0001172661-12-000993.txt : 20121005 0001172661-12-000993.hdr.sgml : 20121005 20121005142055 ACCESSION NUMBER: 0001172661-12-000993 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20121005 DATE AS OF CHANGE: 20121005 EFFECTIVENESS DATE: 20121005 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Spruce Private Investors, LLC CENTRAL INDEX KEY: 0001542179 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14739 FILM NUMBER: 121131947 BUSINESS ADDRESS: STREET 1: C/O SPRUCE CAPITAL MANAGEMENT, LLC STREET 2: 263 TRESSER BOULEVARD, 15TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-428-2600 MAIL ADDRESS: STREET 1: C/O SPRUCE CAPITAL MANAGEMENT, LLC STREET 2: 263 TRESSER BOULEVARD, 15TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06901 13F-HR 1 spruceinvestors3q11.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 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: Spruce Private Investors, LLC Address: One Stamford Plaza 263 Tresser Boulevard, 15th Floor Stamford, CT 06901 13F File Number: 028-14739 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: Robert Bastone Title: Chief Operating Officer Phone: 203 428-2600 Signature, Place, and Date of Signing: /s/ Robert Bastone Stamford, CT October 05, 2012 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: 16 Form 13F Information Table Value Total: $547,729 (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 TR BARCLYS 20+ YR 464287432 27892 230892 SH SOLE 118768 0 112124 ISHARES TR BARCLYS 7-10 YR 464287440 75697 720444 SH SOLE 224440 0 496004 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1964 57683 SH SOLE 0 0 57683 POWERSHARES QQQ TRUST UNIT SER 1 73935a104 86569 1649239 SH SOLE 698906 0 950333 SPDR GOLD TRUST GOLD SHS 78463v107 3520 22272 SH SOLE 0 0 22272 SPDR INDEX SHS FDS S&P INTL ETF 78463x772 303 6811 SH SOLE 0 0 6811 SPDR S&P 500 ETF TR TR UNIT 78462f103 83089 734328 SH SOLE 331455 0 402873 SPDR SERIES TRUST BRCLYS YLD ETF 78464a417 120225 3322057 SH SOLE 1671028 0 1651029 SPDR SERIES TRUST S&P DIVID ETF 78464a763 2343 48262 SH SOLE 0 0 48262 UBS AG JERSEY BRH LNG SHT VIX 902641596 2129 95685 SH SOLE 73156 0 22529 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 99748 1191158 SH SOLE 493352 0 697806 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4279 74127 SH SOLE 0 0 74127 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 36168 934078 SH SOLE 456440 0 477638 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 1271 35472 SH SOLE 0 0 35472 WISDOMTREE TR EM LCL DEBT FD 97717x867 529 10986 SH SOLE 0 0 10986 WISDOMTREE TRUST FUTRE STRAT FD 97717w125 2003 42055 SH SOLE 31815 0 10240