0001085146-13-000181.txt : 20130204 0001085146-13-000181.hdr.sgml : 20130204 20130204095446 ACCESSION NUMBER: 0001085146-13-000181 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130204 DATE AS OF CHANGE: 20130204 EFFECTIVENESS DATE: 20130204 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lattice Strategies LLC CENTRAL INDEX KEY: 0001540945 IRS NUMBER: 571162998 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15118 FILM NUMBER: 13568399 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: SUITE 2350 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-508-4983 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: SUITE 2350 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 lattice4q2012.txt LATTICE STRATEGIES LLC 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, 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: Lattice Strategies LLC Address: 1 Embarcadero Center, Suite 2350 San Francisco, CA 94111 13F File Number: 028-NEW 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: Albert Lee Title: Chief Operating Officer Phone: 415-508-4983 Signature, Place, and Date of Signing: /s/ Albert Lee San Francisco, CA January 24, 2013 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 Form 13F Information Table Entry Total: 65 Form 13F Information Table Value Total: $125,593 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALPS ETF TR ALERIAN MLP 00162Q866 2019 126552 SH SOLE 126552 0 0 BLACKROCK MUNIVEST FD INC COM 09253R105 325 29455 SH SOLE 29455 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 321 15715 SH SOLE 15715 0 0 ISHARES INC MSCI PAC J IDX 464286665 5148 109205 SH SOLE 109205 0 0 ISHARES INC MSCI JAPAN 464286848 1944 199364 SH SOLE 199364 0 0 ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R107 1141 34800 SH SOLE 34800 0 0 ISHARES TR BARCLYS TIPS BD 464287176 2215 18240 SH SOLE 18240 0 0 ISHARES TR CORE S&P500 ETF 464287200 6632 46330 SH SOLE 46330 0 0 ISHARES TR MSCI EMERG MKT 464287234 3600 81165 SH SOLE 81165 0 0 ISHARES TR IBOXX INV CPBD 464287242 5603 46308 SH SOLE 46308 0 0 ISHARES TR S&P GBL ENER 464287341 337 8800 SH SOLE 8800 0 0 ISHARES TR S&P NA NAT RES 464287374 1767 46309 SH SOLE 46309 0 0 ISHARES TR BARCLYS 20+ YR 464287432 4354 35931 SH SOLE 35931 0 0 ISHARES TR RUSSELL 1000 464287622 3583 45267 SH SOLE 45267 0 0 ISHARES TR RUSSELL 2000 464287655 750 8893 SH SOLE 8893 0 0 ISHARES TR DJ US REAL EST 464287739 1707 26397 SH SOLE 26397 0 0 ISHARES TR S&P EURO PLUS 464287861 6457 164290 SH SOLE 164290 0 0 ISHARES TR S&P GTFIDX ETF 464288174 1076 23776 SH SOLE 23776 0 0 ISHARES TR MSCI ACJPN IDX 464288182 3319 54845 SH SOLE 54845 0 0 ISHARES TR MSCI SMALL CAP 464288273 931 22875 SH SOLE 22875 0 0 ISHARES TR JPMORGAN USD 464288281 1681 13693 SH SOLE 13693 0 0 ISHARES TR S&P GLO INFRAS 464288372 1812 50745 SH SOLE 50745 0 0 ISHARES TR S&P DEV EX-US 464288422 542 14925 SH SOLE 14925 0 0 ISHARES TR HIGH YLD CORP 464288513 2141 22930 SH SOLE 22930 0 0 ISHARES TR MRTG PLS CAP IDX 464288539 648 47405 SH SOLE 47405 0 0 ISHARES TR BARCLYS MBS BD 464288588 2677 24790 SH SOLE 24790 0 0 ISHARES TR US PFD STK IDX 464288687 989 24974 SH SOLE 24974 0 0 ISHARES TR FLTG RATE NT 46429B655 211 4161 SH SOLE 4161 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 201 7250 SH SOLE 7250 0 0 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 365 14182 SH SOLE 14182 0 0 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 996 67862 SH SOLE 67862 0 0 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 1118 35544 SH SOLE 35544 0 0 PRECIDIAN ETFS TR MAXIS NIKKEI 74016W106 1105 76480 SH SOLE 76480 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 239 6265 SH SOLE 6265 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1876 71105 SH SOLE 71105 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 324 11960 SH SOLE 11960 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 271 6800 SH SOLE 6800 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 239 6850 SH SOLE 6850 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 399 13834 SH SOLE 13834 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2504 15454 SH SOLE 15454 0 0 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 284 5500 SH SOLE 5500 0 0 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 312 6686 SH SOLE 6686 0 0 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 3176 76802 SH SOLE 76802 0 0 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 1812 63690 SH SOLE 63690 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1381 9699 SH SOLE 9699 0 0 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 730 18119 SH SOLE 18119 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 1620 39786 SH SOLE 39786 0 0 SPDR SERIES TRUST DB INT GVT ETF 78464A490 1423 22391 SH SOLE 22391 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 3139 51444 SH SOLE 51444 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 1423 19500 SH SOLE 19500 0 0 SPDR SERIES TRUST BARCLYS TIPS ETF 78464A656 304 5000 SH SOLE 5000 0 0 SPDR SERIES TRUST BRCLYS LG TRS ET 78464A664 219 3120 SH SOLE 3120 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2777 42199 SH SOLE 42199 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 14192 217800 SH SOLE 217800 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 514 9335 SH SOLE 9335 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 8452 189799 SH SOLE 189799 0 0 VANGUARD INTL EQUITY INDEX F MSCI EUROPE ETF 922042874 5821 119181 SH SOLE 119181 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 300 3950 SH SOLE 3950 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 248 2430 SH SOLE 2430 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 332 9750 SH SOLE 9750 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 272 3820 SH SOLE 3820 0 0 WISDOMTREE TR EM LCL DEBT FD 97717X867 1169 21862 SH SOLE 21862 0 0 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 1447 29260 SH SOLE 29260 0 0 WISDOMTREE TRUST GLB EX US RL EST 97717W331 345 11522 SH SOLE 11522 0 0 WISDOMTREE TRUST INTL SMCAP DIV 97717W760 334 6400 SH SOLE 6400 0 0