-----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, EJ6dg0N3j4HX517h69loJrWPOdUYErPLsM5jK4Z7Hv0YuOvHcAKDUHo4GUsJ+8Co S9AT/NNcL6tBCKk09RWgLA== 0001193125-11-034049.txt : 20110214 0001193125-11-034049.hdr.sgml : 20110214 20110214090928 ACCESSION NUMBER: 0001193125-11-034049 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Windhaven Investment Management, Inc. CENTRAL INDEX KEY: 0001507640 IRS NUMBER: 273763801 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14230 FILM NUMBER: 11602372 BUSINESS ADDRESS: STREET 1: 60 STATE STREET STREET 2: SUITE 3600 CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172418600 MAIL ADDRESS: STREET 1: 60 STATE STREET STREET 2: SUITE 3600 CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 d13fhr.txt FORM 13 F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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: Windhaven Investment Management, Inc. Address: 60 State Street Suite 3600 Boston, MA 02109 13F File Number: 28- 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Denise Kampf Title: Managing Director of Ops & Client Service Phone: 617-241-2207 Signature, Place, and Date of Signing: DENISE KAMPF BOSTON, MA February 12, 2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Please note: Effective November 9, 2010 the securities over which Windward Investment Management, Inc. had beneficial ownership were transitioned to Windhaven Investment Management, Inc. Please refer to Windhaven's filings going forward. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 90 Form 13F Information Table Value Total: 4545950 List of Other Included Managers: NONE Form 13F Information Table
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - -------------------- -------------- ---------- -------- ------------------- ---------- -------- ------------------- Voting Authority Value SHRS or SH / PUT / Investment Other ------------------- Name of Issuer Title of Class CUSIP (x$1000) PRN Amt PRN CALL Discretion Managers Sole Shared Non - -------------------- -------------- ---------- -------- -------- ---- ----- ---------- -------- -------- ------ --- 3M CO COM 88579Y101 216 2826 SH Sole 2826 ALLIED HEALTHCARE INTL INC COM 01923A109 184 73073 SH Sole 73073 AMGEN INC COM 031162100 236 4806 SH Sole 4806 ANADARKO PETE CORP COM 032511107 1546 20302 SH Sole 20302 APPLE INC COM 037833100 527 1785 SH Sole 1785 BANK OF AMERICA CORPORATION COM 060505104 147 11044 SH Sole 11044 BERKSHIRE HATHAWAY INC DEL CL B 084670207 429 5710 SH Sole 5710 CHEVRON CORP NEW COM 166764100 275 3394 SH Sole 3394 CHINACAST EDU CORP COM 16946T109 77 10000 SH Sole 10000 CITIGROUP INC COM 172967101 61 14268 SH Sole 14268 Coca Cola Co COM 191216100 693 10536 SH Sole 10536 Disney Walt Co COM DISNEY 254687106 496 13230 SH Sole 13230 E M C CORP MASS COM 268648102 592 25830 SH Sole 25830 Eaton Vance Corp COM NON VTG 278265103 548 18140 SH Sole 18140 Evergreen Solar Inc COM 30033R108 9 15682 SH Sole 15682 EXPRESS SCRIPTS INC COM 302182100 209 3860 SH Sole 3860 Exxon Mobil Corp COM 30231G102 3097 42561 SH Sole 42561 FIRST TR BICK INDEX FD COM SHS 33733H107 131524 4003931 SH Sole 4003931 FORD MTR CO DEL COM PAR $0.01 345370860 207 12315 SH Sole 12315 FX ENERGY INC COM 302695101 593 96367 SH Sole 96367 General Electric Co COM 369604103 945 52800 SH Sole 52800 General Mls Inc COM 370334104 458 12878 SH Sole 12878 HEINZ H J CO COM 423074103 260 5250 SH Sole 5250 Home Depot Inc COM 437076102 425 12410 SH Sole 12410
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ------------------ ---------------- ---------- -------- ------------------- ---------- -------- ------------------- Voting Authority Value SHRS or SH / PUT / Investment Other ------------------- Name of Issuer Title of Class CUSIP (x$1000) PRN Amt PRN CALL Discretion Managers Sole Shared Non - ------------------ ---------------- ---------- -------- -------- ---- ----- ---------- -------- -------- ------ --- Intel Corp COM 458140100 1072 51564 SH Sole 51564 International Business Machs COM 459200101 435 3164 SH Sole 3164 Inverness Medical Innovations In COM 46126P106 995 27185 SH Sole 27185 INVESTMENT TECHNOLOGY GRP NE COM 46145F105 327 20000 SH Sole 20000 ISHARES INC MSCI GERMAN 464286806 111051 4639793 SH Sole 4639793 ISHARES GOLD TRUST ISHARES 464285105 26850 1931627 SH Sole 1931627 ISHARES TR FTSE XNHUA IDX 464287184 190731 4428225 SH Sole 4428225 ISHARES TR BARCLYS SH TREA 464288679 583 5287 SH Sole 5287 ISHARES TR BARCLYS 1-3 YR 464287457 107777 1284000 SH Sole 1284000 ISHARES TR JPMORGAN USD 464288281 1519 14185 SH Sole 14185 ISHARES TR HIGH YLD CORP 464288513 1557 17240 SH Sole 17240 ISHARES TR INDEX RUSSELL 2000 464287655 1588 20827 SH Sole 20827 ISHARES TR INDEX BARCLYS TIPS BD 464287176 224818 2092150 SH Sole 2092150 ISHARES INC MSCI S KOREA 464286772 7754 126722 SH Sole 126722 ISHARES INC MSCI HONG KONG 464286871 1475 78609 SH Sole 78609 ISHARES TR MSCI SINGAPORE 464286673 1515 109352 SH Sole 109352 Johnson & Johnson COM 478160104 699 11301 SH Sole 11301 MANULIFE FINL CORP COM 56501R106 527 30650 SH Sole 30650 Medco Health Solutions Inc COM 58405U102 571 9324 SH Sole 9324 Merck & Co Inc COM 589331107 237 7564 SH Sole 7564 Microsoft Corp COM 594918104 1672 60944 SH Sole 60944 NOVELL INC COM 670006105 611 103275 SH Sole 103275 ORACLE CORP COM 68389X105 344 14179 SH Sole 14179 PEPSICO INC COM 713448108 293 4728 SH Sole 4728 PIMCO ETF TR ENHAN SHRT MAT 72201R833 170794 1696819 SH Sole 1696819 PIMCO ETF TR 15+ YR US TIPS 72201R304 213537 3930502 SH Sole 3930502 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1553 28711 SH Sole 28711
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ---------------------- ----------------- ---------- -------- ------------------- ---------- -------- ------------------- Voting Authority Value SHRS or SH / PUT / Investment Other ------------------- Name of Issuer Title of Class CUSIP (x$1000) PRN Amt PRN CALL Discretion Managers Sole Shared Non - ---------------------- ----------------- ---------- -------- -------- ---- ----- ---------- -------- -------- ------ --- POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 154246 5601081 SH Sole 5601081 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1918 124542 SH Sole 124542 POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 209 14883 SH Sole 14883 PRECISION CASTPARTS CORP COM 740189105 459 3300 SH Sole 3300 Procter & Gamble Co COM 742718109 3357 52842 SH Sole 52842 Royal Dutch Shell PLC SPONS ADR A 780259206 416 6234 SH Sole 6234 SAPIENT CORP COM 803062108 242 20000 SH Sole 20000 SCHWAB CHARLES CORP NEW COM 808513105 6950 406180 SH Sole 406180 Sigma Aldrich Corp COM 826552101 692 10400 SH Sole 10400 SIRIUS XM RADIO INC COM 82967N108 27 16500 SH Sole 16500 Sonus Networks Inc COM 835916107 88 33084 SH Sole 33084 SPDR GOLD TRUST GOLD SHS 78463V107 392194 2828549 SH Sole 2828549 SPDR SERIES TRUST DB INT GVT ETF 78464A490 4828 83087 SH Sole 83087 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 469279 8234492 SH Sole 8234492 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 10262 223808 SH Sole 223808 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 1834 31363 SH Sole 31363 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 8534 219206 SH Sole 219206 SPDR SERIES TRUST S&P DIVID ETF 78464A763 356490 6862500 SH Sole 6862500 SPECTRANETICS CORP COM 84760C107 206 40000 SH Sole 40000 St Jude Med Inc COM 790849103 593 13870 SH Sole 13870 Sysco Corp COM 871829107 1415 48492 SH Sole 48492 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 502 9620 SH Sole 9620 US BANCORP DEL COM NEW 902973304 362 13428 SH Sole 13428 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 340131 4239920 SH Sole 4239920 VANGUARD INDEX FDS REIT ETF 922908553 357620 6461372 SH Sole 6461372 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 821 17180 SH Sole 17180
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - -------------------- --------------- ---------- -------- ------------------- ---------- -------- ------------------- Voting Authority Value SHRS or SH / PUT / Investment Other ------------------- Name of Issuer Title of Class CUSIP (x$1000) PRN Amt PRN CALL Discretion Managers Sole Shared Non - -------------------- --------------- ---------- -------- -------- ---- ----- ---------- -------- -------- ------ --- VANGUARD INDEX FDS STK MRK ETF 922908769 522983 8057595 SH Sole 8057595 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 484 8903 SH Sole 8903 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 139270 2918901 SH Sole 2918901 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 239807 4558428 SH Sole 4558428 VERTEX PHARMACEUTICALS INC COM 92532F100 1570 44815 SH Sole 44815 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 212 8325 SH Sole 8325 Wal Mart Stores Inc COM 931142103 3023 56457 SH Sole 56457 WISDOMTREE TRUST BRAZILN RL ETF 97717W240 1385 52154 SH Sole 52154 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 2226 98679 SH Sole 98679 WISDOMTREE TR EM LCL DEBT FD 97717X867 136379 2623000 SH Sole 2623000 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 393 7214 SH Sole 7214 WISDOMTREE TRUST INDIA ERNGS FD 97717W422 169809 6437353 SH Sole 6437353 YONGYE INTL INC COM 98607B106 97 11500 SH Sole 11500
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