0001144204-13-009035.txt : 20130214 0001144204-13-009035.hdr.sgml : 20130214 20130214154518 ACCESSION NUMBER: 0001144204-13-009035 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ICONIQ Capital, LLC CENTRAL INDEX KEY: 0001569709 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15353 FILM NUMBER: 13613183 BUSINESS ADDRESS: STREET 1: 244 JACKSON STREET STREET 2: SUITE 300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-937-7763 MAIL ADDRESS: STREET 1: 244 JACKSON STREET STREET 2: SUITE 300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 v335307_13f-hr.txt 13F-HR 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: ICONIQ Capital, LLC ----------------------------- Address: 244 Jackson Street, Suite 300 ----------------------------- San Francisco, CA 94111 ----------------------------- Form 13F File Number: 28-____________ Theinstitutional investment manager filing this report 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 Name: Kevin Foster ----------------------------- Title: Chief Operating Officer ----------------------------- Phone: 415-937-7763 ----------------------------- Signature, Place, and Date of Signing: /s/Kevin Foster San Francisco, CA February 14, 2013 -------------------- ----------------- ----------------- [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 tihs 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- ------------------ ------------------------------------------------ [Repeat as necessary.] 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: $335,308 ------------------ (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F which this report is filed, other than the manager [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28- ----- ------------------------ -------------------------------------- [Repeat as necessary.]
Shares/ Sh/ Put/ Investment Other Voting Authority Name of Issuer Title of Class CUSIP Value PRN Amt PRN Call Discretion Managers Sole Shared None AT&T INC COMMON 00206R102 $80,364.64 2,384.000 Sh Sole 2,384.000 AUTOMATIC DATA PROCESSING INC COMMON 053015103 $204,891.07 3,599.000 Sh Sole 3,599.000 BROADRIDGE FINANCIAL SOLUTIONS LLC COMMON 11133T103 $20,569.12 899.000 Sh Sole 899.000 CBRE CLARION GLOBAL REAL ESTATE INCOME FD COMMON 12504G100 $23,709.36 2,676.000 Sh Sole 2,676.000 COCA COLA CO COMMON 191216100 $20,553.75 567.000 Sh Sole 567.000 CURRENCYSHARES EURO TR EURO SHARES 23130C108 -$52,384.00 -400.000 Sh Sole -400.000 EXXON MOBIL CORP COMMON 30231G102 $645,922.65 7,463.000 Sh Sole 7,463.000 FACEBOOK INC COM CLASS A 30303M102 $140,021.20 5,260.000 Sh Sole 5,260.000 GOLDMAN SACHS GROUP INC COMMON 38141G104 $172,843.80 1,355.000 Sh Sole 1,355.000 GOOGLE INC CLASS A 38259P508 $84,885.60 120.000 Sh Sole 120.000 ING PRIME RATE TR SH BEN INT 44977W106 $465,489.18 74,958.000 Sh Sole 74,958.000 ISHARES CORE S&P SMALL-CAP ETF 464287804 $65,213.50 835.000 Sh Sole 835.000 ISHARES S&P NATL AMT FREE MUNI BND FND 464288414 $55,320.00 500.000 Sh Sole 500.000 ISHARES BARCLAYS TREAS INFLATION PROTECTED SECS FD 464287176 $477,869.76 3,936.000 Sh Sole 3,936.000 ISHARES IBOXX $ INVESTOP INVESTMENT GRADE CORP BD FUND 464287242 $502,108.50 4,150.000 Sh Sole 4,150.000 ISHARES BARCLAYS 1-3 YR CD BD FD 464288646 $49,358,648.94 467,943.202 Sh Sole 467,943.202 ISHARES GOLD TRUST ISHARES 464285105 $1,240,557.46 76,206.000 Sh Sole 76,206.000 ISHARES INC MSCI PACIFIC EX JAPAN INDEX FD 464286665 $160,040.30 3,395.000 Sh Sole 3,395.000 ISHARES INC MSCI BRAZIL INDEX FUND 464286400 $19,559,039.43 349,643.179 Sh Sole 349,643.179 ISHARES SILVER TR ISHARES 46428Q109 $95,452.50 3,250.000 Sh Sole 3,250.000 ISHARES TR S&P LATIN AMER 40 INDEX FD 464287390 $502,844.80 11,470.000 Sh Sole 11,470.000 ISHARES TR DOW JONES U S REAL ESTATE INDEX FD 464287739 $21,923.13 339.000 Sh Sole 339.000 ISHARES TR MSCI USA ESG SELECT SOCIAL INDEX FD 464288802 $20,587.51 347.000 Sh Sole 347.000 ISHARES TR S&P 500/ GROWTH INDEX FD ISHARES 464287309 $30,296.00 400.000 Sh Sole 400.000 ISHARES TR RUSSELL 3000 INDEX FD 464287689 $53,009.68 626.000 Sh Sole 626.000 ISHARES TR FTSE XINHUA HK CHINA 25 INDEX FD 464287184 $48,540.00 1,200.000 Sh Sole 1,200.000 ISHARES TR RUSSELL 2000 INDEX FD 464287655 $132,463.57 1,571.000 Sh Sole 1,571.000 ISHARES TR JPMORGAN USD EMERGING MKTS BD FD 464288281 $193,148.67 1,573.000 Sh Sole 1,573.000 ISHARES TR RUSSELL MIDCAP INDEX FD 464287499 $373,230.00 3,300.000 Sh Sole 3,300.000 ISHARES TR MSCI EMERGING MKTS INDEX FD 464287234 $163,740.20 3,692.000 Sh Sole 3,692.000 ISHARES TR MSCI ALL COUNTRY ASIA EX JAPAN INDEX FD 464288182 $599,148.00 9,900.000 Sh Sole 9,900.000 ISHARES TR MSCI EAFE INDEX FD 464287465 $1,150,448.38 20,233.000 Sh Sole 20,233.000 ISHARES TR RUSSELL 1000 INDEX FD 464287622 $2,695,136.65 34,051.000 Sh Sole 34,051.000 ISHARES TR S&P GLOBAL TELECOMMUNICATIONS SECTOR INDEX FD 464287275 $1,950,983.42 34,126.000 Sh Sole 34,126.000 ISHARES TR DOW JONES SELECT DIVID INDEX FD 464287168 $5,064,652.44 88,481.000 Sh Sole 88,481.000 ISHARES TR S&P U S PFD STK INDEX FD 464288687 $68,631,951.18 1,732,255.204 Sh Sole 1,732,255.204 JPMORGAN CHASE & CO ALERIAN MLP INDEX ETN COMMON 46625H365 $510,941.10 13,285.000 Sh Sole 13,285.000 LIMELIGHT NETWORKS INC COM COMMON 53261M104 $499,500.00 1,300,432.000 Sh Sole 1,300,432.000 MARKET VECTORS ETF TR EMERGING MKTS LOCAL CURRENCY DEBT ETF 57060U522 $726,903.45 26,481.000 Sh Sole 26,481.000 MARKET VECTORS ETF TR GOLD MINERS ETF FD 57060U100 $37,310,060.88 804,269.474 Sh Sole 804,269.474 MARKET VECTORS ETF TR JR GOLD MINES ETF 57060U589 $17,026,983.15 860,383.181 Sh Sole 860,383.181 MARKET VECTORS ETF TRUST OIL SVCS ETF 57060U191 $2,283,033.00 59,100.000 Sh Sole 59,100.000 MASTERCARD INC CLASS A 57636Q104 $44,215.20 90.000 Sh Sole 90.000 MICROSOFT CORP COMMON 594918104 $29,487.84 1,104.000 Sh Sole 1,104.000 NETFLIX COM INC COM COMMON 64110L106 $57,868.75 625.000 Sh Sole 625.000 PALO ALTO NETWORKS INC COMMON 697435105 $53,520.00 1,000.000 Sh Sole 1,000.000 POWERSHARES DB COMMODITY INDEX TRACKING FD UNIT BEN INT 73935S105 $250,020.00 9,000.000 Sh Sole 9,000.000 SECTOR SPDR TR SHS BEN INT UTILITIES 81369Y886 $1,911,924.74 54,750.000 Sh Sole 54,750.000 SECTOR SPDR TR SHS BEN INT ENERGY 81369Y506 $24,554,819.63 343,808.732 Sh Sole 343,808.732 SPDR S&P 500 ETF TRUST UNIT SER 1 S&P 78462F103 $426,945.18 2,998.000 Sh Sole 2,998.000 SPDR GOLD TR GOLD SHS 78463V107 $77,785,153.92 480,096.000 Sh Sole 480,096.000 SPDR INDEX SHS FDS S&P EMERGING ASIA PAC ETF 78463X301 $13,965,092.82 180,218.000 Sh Sole 180,218.000 SPDR SER TR BARCLAYS HIGH YIELD BD ETF 78464A417 $54,551.40 1,340.000 Sh Sole 1,340.000 SPDR SER TR DJ WILSHIRE REIT ETF 78464A607 $103,033.64 1,412.000 Sh Sole 1,412.000 SPDR SER TR S&P OIL & GAS EXPL & PRODTN ETF 78464A730 $227,893.12 4,214.000 Sh Sole 4,214.000 SPDR SER TR S&P OIL & GAS EQUIP & SVCS ETF 78464A748 $224,337.60 6,480.000 Sh Sole 6,480.000 SPDR SER TR DB INTL GOVT INFLATION PROTECTED 78464A490 $454,056.84 7,146.000 Sh Sole 7,146.000 UNITED TECHNOLOGIES CORP COMMON 913017109 $36,084.40 440.000 Sh Sole 440.000 VANGUARD BD INDEX FD INC SHORT TERM BD ETF 921937827 $198,425.50 2,450.000 Sh Sole 2,450.000 VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETF 922908769 $184,225.92 2,514.000 Sh Sole 2,514.000 VANGUARD INTL EQUITY FTSE ALL-WORLD EX-US INDEX FD INC INDEX FD ETF SHS 922042775 $25,894.50 566.000 Sh Sole 566.000 VANGUARD INTL EQUITY MSCI EMERGING INDEX FDS MKTS ETF 922042858 $492,902.57 11,069.000 Sh Sole 11,069.000 WELLS FARGO & CO NEW COMMON 949746101 $22,866.42 669.000 Sh Sole 669.000 WISDOMTREE TR INDIA EARNINGS FD 97717W422 $174,330.00 9,000.000 Sh Sole 9,000.000 ZYNGA INC CLASS A 98986T108 $719,800.00 305,000.000 Sh Sole 305,000.000 $335,308,091.96 7,442,243.972