Compliance

0001570296-16-000018.txt : 20161110 0001570296-16-000018.hdr.sgml : 20161110 20161110134946 ACCESSION NUMBER: 0001570296-16-000018 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 EFFECTIVENESS DATE: 20161110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Fernwood Investment Management, LLC CENTRAL INDEX KEY: 0001570296 IRS NUMBER: 300156397 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15739 FILM NUMBER: 161987225 BUSINESS ADDRESS: STREET 1: 400 CROWN COLONY STREET 2: SUITE 101 CITY: QUINCY STATE: MA ZIP: 02169 BUSINESS PHONE: 617-376-4750 MAIL ADDRESS: STREET 1: 400 CROWN COLONY STREET 2: SUITE 101 CITY: QUINCY STATE: MA ZIP: 02169 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001570296 XXXXXXXX 09-30-2016 09-30-2016 Fernwood Investment Management, LLC

400 CROWN COLONY SUITE 101 QUINCY MA 02169

13F HOLDINGS REPORT 028-15739 N Collette B Rajotte Compliance 617-376-4750 Collette B Rajotte Quincy MA 11-10-2016 0 124 109163 false INFORMATION TABLE 2 13F093016.XML CABELAS INC COM Stock 126804301 547 9950 SH SOLE 0 9950 0 0 MYOKARDIA INC COM Stock 62857M105 523 32000 SH SOLE 0 32000 0 0 TECHNOLOGY SELECT SECTOR SPDR FUND ETF 81369Y803 262 5481 SH SOLE 0 5481 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN MLP 118230101 229 3200 SH SOLE 0 3200 0 0 ISHARES MSCI CANADA ETF ETF 464286509 1669 64973 SH SOLE 0 64973 0 0 EBAY INC COM Stock 278642103 336 10220 SH SOLE 0 10220 0 0 NEVSUN RES LTD COM Stock 64156L101 207 68200 SH SOLE 0 68200 0 0 JOHNSON & JOHNSON COM Stock 478160104 2266 19183 SH SOLE 0 19183 0 0 GENERAL MOLY INC COM Stock 370373102 31 110046 SH SOLE 0 110046 0 0 YUM BRANDS INC COM Stock 988498101 1500 16517 SH SOLE 0 16517 0 0 BOSTON SCIENTIFIC CORP COM Stock 101137107 1066 44774 SH SOLE 0 44774 0 0 F5 NETWORKS INC COM Stock 315616102 661 5300 SH SOLE 0 5300 0 0 DREYFUS HIGH YIELD STRATEGIES SH BEN INT CEF 26200S101 106 30900 SH SOLE 0 30900 0 0 OCCIDENTAL PETE CORP DEL COM Stock 674599105 766 10510 SH SOLE 0 10510 0 0 UNITED PARCEL SERVICE INC Stock 911312106 955 8735 SH SOLE 0 8735 0 0 BIOGEN INC COM Stock 09062X103 3148 10055 SH SOLE 0 10055 0 0 MEDTRONIC PLC SHS Stock G5960L103 1350 15623 SH SOLE 0 15623 0 0 CLOROX CO DEL COM Stock 189054109 214 1710 SH SOLE 0 1710 0 0 WATERS CORP COM Stock 941848103 654 4125 SH SOLE 0 4125 0 0 INVESCO SR INCOME TR COM CEF 46131H107 190 43876 SH SOLE 0 43876 0 0 SBA COMMUNICATIONS CORP COM Stock 78388J106 1481 13200 SH SOLE 0 13200 0 0 ASHFORD HOSPITALITY TR INC COM SHS REIT 044103109 77 13100 SH SOLE 0 13100 0 0 SAFETY INS GROUP INC COM Stock 78648T100 571 8500 SH SOLE 0 8500 0 0 MEAD JOHNSON NUTRITION CO COM Stock 582839106 978 12375 SH SOLE 0 12375 0 0 INGERSOLL-RAND PLC SHS Stock G47791101 511 7522 SH SOLE 0 7522 0 0 FORD MTR CO DEL COM PAR $0.01 Stock 345370860 208 17252 SH SOLE 0 17252 0 0 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 485 5500 SH SOLE 0 5500 0 0 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 329 4567 SH SOLE 0 4567 0 0 AMERISOURCEBERGEN CORP COM Stock 03073E105 1028 12725 SH SOLE 0 12725 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 276 1910 SH SOLE 0 1910 0 0 WEYERHAEUSER CO COM REIT 962166104 1887 59080 SH SOLE 0 59080 0 0 ALPHABET INC CAP STK CL A Stock 02079K305 1050 1306 SH SOLE 0 1306 0 0 O REILLY AUTOMOTIVE INC NEW COM Stock 67103H107 447 1595 SH SOLE 0 1595 0 0 GENERAC HLDGS INC COM Stock 368736104 724 19950 SH SOLE 0 19950 0 0 MICROSOFT Stock 594918104 432 7500 SH SOLE 0 7500 0 0 HCP INC COM REIT 40414L109 621 16376 SH SOLE 0 16376 0 0 SCHLUMBERGER LTD COM Stock 806857108 318 4050 SH SOLE 0 4050 0 0 CVS HEALTH CORP COM Stock 126650100 4192 47107 SH SOLE 0 47107 0 0 ISHARES MSCI BRAZIL INDEX FD ETF ETF 464286400 378 11205 SH SOLE 0 11205 0 0 ARES CAP CORP COM CEF 04010L103 1889 121856 SH SOLE 0 121856 0 0 ZIOPHARM ONCOLOGY INC COM Stock 98973P101 56 10000 SH SOLE 0 10000 0 0 CBOE HLDGS INC COM Stock 12503M108 263 4050 SH SOLE 0 4050 0 0 ALIGN TECHNOLOGY INC COM Stock 016255101 2454 26175 SH SOLE 0 26175 0 0 DOLLAR TREE INC COM Stock 256746108 381 4825 SH SOLE 0 4825 0 0 COLUMBIA EMERGING MARKETS CONSUMER ETF ETF 19762B509 608 24480 SH SOLE 0 24480 0 0 LYONDELLBASELL INDUSTRIES N V SHS - A - Stock N53745100 936 11608 SH SOLE 0 11608 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN MLP 29273R109 281 7592 SH SOLE 0 7592 0 0 ETFS PHYSICAL PRECIOUS METAL BASKET SHARES ETF 26922W109 240 3600 SH SOLE 0 3600 0 0 ILLUMINA INC COM Stock 452327109 1054 5800 SH SOLE 0 5800 0 0 ENBRIDGE ENERGY PARTNERS L P COM MLP 29250R106 374 14700 SH SOLE 0 14700 0 0 NATIONAL OILWELL VARCO INC COM Stock 637071101 555 15114 SH SOLE 0 15114 0 0 DIGITAL RLTY TR INC COM REIT 253868103 673 6925 SH SOLE 0 6925 0 0 DARLING INGREDIENTS INC COM Stock 237266101 153 11300 SH SOLE 0 11300 0 0 SYNAPTICS INC COM Stock 87157D109 1474 25165 SH SOLE 0 25165 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP MLP 559080106 246 3478 SH SOLE 0 3478 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS ADR 22943F100 503 10800 SH SOLE 0 10800 0 0 TRACTOR SUPPLY CO COM Stock 892356106 712 10570 SH SOLE 0 10570 0 0 MICHAEL KORS HLDGS LTD SHS Stock G60754101 257 5500 SH SOLE 0 5500 0 0 VISA INC COM CL A Stock 92826C839 1844 22300 SH SOLE 0 22300 0 0 HERSHEY CO COM Stock 427866108 535 5600 SH SOLE 0 5600 0 0 MACOM TECH SOLUTIONS HLDGS INC COM Stock 55405Y100 402 9500 SH SOLE 0 9500 0 0 PHILLIPS 66 COM Stock 718546104 1541 19133 SH SOLE 0 19133 0 0 IRON MTN INC NEW COM REIT 46284V101 2539 67649 SH SOLE 0 67648 0 0 FACEBOOK INC CL A Stock 30303M102 2523 19668 SH SOLE 0 19668 0 0 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 1394 55058 SH SOLE 0 55058 0 0 CELGENE CORP COM Stock 151020104 290 2775 SH SOLE 0 2775 0 0 STONEMOR PARTNERS L P COM UNITS MLP 86183Q100 2603 103945 SH SOLE 0 103945 0 0 BROADCOM LTD SHS Stock Y09827109 302 1750 SH SOLE 0 1750 0 0 KINDER MORGAN INC DEL COM Stock 49456B101 679 29370 SH SOLE 0 29370 0 0 ACCENTURE PLC IRELAND SHS CLASS A Stock G1151C101 316 2590 SH SOLE 0 2590 0 0 GRAINGER W W INC COM Stock 384802104 399 1776 SH SOLE 0 1776 0 0 GERON CORP COM Stock 374163103 36 16000 SH SOLE 0 16000 0 0 ABBVIE INC COM Stock 00287Y109 1041 16505 SH SOLE 0 16505 0 0 WELLS FARGO & CO NEW PERP PFD CNV A Convertible Preferred 949746804 524 400 SH SOLE 0 400 0 0 MCDONALDS CORP COM Stock 580135101 382 3312 SH SOLE 0 3312 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 5377 236752 SH SOLE 0 236752 0 0 CISCO SYS INC COM Stock 17275R102 218 6862 SH SOLE 0 6862 0 0 CHEMOCENTRYX INC COM Stock 16383L106 60 10000 SH SOLE 0 10000 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 220 3115 SH SOLE 0 3115 0 0 ISHARES U.S. CONSUMER GOODS ETF ETF 464287812 3404 29887 SH SOLE 0 29887 0 0 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 217 2714 SH SOLE 0 2714 0 0 UNION PAC CORP COM Stock 907818108 1875 19220 SH SOLE 0 19220 0 0 ALLIANCE DATA SYSTEMS CORP COM Stock 018581108 799 3725 SH SOLE 0 3725 0 0 ISHARES U.S. PREFERRED STOCK ETF ETF 464288687 230 5815 SH SOLE 0 5815 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 602 6020 SH SOLE 0 6020 0 0 GOLAR LNG LTD BERMUDA SHS Stock G9456A100 1545 72900 SH SOLE 0 72900 0 0 CHEVRON CORP NEW COM Stock 166764100 355 3448 SH SOLE 0 3448 0 0 CONOCOPHILLIPS COM Stock 20825C104 1257 28909 SH SOLE 0 28909 0 0 DANAHER CORP DEL COM Stock 235851102 254 3236 SH SOLE 0 3236 0 0 EXPRESS SCRIPTS HLDG CO COM Stock 30219G108 334 4732 SH SOLE 0 4732 0 0 ISHARES MSCI GERMANY ETF ETF 464286806 470 17892 SH SOLE 0 17892 0 0 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 237 1494 SH SOLE 0 1494 0 0 TEVA PHARMACEUTICAL INDS LTD ADR ADR 881624209 823 17891 SH SOLE 0 17891 0 0 VANECK VECTORS AGRIBUSINESS ETF ETF 92189F700 1571 31450 SH SOLE 0 31450 0 0 GILEAD SCIENCES INC COM Stock 375558103 3948 49901 SH SOLE 0 49901 0 0 CATERPILLAR INC DEL COM Stock 149123101 879 9900 SH SOLE 0 9900 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 1031 1326 SH SOLE 0 1326 0 0 NEWFIELD EXPL CO COM Stock 651290108 1395 32100 SH SOLE 0 32100 0 0 WILLIAMS COS INC DEL COM Stock 969457100 984 32035 SH SOLE 0 32035 0 0 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR MLP 96949L105 395 10624 SH SOLE 0 10624 0 0 INSULET CORP 2% 06/15/2019 Convertible 45784PAD3 109 100000 SH SOLE 0 100000 0 0 SAGE THERAPEUTICS INC COM Stock 78667J108 241 5235 SH SOLE 0 5235 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 879 8310 SH SOLE 0 8310 0 0 PHILIP MORRIS INTL INC COM Stock 718172109 2242 23058 SH SOLE 0 23058 0 0 NUCOR CORP COM Stock 670346105 353 7148 SH SOLE 0 7148 0 0 VANGUARD MEGA CAP GROWTH ETF ETF 921910816 353 4036 SH SOLE 0 4036 0 0 ALTRIA GROUP INC COM Stock 02209S103 3932 62188 SH SOLE 0 62188 0 0 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 260 2215 SH SOLE 0 2215 0 0 EXXON MOBIL CORP COM Stock 30231G102 2015 23090 SH SOLE 0 23090 0 0 SPDR CITI INTERNATIONAL GOVERNMENT INFLATION-PROTECTED BOND ETF ETF 78464A490 282 4950 SH SOLE 0 4950 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 489 6600 SH SOLE 0 6600 0 0 BLUEPRINT MEDICINES CORP COM Stock 09627Y109 208 7000 SH SOLE 0 7000 0 0 AMERICAN INTL GROUP INC COM NEW Stock 026874784 414 6970 SH SOLE 0 6970 0 0 DEVON ENERGY CORP NEW COM Stock 25179M103 258 5850 SH SOLE 0 5850 0 0 ISHARES U.S. UTILITIES ETF ETF 464287697 956 7797 SH SOLE 0 7797 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 441 10770 SH SOLE 0 10770 0 0 GLOBAL BLOOD THERAPEUTICS INC COM Stock 37890U108 922 40000 SH SOLE 0 40000 0 0 ARRAY BIOPHARMA INC 3% 06/01/2020 Convertible 04269XAA3 106 90000 SH SOLE 0 90000 0 0 REGENXBIO INC COM Stock 75901B107 541 38600 SH SOLE 0 38600 0 0 APPLE INC COM Stock 037833100 958 8470 SH SOLE 0 8470 0 0 ABBOTT LABS COM Stock 002824100 253 5980 SH SOLE 0 5980 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 213 2291 SH SOLE 0 2291 0 0 PURE STORAGE INC CL A Stock 74624M102 156 11500 SH SOLE 0 11500 0 0 LIVANOVA PLC SHS Stock G5509L101 972 16172 SH SOLE 0 16172 0 0