0001193125-12-238375.txt : 20120517
0001193125-12-238375.hdr.sgml : 20120517
20120517164435
ACCESSION NUMBER: 0001193125-12-238375
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120517
DATE AS OF CHANGE: 20120517
EFFECTIVENESS DATE: 20120517
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Good Harbor Financial, LLC
CENTRAL INDEX KEY: 0001528086
IRS NUMBER: 274354200
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14913
FILM NUMBER: 12852482
BUSINESS ADDRESS:
STREET 1: 101 NORTH WACKER DRIVE, SUITE 2004
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 847-867-3826
MAIL ADDRESS:
STREET 1: 101 NORTH WACKER DRIVE, SUITE 2004
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
d355761d13fhr.txt
FORM 13F
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO
SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
GENERAL INSTRUCTIONS
1. Rule as to Use of Form 13F. Institutional investment managers ("Managers")
must use Form 13F for reports to the Commission required by Section 13(f)
of the Securities Exchange Act of 1934 [15 U.S.C. 78m(f)] ("Exchange Act")
and rule 13f-1 [17 CFR 240.13f-1] thereunder. Rule 13f-1(a) provides that
every Manager which exercises investment discretion with respect to
accounts holding Section 13(f) securities, as defined in rule 13f-1(c),
having an aggregate fair market value on the last trading day of any month
of any calendar year of at least $100,000,000 shall file a report on Form
13F with the Commission within 45 days after the last day of such calendar
year and within 45 days after the last day of each of the first three
calendar quarters of the subsequent calendar year.
2. Rules to Prevent Duplicative Reporting. If two or more Managers, each of
which is required by rule 13f-1 to file a report on Form 13F for the
reporting period, exercise investment discretion with respect to the same
securities, only one such Manager must include information regarding such
securities in its reports on Form 13F.
A Manager having securities over which it exercises investment discretion
that are reported by another Manager (or Managers) must identify the
Manager(s) reporting on its behalf in the manner described in Special
Instruction 6.
A Manager reporting holdings subject to shared investment discretion must
identify the other Manager(s) with respect to which the filing is made in
the manner described in Special Instruction 8.
3. Filing of Form 13F. A Manager must file a Form 13F report with the
Commission within 45 days after the end of each calendar year and each of
the first three calendar quarters of each calendar year. As required by
Section 13(f)(5) of the Exchange Act, a Manager which is a bank, the
deposits of which are insured in accordance with the Federal Deposit
Insurance Act, must file with the appropriate regulatory agency for the
bank a copy of every Form 13F report filed with the Commission pursuant to
this subsection by or with respect to such bank. Filers who file Form 13F
electronically can satisfy their obligation to file with other regulatory
agencies by sending (a) a paper copy of the EDGAR filing (provided the
Manager removes or blanks out the confidential access codes); (b) the
filing in electronic format, if the regulatory agency with which the filing
is being made has made provisions to receive filings in electronic format;
or (c) for filers filing in paper format under continuing hardship
exemptions, a copy of the Form 13F paper filing.
4. Official List of Section 13(f) Securities. The official list of Section
13(f) Securities published by the Commission (the "13F List") lists the
securities the holdings of which a Manager is to report on Form 13F. See
rule 13f-1(c) [17 CFR 240.13f-1(c)]. Form 13F filers may rely on the
current 13F List in determining whether they need to report any particular
securities holding. The current 13F List is available on
www.sec.gov/divisions/investment/13flists.htm. The 13F List is updated
quarterly.
INSTRUCTIONS FOR CONFIDENTIAL TREATMENT REQUESTS
Pursuant to Section 13(f)(4) of the Exchange Act [15 U.S.C. 78m(f)(4)], the
Commission (1) may prevent or delay public disclosure of information reported on
this form in accordance with Section 552 of Title 5 of the United States Code,
the Freedom of Information Act [5 U.S.C. 552], and (2) shall not disclose
information reported on this form identifying securities held by the account of
a natural person or an estate or trust (other than a business trust or
investment company). A Manager must submit in accordance with the procedures for
requesting confidential treatment any portion of a report which contains
information identifying securities held by the account of a natural person or an
estate or trust (other than a business trust or investment company).
Persons who respond to the collection of information contained in this form
are not required to respond unless the form displays a currently valid OMB
control number
SEC1685 (1-12)
A Manager should make requests for confidential treatment of information
reported on this form in accordance with rule 24b-2 under the Exchange Act [17
CFR 240.24b-2]. Requests relating to the non-disclosure of information
identifying the securities held by the account of a natural person or an estate
or trust (other than a business trust or investment company) must so state but
need not, in complying with paragraph (b)(2)(ii) of rule 24b-2, include an
analysis of any applicable exemptions from disclosure under the Commission's
rules and regulations adopted under the Freedom of Information Act [17 CFR
200.80].
Paragraph (b) of rule 24b-2 requires a Manager filing confidential
information with the Commission to indicate at the appropriate place in the
public filing that the confidential portion has been so omitted and filed
separately with the Commission. A Manager should comply with this provision by
including on the Summary Page, after the Report Summary and prior to the List of
Other Included Managers, a statement that confidential information has been
omitted from the public Form 13F report and filed separately with the
Commission.
A Manager must file in paper, in accordance with rule 101(c)(1)(i) of
Regulation S-T [17 CFR 232.101(c)(1)(i)], all requests for and information
subject to the request for confidential treatment filed pursuant to Section
13(f)(4) of the Exchange Act. If a Manager requests confidential treatment with
respect to information required to be reported on Form 13F, the Manager must
file in paper with the Secretary of the Commission an original and four copies
of the Form 13F reporting information for which the Manager requests
confidential treatment.
A Manager requesting confidential treatment must provide enough factual
support for its request to enable the Commission to make an informed judgment as
to the merits of the request. The request should address all pertinent factors,
including all of the following that are relevant:
1. If confidential treatment is requested as to more than one holding of
securities, discuss each holding separately unless the Manager can identify
a class or classes of holdings as to which the nature of the factual
circumstances and the legal analysis are substantially the same.
2. If a request for confidential treatment is based upon a claim that the
subject information is confidential, commercial or financial information,
provide the information required by paragraphs 2.a through 2.e of this
Instruction except that, if the subject information concerns security
holdings that represent open risk arbitrage positions and no previous
requests for confidential treatment of those holdings have been made, the
Manager need provide only the information required in paragraph 2.f.
a. Describe the investment strategy being followed with respect to the
relevant securities holdings, including the extent of any program of
acquisition and disposition (note that the term "investment strategy,"
as used in this instruction, also includes activities such as block
positioning).
b. Explain why public disclosure of the securities would, in fact, be
likely to reveal the investment strategy; consider this matter in
light of the specific reporting requirements of Form 13F (e.g.,
securities holdings are reported only quarterly and may be aggregated
in many cases).
c. Demonstrate that such revelation of an investment strategy would be
premature; indicate whether the Manager was engaged in a program of
acquisition or disposition of the security both at the end of the
quarter and at the time of the filing; and address whether the
existence of such a program may otherwise be known to the public.
d. Demonstrate that failure to grant the request for confidential
treatment would be likely to cause substantial harm to the Manager's
competitive position; show what use competitors could make of the
information and how harm to the Manager could ensue.
e. State the period of time for which confidential treatment of the
securities holdings is requested. The time period specified may not
exceed one (1) year from the date that the Manager is required to file
the Form 13F report with the Commission.
f. For securities holdings that represent open risk arbitrage positions,
the request must include good faith representations that:
2
i. the securities holding represents a risk arbitrage position open
on the last day of the period for which the Form 13F report is
filed; and
ii. the reporting Manager has a reasonable belief as of the period
end that it may not close the entire position on or before the
date that the Manager is required to file the Form 13F report
with the Commission.
If the Manager makes these representations in writing at the time that
the Form 13F is filed, the Commission will automatically accord the
subject securities holdings confidential treatment for a period of up
to one (1) year from the date that the Manager is required to file the
Form 13F report with the Commission.
g. At the expiration of the period for which confidential treatment has
been granted pursuant to paragraph 2.e or 2.f of this Instruction (the
"Expiration Date"), the Commission, without additional notice to the
reporting manager, will make such security holdings public unless a de
novo request for confidential treatment of the information that meets
the requirements of paragraphs 2.a through 2.e of this Instruction is
filed with the Commission at least fourteen (14) days in advance of
the Expiration Date.
3. If the Commission grants a request for confidential treatment, it may
delete details which would identify the Manager and use the information in
tabulations required by Section 13(f)(4) absent a separate showing that
such use of information could be harmful.
4. Upon the denial by the Commission of a request for confidential treatment,
or upon the expiration of the confidential treatment previously granted for
a filing, unless a hardship exemption is available, the Manager must submit
electronically, within six (6) business days of the expiration or
notification of the denial, as applicable, a Form 13F report, or an
amendment to its publicly filed Form 13F report, if applicable, listing
those holdings as to which the Commission denied confidential treatment or
for which confidential treatment has expired. If a Manager files an
amendment, the amendment must not be a restatement; the Manager must
designate it as an amendment which adds new holdings entries. The Manager
must include at the top of the Form 13F Cover Page the following legend to
correctly designate the type of filing being made:
THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED
ON (DATE) PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH (THAT REQUEST WAS DENIED/CONFIDENTIAL TREATMENT EXPIRED) ON
(DATE).
SPECIAL INSTRUCTIONS
1. This form consists of three parts: the Form 13F Cover Page (the "Cover
Page"), the Form 13F Summary Page (the "Summary Page"), and the Form 13F
Information Table (the "Information Table").
2. When preparing the report, omit all bracketed text. Include brackets used
to form check boxes.
THE COVER PAGE:
3. The period end date used in the report (and in the EDGAR submission header)
is the last day of the calendar year or quarter, as appropriate, even
though that date may not be the same as the date used for valuation in
accordance with Special Instruction 9.
4. Amendments to a Form 13F report must either restate the Form 13F report in
its entirety or include only holdings entries that are being reported in
addition to those already reported in a current public Form 13F report for
the same period. If the Manager is filing the Form 13F report as an
amendment, then, the Manager must check the amendment box on the Cover
Page; enter the amendment number; and check the appropriate box to indicate
whether the amendment (a) is a restatement or (b) adds new holdings
entries. Each amendment must include a complete Cover Page and, if
applicable, a Summary Page and Information Table. See rule 13f-1(a)(2) [17
CFR 240.13f-1(a)(2)].
5. Present the Cover Page and the Summary Page information in the format and
order provided in the form. The Cover Page may include information in
addition to the required information, so long as the additional information
does not, either by its nature, quantity, or manner of presentation, impede
the understanding or presentation of the required information. Place all
additional information after the signature of the person signing the report
(immediately preceding the Report Type section). Do not include any
additional information on the Summary Page or in the Information Table.
3
6. Designate the Report Type for the Form 13F report by checking the
appropriate box in the Report Type section of the Cover Page, and include,
where applicable, the List of Other Managers Reporting for this Manager (on
the Cover Page), the Summary Page and the Information Table, as follows:
a. If all of the securities with respect to which a Manager has
investment discretion are reported by another Manager (or Managers),
check the box for Report Type "13F NOTICE," include (on the Cover
Page) the List of Other Managers Reporting for this Manager, and omit
both the Summary Page and the Information Table.
b. If all of the securities with respect to which a Manager has
investment discretion are reported in this report, check the box for
Report Type "13F HOLDINGS REPORT," omit from the Cover Page the List
of Other Managers Reporting for this Manager, and include both the
Summary Page and the Information Table.
c. If only part of the securities with respect to which a Manager has
investment discretion is reported by another Manager (or Managers),
check the box for Report Type "13F COMBINATION REPORT," include (on
the Cover Page) the List of Other Managers Reporting for this Manager,
and include both the Summary Page and the Information Table.
SUMMARY PAGE:
7. Include on the Summary Page the Report Summary, containing the Number of
Other Included Managers, the Information Table Entry Total and the
Information Table Value Total.
a. Enter as the Number of Other Included Managers the total number of
other Managers listed in the List of Other Included Managers on the
Summary Page, not counting the Manager filing this report. See Special
Instruction 8. If none, enter the number zero ("0").
b. Enter as the Information Table Entry Total the total number of line
entries providing holdings information included in the Information
Table.
c. Enter as the Information Table Value Total the aggregate fair market
value of all holdings reported in this report, i.e., the total for
Column 4 (Fair Market Value) of all line entries in the Information
Table. The Manager must express this total as a rounded figure,
corresponding to the individual Column 4 entries in the Information
Table. See Special Instruction 9.
8. Include on the Summary Page the List of Other Included Managers. Use the
title, column headings and format provided.
a. If this Form 13F report does not report the holdings of any Manager
other than the Manager filing this report, enter the word "NONE" under
the title and omit the column headings and list entries.
b. If this Form 13F report reports the holdings of one or more Managers
other than the Manager filing this report, enter in the List of Other
Included Managers all such Managers together with their respective
Form 13F file numbers, if known. (The Form 13F file numbers are
assigned to Managers when they file their first Form 13F.) Assign a
number to each Manager in the List of Other Included Managers, and
present the list in sequential order. The numbers need not be
consecutive. The List of Other Managers must include all other
Managers identified in Column 7 of the Information Table. Do not
include the Manager filing this report.
INFORMATION TABLE:
9. In determining fair market value, use the value at the close of trading on
the last trading day of the calendar year or quarter, as appropriate. Enter
values rounded to the nearest one thousand dollars (with "000" omitted).
10. A Manager may omit holdings otherwise reportable if the Manager holds, on
the period end date, fewer than 10,000 shares (or less than $200,000
principal amount in the case of convertible debt securities) and less than
$200,000 aggregate fair market value (and option holdings to purchase only
such amounts).
11. A Manager must report holdings of options only if the options themselves
are Section 13(f) securities. For purposes of the $100,000,000 reporting
threshold, the Manager should consider only the value of such options, not
the value of the
4
underlying shares. The Manager must give the entries in Columns 1 through 5
and in Columns 7 and 8 of the Information Table, however, in terms of the
securities underlying the options, not the options themselves. The Manager
must answer Column 6 in terms of the discretion to exercise the option. The
Manager must make a separate segregation in respect of securities
underlying options for entries for each of the columns, coupled with a
designation "PUT" or "CALL" following such segregated entries in Column 5,
referring to securities subject respectively to put and call options. A
Manager is not required to provide an entry in Column 8 for securities
subject to reported call options.
12. Furnish the Information Table using the table title, column headings and
format provided. Provide column headings once at the beginning of the
Information Table; repetition of column headings on subsequent pages is not
required. Present the table in accordance with the column instructions
provided in Special Instructions 12.b.i through 12.b.viii. Do not include
any additional information in the Information Table. Begin the Information
Table on a new page; do not include any portion of the Information Table on
either the Cover Page or the Summary Page.
a. In entering information in Columns 4 through 8 of the Information
Table, list securities of the same issuer and class with respect to
which the Manager exercises sole investment discretion separately from
those with respect to which investment discretion is shared. Special
Instruction 12.b.vi for Column 6 describes in detail how to report
shared investment discretion.
b. Instructions for each column in the Information Table:
i. Column 1. Name of Issuer. Enter in Column 1 the name of the
issuer for each class of security reported as it appears in the
current official list of Section 13(f) Securities published by
the Commission in accordance with rule 13f-1(c) (the "13F List").
Reasonable abbreviations are permitted.
ii. Column 2. Title of Class. Enter in Column 2 the title of the
class of the security reported as it appears in the 13F List.
Reasonable abbreviations are permitted.
iii. Column 3. CUSIP Number. Enter in Column 3 the nine (9) digit
CUSIP number of the security.
iv. Column 4. Market Value. Enter in Column 4 the market value of the
holding of the particular class of security as prescribed by
Special Instruction 9.
v. Column 5. Amount and Type of Security. Enter in Column 5 the
total number of shares of the class of security or the principal
amount of such class. Use the abbreviation "SH" to designate
shares and "PRN" to designate principal amount. If the holdings
being reported are put or call options, enter the designation
"PUT" or "CALL," as appropriate.
vi. Column 6. Investment Discretion. Segregate the holdings of
securities of a class according to the nature of the investment
discretion held by the Manager. Designate investment discretion
as "sole" (SOLE); "shared-defined" (DEFINED); or "shared-other"
(OTHER), as described below:
(A) Sole. Designate as "sole" securities over which the Manager
exercised sole investment discretion. Report "sole"
securities on one line. Enter the word SOLE in Column 6.
(B) Shared-Defined. If investment discretion is shared with
controlling and controlled companies (such as bank holding
companies and their subsidiaries); investment advisers and
investment companies advised by those advisers; or insurance
companies and their separate accounts, then designate
investment discretion as "shared-defined" (DEFINED).
For each holding of DEFINED securities, segregate the
securities into two categories: those securities over which
investment discretion is shared with another Manager or
Managers on whose behalf this Form 13F report is being
filed, and those securities over which investment discretion
is shared with any other person, other than a Manager on
whose behalf this Form 13F report is being filed.
Enter each of the two segregations of DEFINED securities
holdings on a separate line, and enter the designation
DEFINED in Column 6. See Special Instruction vii for Column
7.
5
(C) Shared-Other. Designate as "shared-other" securities (OTHER)
those over which investment discretion is shared in a manner
other than that described in Special Instruction (B) above.
For each holding of OTHER securities, segregate the
securities into two categories: those securities over which
investment discretion is shared with another Manager or
Managers on whose behalf this Form 13F report is being
filed, and those securities over which investment discretion
is shared with any other person, other than a Manager on
whose behalf this Form 13F report is being filed.
Enter each segregation of OTHER securities holdings on a
separate line, and enter the designation "OTHER" in Column
6. See Special Instruction vii for Column 7.
NOTE: A Manager is deemed to share discretion with respect
to all accounts over which any person under its control
exercises discretion. A Manager of an institutional account,
such as a pension fund or investment company, is not deemed
to share discretion with the institution unless the
institution actually participated in the investment
decision-making.
vii. Column 7. Other Managers. Identify each other Manager on whose
behalf this Form 13F report is being filed with whom investment
discretion is shared as to any reported holding by entering in
this column the number assigned to the Manager in the List of
Other Included Managers.
Enter this number in Column 7 opposite the segregated entries in
Columns 4, 5 and 8 (and the relevant indication of shared
discretion set forth in Column 6) as required by the preceding
special instruction. Enter no other names or numbers in Column 7.
A Manager must report the conditions of sharing discretion with
other Managers consistently for all holdings reported on a single
line.
viii. Column 8. Voting Authority. Enter the number of shares for which
the Manager exercises sole, shared, or no voting authority (none)
in this column, as appropriate.
The Commission deems a Manager exercising sole voting authority
over specified "routine" matters, and no authority to vote in
"non-routine" matters, for purposes of this Form 13F report to
have no voting authority. "Non-routine" matters include a
contested election of directors, a merger, a sale of
substantially all the assets, a change in the articles of
incorporation affecting the rights of shareholders, and a change
in fundamental investment policy; "routine" matters include
selection of an accountant, uncontested election of directors,
and approval of an annual report.
If voting authority is shared only in a manner similar to a
sharing of investment discretion which would call for a response
of "shared-defined" (DEFINED) under Column 6, a Manager should
report voting authority as sole under subdivision (a) of Column
8, even though the Manager may be deemed to share investment
discretion with that person under Special Instruction 12.b.vi.
13. Preparation of the electronic filing:
a. No line on the Cover Page or the Summary Page may exceed 80 characters
in length. See rule 305 of Regulation S-T [17 CFR 232.305]
b. No line in the Form 13F Information Table may exceed 132 characters in
length. See rule 305 of Regulation S-T [17 CFR 232.305].
c. If the Form 13F Report Type is "13F HOLDINGS REPORT" or "13F
COMBINATION REPORT," then place one EDGAR tag at the end of the
Cover Page and one tag at the end of the Summary Page.
Additional EDGAR tags are not required. Those electing to
include additional tags should, for each page containing a
tag, include no more than sixty (60) lines per page, including
the line on which the tag is placed.
6
d. In preparing the Form 13F report for electronic filing, a Manager may
omit underscoring used in the form to indicate the placement of
information that the Manager is to furnish.
e. Use the following EDGAR submission types for the following Form 13F
Report Types:
Form 13F Report Type EDGAR Submission Type
---------------------- ---------------------
13F HOLDINGS REPORT
Initial Filing 13F-HR
Amendments 13F-HR/A
13F NOTICE
Initial Filing 13F-NT
Amendments 13F-NT/A
13F COMBINATION REPORT
Initial Filing 13F-HR
Amendments 13F-HR/A
PAPERWORK REDUCTION ACT INFORMATION
Persons who are to respond to the collection of information contained in
this form are not required to respond to the collection of information unless
the form displays a currently valid OMB control number.
Section 13(f) of the Exchange Act requires the Commission to adopt rules
creating a reporting and disclosure system to collect specific information and
to disseminate such information to the public. Rule 13f-1 under the Exchange Act
(17 CFR 240.13f-1) requires institutional investment managers who exercise
investment discretion over certain accounts of equity securities described in
Section 13(d)(1) of the Exchange Act [15 U.S.C. 78m(d)(1)] (generally, certain
U.S. exchange-traded equity securities, as set forth in rule 13f-1(c)) having,
in the aggregate, a fair market value of at least $100,000,000 to file quarterly
reports with the Commission on Form 13F with respect to the value of those
securities over which they have investment discretion.
The purpose of Form 13F is to provide a reporting and disclosure system to
collect specific information and to disseminate such information to the public
about the holdings of institutional investment managers who exercise investment
discretion over certain accounts of equity securities described in Section
13(d)(1) of the Exchange Act [15 U.S.C. 78m(d)(1)] (generally, certain U.S.
exchange-traded equity securities, as set forth in rule 13f-1(c)) having, in the
aggregate, a fair market value of atleast $100,000,000. We believe that
investors will find Form 13F report information useful in tracking institutional
investorholdings in their investments and that issuers, too, will find detail as
to institutional investor holdings useful because much of their shareholder list
may reflect holdings in "street name" rather than beneficial ownership. We
believe that mandatory electronic dissemination of this data will help ensure
timely and efficient dissemination of this important information. We believe
that these reports should have the same degree of availability as other filings
with the Commission, and that electronic filing will speed their dissemination
in accordance with the intent of Congress.
We estimate that each filer spends an average of 24.7 hours preparing each
quarterly report. In addition, we estimate that, each quarter, approximately 210
managers will resubmit information to: (1) correct an error or omission; or (2)
supplement a request for confidential treatment that expires or is denied, and
that each such manager will spend an additional 4 hours on the resubmission.
Any member of the public may direct to the Commission any comments
concerning the accuracy of this burden estimate and any suggestions for reducing
this burden.
Responses to the collection of information are mandatory. See Section 13(f)
of the Exchange Act [15 U.S.C. 78m(f)] and rule 13f-1 [17 CFR 240.13f-1]
thereunder.
7
Section 13(f)(3) of the Exchange Act [15 U.S.C. 78m(f)(3)] authorizes the
Commission, as it determines necessary or appropriate in the public interest or
for the protection of investors, to delay or prevent public disclosure of any
information filed under Section 13(f) upon request. It also prohibits the
Commission from disclosing to the public information identifying securities held
by the account of a natural person or any estate or trust (other than a business
trust or investment company).
This collection of information has been reviewed by OMB in accordance with
the clearance requirements of 44 U.S.C. Section 3507.
8
================================================================================
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, 2012
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: Good Harbor Financial, LLC
Address: 101 North Wacker Drive, Suite 2004
Chicago IL 60606
Form 13F File Number: 28-14913
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: Yash Patel
---------------------------
Title: Partner
---------------------------
Phone: 312-612-2245
---------------------------
Signature, Place, and Date of Signing:
/s/ Yash Patel Chicago, IL MAY 17, 2012
----------------------------- ----------------------- ---------------
[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 reported are 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).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28- N/A N/A
[Repeat as necessary.]
================================================================================
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 17
Form 13F Information Table Value Total: 1,201,980
(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.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
1 28- Cedar Capital Advisors, LLC
---------------------
[Repeat as necessary.]
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
--------- ---------------- --------- -------- ------------------- ---------- -------- ----------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
---------------------------- ---------------- --------- -------- --------- ---- ---- ---------- -------- ---- ------ ----
BARCLAYS BK BLC IPATH S&P MT ETN 06740C519 482 10,416 SH DEFINED 1 SOLE
COMMONWEALTH REIT 6.5% PFD CUM CO 203233408 283 13,238 SH DEFINED 1 SOLE
GRAMERCY CAPITAL CORP COM 384871109 708 265,264 SH DEFINED 1 SOLE
HOSPITALITY PROPERTIES TR COM SH BEN INT 44106M102 479 18,112 SH DEFINED 1 SOLE
ISHARES TR S&P 500 INDEX 464287200 418,861 2,966,229 SH DEFINED 1 SOLE
ISHARES TR MSCI EAFE INDEX 464287465 713 12,990 SH DEFINED 1 SOLE
ISHARES TR MSCI EMERG MKT 464287234 470 10,948 SH DEFINED 1 SOLE
ISHARES TR S&P EURO PLUS 464287861 512 13,698 SH DEFINED 1 SOLE
ISHARES TR S&P MIDCAP 400 464287507 414,339 4,175,960 SH DEFINED 1 SOLE
NORTHERN TR CORP COM 665859104 1,440 30,348 SH DEFINED 1 SOLE
PENN WEST PETE LTD NEW COM 707887105 286 14,650 SH DEFINED 1 SOLE
PROSHARES TR PSHS SHTRUSS2000 74347R826 281 10,784 SH DEFINED 1 SOLE
PROSHARES TR PSHS ULT MCAP400 74347R404 178,461 2,519,216 SH DEFINED 1 SOLE
PROSHARES TR PSHS ULT S&P 500 74347R107 183,341 3,141,497 SH DEFINED 1 SOLE
RAIT FINANCIAL TRUST COM NEW 749227609 442 88,889 SH DEFINED 1 SOLE
TORTOISE ENERGY INFRAS C COM 89147L100 413 10,011 SH DEFINED 1 SOLE
TORTOISE PWR & ENERGY INFRAS COM 89147X104 469 18,464 SH DEFINED 1 SOLE
[Repeat as Necessary.]