHS Defined 2 43,600 Federal Home Loan Mortgage Corp COM 313400301 $ 639 840,678 SHS Defined 1 840,678 Federal Realty Invs Trust COM 313747206 $ 2,021 47,497 SHS Defined 2 47,497 FirstEnergy Corp COM 337932107 $ 77 1,991 SHS Defined 1 1,991 FirstEnergy Corp COM 337932107 $ 167 4,300 SHS Defined 2 4,300 FPL Group Inc COM 302571104 $ 260 5,125 SHS Defined 1 5,125 FPL Group Inc COM 302571104 $ 317 6,400 SHS Defined 2 6,400 Freeport-McMoRan Copper & Gold Inc COM 35671D857 $ 206 5,338 SHS Defined 2 5,338 General Electric Co COM 369604103 $ 206 20,414 SHS Defined 1 20,414 General Electric Co COM 369604103 $ 772 77,700 SHS Defined 2 77,700 GENPACT LTD COM G3922B107 $ 94 11,100 SHS Sole 11,100 Gerdau SA COM 373737105 $ 1,645 300,798 SHS Defined 1 300,798 Giant Interactive Group Inc COM 374511103 $ 1,223 179,100 SHS Sole 179,100 Gilead Sciences Inc COM 375558103 $ 306 6,700 SHS Defined 2 6,700 Gol Linhas Aereas Inteligentes SA COM 38045R107 $ 369 130,314 SHS Defined 1 130,314 Goldman Sachs Group Inc/The COM 38141G104 $ 311 3,100 SHS Defined 2 3,100 Google Inc COM 38259P508 $ 61 174 SHS Defined 1 174 Google Inc COM 38259P508 $ 617 1,800 SHS Defined 2 1,800 Harris & Harris Group Inc COM 413833104 $ 104 30,490 SHS Defined 2 30,490 HDFC Bank Ltd COM 40415F101 $ 22,598 370,892 SHS Defined 1 370,892 Health Care Property Investors Inc COM 40414L109 $ 1,933 117,458 SHS Defined 2 117,458 Health Care REIT Inc COM 42217K106 $ 488 17,343 SHS Defined 2 17,343 Healthcare Realty Trust Inc COM 421946104 $ 1,099 77,595 SHS Defined 2 77,595 Hewlett-Packard Co COM 428236103 $ 591 18,400 SHS Defined 2 18,400 Highwoods Properties Inc COM 431284108 $ 1,207 62,419 SHS Defined 2 62,419 Home Depot Inc COM 437076102 $ 248 10,600 SHS Defined 2 10,600 Home Properties Inc COM 437306103 $ 658 22,878 SHS Defined 2 22,878 HRPT Properties Trust COM 40426W101 $ 90 30,456 SHS Defined 2 30,456 HSBC Holdings PLC COM 404280406 $ 12,153 430,642 SHS Defined 1 430,642 Huaneng Power International Inc COM 443304100 $ 2,073 77,221 SHS Defined 1 77,221 ICICI Bank Ltd COM 45104G104 $ 1,678 126,236 SHS Defined 1 126,236 IMA EXPLORATION INC COM 449664101 $ 27 128,000 SHS Sole 128,000 Industrial Select Sector SPDR Fund COM 81369Y704 $ 3,264 177,100 SHS Defined 1 177,100 Infosys Technologies Ltd COM 456788108 $ 12,310 462,278 SHS Defined 1 462,278 Inland Real Estate Corp COM 457461200 $ 160 24,076 SHS Defined 2 24,076 Intel Corp COM 458140100 $ 395 26,213 SHS Defined 1 26,213 Intel Corp COM 458140100 $ 615 41,800 SHS Defined 2 41,800 INTERACTIVE BROKERS GRO-CL A COM 45841N107 $ 504 31,700 SHS Sole 31,700 International Business Machines Corp COM 459200101 $ 587 6,055 SHS Defined 1 6,055 International Business Machines Corp COM 459200101 $ 955 10,100 SHS Defined 2 10,100 INTREPID POTASH INC COM 46121Y102 $ 342 19,200 SHS Sole 19,200 IPATH MSCI INDIA INDEX ETN COM 06739F291 $ 3,783 130,000 SHS Defined 2 130,000 iShares FTSE/Xinhua China 25 Index Fund COM 464287184 $ 8,337 300,000 SHS Defined 2 300,000 iShares MSCI Australia Index Fund COM 464286103 $ 1,787 133,440 SHS Defined 1 133,440 iShares MSCI Brazil Index Fund COM 464286400 $ 3,042 80,700 SHS Defined 1 80,700 iShares MSCI Brazil Index Fund COM 464286400 $ 3,722 100,000 SHS Defined 2 100,000 iShares MSCI Emerging Markets Index Fund COM 464287234 $ 3,399 140,000 SHS Defined 2 140,000 iShares MSCI Hong Kong Index Fund COM 464286871 $ 8,331 819,138 SHS Defined 1 819,138 iShares MSCI Hong Kong Index Fund COM 464286871 $ 2,530 250,000 SHS Defined 2 250,000 iShares MSCI Mexico Index Fund COM 464286822 $ 2,671 100,000 SHS Defined 2 100,000 iShares MSCI Mexico Investable Mark et Index Fund COM 464286822 $ 605 22,136 SHS Defined 1 22,136 iShares MSCI South Korea Index Fund COM 464286772 $ 5,623 205,000 SHS Defined 2 205,000 iShares MSCI Taiwan Index Fund COM 464286731 $ 4,480 565,000 SHS Defined 2 565,000 iShares Russell 2000 Index Fund COM 464287655 $ 293 6,965 SHS Defined 1 6,965 ITC Holdings Corp COM 465685105 $ 4,933 115,211 SHS Defined 3 115,211 ITC Holdings Corp COM 465685105 $ 2,247 52,483 SHS Defined 4 52,483 Johnson & Johnson COM 478160104 $ 219 4,173 SHS Defined 1 4,173 Johnson & Johnson COM 478160104 $ 1,107 20,884 SHS Defined 2 20,884 JPMorgan Chase & Co COM 46625H100 $ 1,597 60,090 SHS Defined 1 60,090 JPMorgan Chase & Co COM 46625H100 $ 703 28,300 SHS Defined 2 28,300 KBR Inc COM 48242W106 $ 137 10,000 SHS Defined 2 10,000 Kinder Morgan Energy Partners LP COM 494550106 $ 28,700 620,452 SHS Defined 3 620,452 Kinder Morgan Energy Partners LP COM 494550106 $ 13,148 284,230 SHS Defined 4 284,230 Kraft Foods Inc COM 50075N104 $ 221 10,118 SHS Defined 2 10,118 Lan Airlines SA COM 501723100 $ 390 46,595 SHS Defined 1 46,595 Liberty Property Trust COM 531172104 $ 509 28,914 SHS Defined 2 28,914 Longtop Financial Techno ADR COM 54318P108 $ 5,024 242,959 SHS Sole 242,959 LUKOIL COM 677862104 $ 1,124 30,000 SHS Defined 2 30,000 Mack-Cali Realty Corp COM 554489104 $ 858 46,679 SHS Defined 2 46,679 Macquarie Infrastructure Company LLC MEMBERSHIP INT 55608B105 $ 4,405 3,192,247 SHS Sole 3,192,247 Magellan Midstream Partners LP COM 559080106 $ 25,727 893,213 SHS Defined 3 893,213 Magellan Midstream Partners LP COM 559080106 $ 13,347 463,429 SHS Defined 4 463,429 Marathon Oil Corp COM 565849106 $ 253 9,919 SHS Defined 2 9,919 Market Vectors - Agribusiness ETF COM 57060U605 $ 897 31,695 SHS Defined 1 31,695 Market Vectors - Russia ETF COM 57060U506 $ 167 11,856 SHS Defined 1 11,856 McDonald's Corp COM 580135101 $ 652 12,100 SHS Defined 2 12,100 Medical Properties Trust Inc COM 58463J304 $ 35 10,131 SHS Defined 2 10,131 Medtronic Inc COM 585055106 $ 279 9,600 SHS Defined 2 9,600 Merck & Co Inc COM 589331107 $ 425 16,000 SHS Defined 2 16,000 Merck & Co Inc/NJ COM 589331107 $ 119 4,447 SHS Defined 1 4,447 Microsoft Corp COM 594918104 $ 1,056 60,400 SHS Defined 2 60,400 Mindray Medical International Ltd COM 602675100 $ 5,034 271,800 SHS Sole 271,800 Mobile Telesystems OJSC COM 607409109 $ 929 31,045 SHS Defined 1 31,045 Mobile Telesystems OJSC COM 607409109 $ 741 25,000 SHS Defined 2 25,000 Monsanto Co COM 61166W101 $ 521 6,300 SHS Defined 2 6,300 Morgan Stanley COM 617446448 $ 693 30,441 SHS Defined 1 30,441 Morgan Stanley COM 617446448 $ 157 7,100 SHS Defined 2 7,100 Mosaic Co/The COM 61945A107 $ 368 8,762 SHS Defined 1 8,762 Mosaic Co/The COM 61945A107 $ 256 6,000 SHS Defined 2 6,000 Motorola Inc COM 620076109 $ 495 117,118 SHS Defined 1 117,118 Motorola Inc COM 620076109 $ 68 16,300 SHS Defined 2 16,300 National Oilwell Varco Inc COM 637071101 $ 227 7,664 SHS Defined 2 7,664 National Retail Properties Inc COM 637417106 $ 167 11,349 SHS Defined 2 11,349 Nationwide Health Properties Inc COM 638620104 $ 1,334 66,345 SHS Defined 2 66,345 Newmont Mining Corp COM 651639106 $ 288 6,442 SHS Defined 1 6,442 Newmont Mining Corp COM 651639106 $ 104 2,300 SHS Defined 2 2,300 News Corp COM 65248E104 $ 470 70,958 SHS Defined 1 70,958 News Corp COM 65248E203 $ 1,600 207,732 SHS Defined 1 207,732 News Corp COM 65248E104 $ 117 18,100 SHS Defined 2 18,100 News Corp COM 65248E203 $ 24 3,200 SHS Defined 2 3,200 NOAH ED HLDGS LTD ADR ADR 65487R303 $ 61 20,200 SHS Sole 20,200 NORTHEAST UTILITIES COM 664397106 $ 26 1,200 SHS Defined 2 1,200 NORTHEAST UTILITIES COM 664397106 $ 22,305 1,036,692 SHS Defined 3 1,036,692 NORTHEAST UTILITIES COM 664397106 $ 11,734 545,248 SHS Defined 4 545,248 Northwest Natural Gas Co COM 667655104 $ 314 7,230 SHS Defined 1 7,230 NYSE Euronext COM 629491101 $ 435 24,286 SHS Defined 1 24,286 NYSE Euronext COM 629491101 $ 22 1,293 SHS Defined 2 1,293 OCC iShares FTSE/Xinhua Call 464287184 $ 342 120 Call Defined 1 120 OCC PowerShares QQQ Trst Call 73935X278 $ 1,054 650 Call Defined 1 650 Occidental Petroleum Corp COM 674599105 $ 292 5,200 SHS Defined 2 5,200 OCH-ZIFF CAPITAL MANAGEMEN-A COM 67551U105 $ 284 47,300 SHS Sole 47,300 Oil Services Holders Trust COM 678002106 $ 263 3,543 SHS Defined 1 3,543 Omega Healthcare Investors Inc COM 681936100 $ 173 13,253 SHS Defined 2 13,253 Oracle Corp COM 68389X105 $ 573 32,431 SHS Defined 2 32,431 PACIFIC RIM MINING CORP COM NEW 694915208 $ 333 2,000,000 SHS Sole 2,000,000 PARAMOUNT GOLD AND SILVER CORP COM 69924P102 $ 258 343,400 SHS Sole 343,400 PepsiCo Inc COM 713448108 $ 554 10,700 SHS Defined 2 10,700 PetroChina Co Ltd COM 71646E100 $ 19,938 250,166 SHS Defined 1 250,166 Petroleo Brasileiro SA COM 71654V408 $ 5,387 176,796 SHS Defined 1 176,796 Petroleo Brasileiro SA COM 71654V408 $ 2,874 93,200 SHS Defined 2 93,200 Petroleo Brasileiro SA ADR Call 71654V408 $ 305 100 Call Defined 1 100 Pfizer Inc COM 717081103 $ 346 25,426 SHS Defined 1 25,426 Pfizer Inc COM 717081103 $ 695 50,730 SHS Defined 2 50,730 PG&E Corp COM 69331C108 $ 116 3,036 SHS Defined 1 3,036 PG&E Corp COM 69331C108 $ 240 6,300 SHS Defined 2 6,300 PG&E CORP COM COM 69331C108 $ 34 900 SHS Sole 900 Philip Morris International Inc COM 718172109 $ 536 14,600 SHS Defined 2 14,600 Plains All American Pipeline LP COM 726503105 $ 5,191 141,448 SHS Defined 3 141,448 Powershares WilderHill Clean Energy Portfolio COM 73935X500 $ 83 10,933 SHS Defined 1 10,933 Procter & Gamble Co COM 742718109 $ 1,019 21,557 SHS Defined 2 21,557 Procter & Gamble Co/The COM 742718109 $ 144 3,063 SHS Defined 1 3,063 Progress Energy Inc COM 743263105 $ 269 7,412 SHS Defined 1 7,412 Progress Energy Inc COM 743263105 $ 144 4,000 SHS Defined 2 4,000 PROGRESS ENERGY INC COM COM 743263105 $ 29 800 SHS Sole 800 Prologis COM 743410102 $ 720 136,785 SHS Defined 2 136,785 Public Service Enterprise Group Inc COM 744573106 $ 371 12,574 SHS Defined 1 12,574 Public Service Enterprise Group Inc COM 744573106 $ 108 3,800 SHS Defined 2 3,800 Public Storage Inc COM 74460D109 $ 3,117 60,235 SHS Defined 2 60,235 Qualcomm Inc COM 747525103 $ 454 12,000 SHS Defined 2 12,000 Realty Income Corp COM 756109104 $ 174 10,088 SHS Defined 2 10,088 Regency Centers Corp COM 758849103 $ 800 32,554 SHS Defined 2 32,554 Research In Motion Ltd COM 760975102 $ 1,266 29,388 SHS Defined 1 29,388 Rio Tinto PLC COM 767204100 $ 3,769 28,112 SHS Defined 1 28,112 Safeguard Scientifics Inc COM 786449108 $ 98 171,670 SHS Defined 2 171,670 Schering-Plough Corp COM 806605101 $ 283 12,000 SHS Defined 2 12,000 Schlumberger Ltd COM 806857108 $ 329 8,000 SHS Defined 2 8,000 Semiconductor Manufacturing International Corp COM 81663N206 $ 371 193,044 SHS Defined 1 193,044 Sempra Energy COM 816851109 $ 107 2,317 SHS Defined 1 2,317 Sempra Energy COM 816851109 $ 198 4,400 SHS Defined 2 4,400 Senior Housing Properties Trust COM 81721M109 $ 206 15,797 SHS Defined 2 15,797 Simon Property Group Inc COM 828806109 $ 2,194 71,099 SHS Defined 2 71,099 Sims Metal Management Ltd COM 829160100 $ 1,353 113,488 SHS Defined 1 113,488 SiRF Technology Holdings Inc COM 82967H101 $ 57 24,598 SHS Defined 1 24,598 Solarfun Power Holdings Co Ltd COM 83415U108 $ 84 20,725 SHS Sole 20,725 Southern Co COM 842587107 $ 270 8,900 SHS Defined 2 8,900 SOUTHERN CO COM COM 842587107 $ 31 1,000 SHS Sole 1,000 Southern Co/The COM 842587107 $ 697 22,760 SHS Defined 1 22,760 Spectra Energy Corp COM 847560109 $ 204 14,412 SHS Defined 1 14,412 Spectra Energy Corp COM 847560109 $ 70 4,964 SHS Defined 2 4,964 SPECTRA ENERGY CORP COM COM 847560109 $ 1 100 SHS Sole 100 Spreadtrum Communications Inc COM 849415203 $ 116 64,200 SHS Sole 64,200 Starbucks Corp COM 855244109 $ 279 25,107 SHS Defined 1 25,107 Starbucks Corp COM 855244109 $ 51 4,500 SHS Defined 2 4,500 SunPower Corp COM 867652109 $ 254 10,689 SHS Defined 1 10,689 SUNPOWER CORP- CLASS A COM 867652109 $ 19 800 SHS Defined 2 800 Syntax-Brillian Corp COM 87163L103 $ 1 137,353 SHS Defined 1 137,353 Tam SA COM 87484D103 $ 608 110,523 SHS Defined 1 110,523 Tanger Factory Outlet Center COM 875465106 $ 488 17,734 SHS Defined 2 17,734 Tata Motors Ltd COM 876568502 $ 477 96,660 SHS Defined 1 96,660 Telecom Corp of New Zealand Ltd COM 879278208 $ 2,383 366,028 SHS Defined 1 366,028 Telefonos de Mexico SAB de CV COM 879403780 $ 161 10,724 SHS Defined 1 10,724 Telmex Internacional SAB de CV COM 879690105 $ 134 14,601 SHS Defined 1 14,601 Texas Instruments Inc COM 882508104 $ 130 7,844 SHS Defined 1 7,844 Texas Instruments Inc COM 882508104 $ 161 9,800 SHS Defined 2 9,800 Transocean Ltd COM 004826551 $ 246 4,092 SHS Defined 2 4,092 UBS AG COM H89231338 $ 1,218 129,194 SHS Defined 1 129,194 UDR Inc COM 902653104 $ 158 20,649 SHS Defined 2 20,649 Union Pacific Corp COM 907818108 $ 250 6,100 SHS Defined 2 6,100 United Technologies Corp COM 913017109 $ 298 7,000 SHS Defined 2 7,000 US Bancorp COM 902973304 $ 198 14,400 SHS Defined 2 14,400 Valueclick Inc COM 92046N102 $ 325 38,150 SHS Defined 1 38,150 Ventas Inc COM 92276F100 $ 445 20,775 SHS Defined 2 20,775 Verizon Communications Inc COM 92343V104 $ 692 22,900 SHS Defined 2 22,900 Vimpel- Communications COM 68370R109 $ 238 36,423 SHS Defined 1 36,423 Vimpel- Communications COM 68370R109 $ 899 139,171 SHS Defined 2 139,171 Visa Inc COM 92826C839 $ 225 4,200 SHS Defined 2 4,200 Visa Inc COM 92826C839 $ 931 17,400 SHS Sole 17,400 Vornado Realty Trust COM 929042109 $ 1,790 57,363 SHS Defined 2 57,363 Walgreen Co COM 931422109 $ 242 9,300 SHS Defined 2 9,300 Wal-Mart Stores Inc COM 931142103 $ 3,241 62,215 SHS Defined 1 62,215 Wal-Mart Stores Inc COM 931142103 $ 859 16,600 SHS Defined 2 16,600 Walt Disney Co/The COM 254687106 $ 241 13,500 SHS Defined 2 13,500 Weingarten Realty Investors COM 948741103 $ 91 10,264 SHS Defined 2 10,264 Wells Fargo & Co COM 949746101 $ 19 1,342 SHS Defined 1 1,342 Wells Fargo & Co COM 949746101 $ 412 30,820 SHS Defined 2 30,820 Westpac Banking Corp COM 961214301 $ 5,507 82,571 SHS Defined 1 82,571 Williams Cos Inc COM 969457100 $ 25 2,300 SHS Defined 2 2,300 Williams Cos Inc/ The COM 969457100 $ 142 12,466 SHS Defined 1 12,466 WSP Holdings Ltd COM 92934F104 $ 663 186,800 SHS Sole 186,800 Wyeth COM 983024100 $ 409 9,500 SHS Defined 2 9,500 Xcel Energy Inc COM 98389B100 $ 106 5,705 SHS Defined 1 5,705 Xcel Energy Inc COM 98389B100 $ 116 6,400 SHS Defined 2 6,400 Xcel Energy Inc COM 98389B100 $ 13,374 734,900 SHS Defined 3 734,900 XCEL ENERGY INC COM COM 98389B100 $ 32 1,700 SHS Sole 1,700 Xcel Energy Inc Common stock 98389B100 $ 6,716 368,990 SHS Defined 4 368,990 Yahoo! Inc COM 984332106 $ 194 15,122 SHS Defined 1 15,122 Yahoo! Inc COM 984332106 $ 107 8,400 SHS Defined 2 8,400 Yanzhou Coal Mining Co Ltd COM 984846105 $ 190 26,557 SHS Defined 1 26,557
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