-----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, TPbXyYFwYriEULwkCslb5lw9NYGL0XT5EB51L9c6LJgtfy+n8GSqVgg+1kKa1YWT 7ns9854eajD/MUriXrHjzw== 0001513227-11-000001.txt : 20110217 0001513227-11-000001.hdr.sgml : 20110217 20110217145011 ACCESSION NUMBER: 0001513227-11-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110217 DATE AS OF CHANGE: 20110217 EFFECTIVENESS DATE: 20110217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Smart Portfolios, LLC CENTRAL INDEX KEY: 0001513227 IRS NUMBER: 753072032 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14414 FILM NUMBER: 11620547 BUSINESS ADDRESS: STREET 1: 17865 BALLINGER WAY NE CITY: SEATTLE STATE: WA ZIP: 98155 BUSINESS PHONE: 206-686-3644 MAIL ADDRESS: STREET 1: 17865 BALLINGER WAY NE CITY: SEATTLE STATE: WA ZIP: 98155 13F-HR 1 sp4q10.txt 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: Smart Portfolios, LLC Address: 17865 Ballinger Way NE Seattle, WA 98155-4234 13F File Number: 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: Ron Thompson Title: Chief Operating Officer Phone: (206)-686-4840 Signature, Place, and Date of Signing: /s/ Ron Thompson Seattle, WA February 16, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 32 Form13F Information Table Value Total: $152,972 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- iShares iBoxx $ Invest Grade C ETF 464287457 1892 22526 SH SOLE 22526 PowerShares Preferred ETF 73936T565 203 14349 SH SOLE 14349 PowerShares QQQ ETF 73935A104 217 3980 SH SOLE 3980 RevenueShares Large Cap ETF 761396100 364 15387 SH SOLE 15387 SPDR S&P MidCap 400 ETF ETF 78467Y107 5242 31833 SH SOLE 9839 21994 Vanguard Dividend Appreciation ETF 921908844 359 6824 SH SOLE 6824 iShares Russell 2000 Growth In ETF 464287648 8681 99303 SH SOLE 30828 68475 iShares Russell 2000 Index ETF 464287655 222 2832 SH SOLE 2832 iShares Russell 2000 Value Ind ETF 464287630 10473 147323 SH SOLE 45688 101635 iShares Russell Midcap Growth ETF 464287481 9647 170420 SH SOLE 56252 114168 iShares Russell Midcap Value I ETF 464287473 8728 193905 SH SOLE 59485 134420 iShares S&P SmallCap 600 Value ETF 464287879 227 3162 SH SOLE 3162 Claymore/SWM Canadian Energy I ETF 18383Q606 450 22318 SH SOLE 22318 Market Vectors Russia ETF ETF 57060U506 9724 256491 SH SOLE 85681 170810 iShares MSCI Canada Index ETF 464286509 6270 202262 SH SOLE 62355 139907 iShares MSCI Mexico Investable ETF 464286822 222 3587 SH SOLE 3587 iShares MSCI South Korea Index ETF 464286772 4689 76632 SH SOLE 27346 49286 Vanguard REIT Index ETF ETF 922908553 6157 111204 SH SOLE 34102 77102 iShares Cohen & Steers Realty ETF 464287564 5295 80575 SH SOLE 24726 55849 Market Vectors Coal ETF ETF 57060U837 8050 170406 SH SOLE 52272 118134 PowerShares DB Agriculture ETF 73936B408 4013 124040 SH SOLE 33983 90057 PowerShares DB Energy ETF 73936B101 268 9955 SH SOLE 9955 PowerShares DB Precious Metals ETF 73936B200 370 7140 SH SOLE 7140 United States Natural Gas ETF 912318102 7463 1245607 SH SOLE 381550 864057 iPath Dow Jones-AIG Commodity ETF 06738C778 371 7551 SH SOLE 7551 iShares Dow Jones US Basic Mat ETF 464287838 9090 117346 SH SOLE 34887 82459 iShares Silver Trust ETF 46428Q109 9204 304966 SH SOLE 93622 211344 Energy Select Sector SPDR ETF 81369Y506 7883 115495 SH SOLE 40048 75447 Industrial Select Sector SPDR ETF 81369Y704 8785 251931 SH SOLE 77872 174059 Materials Select Sector SPDR ETF 81369Y100 10577 275376 SH SOLE 84488 190888 PowerShares DB US Dollar Index ETF 73936D107 7624 335722 SH SOLE 102753 232969 ProShares UltraShort 20+ Year ETF 74347R297 214 5772 SH SOLE 5772
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