0001634047-17-000007.txt : 20170314 0001634047-17-000007.hdr.sgml : 20170314 20170314101033 ACCESSION NUMBER: 0001634047-17-000007 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170314 DATE AS OF CHANGE: 20170314 EFFECTIVENESS DATE: 20170314 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vident Investment Advisory, LLC CENTRAL INDEX KEY: 0001634047 IRS NUMBER: 471618011 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16741 FILM NUMBER: 17687127 BUSINESS ADDRESS: STREET 1: 300 COLONIAL CENTER PARKWAY STREET 2: SUITE 330 CITY: ROSWELL STATE: GA ZIP: 30076 BUSINESS PHONE: 404-487-1961 MAIL ADDRESS: STREET 1: 300 COLONIAL CENTER PARKWAY STREET 2: SUITE 330 CITY: ROSWELL STATE: GA ZIP: 30076 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001634047 XXXXXXXX 12-31-2016 12-31-2016 true 1 RESTATEMENT false Vident Investment Advisory, LLC

300 Colonial Center Parkway Suite 330 Roswell GA 30076

13F COMBINATION REPORT 028-16741 0001457320 EXCHANGE TRADED CONCEPTS, LLC 0001672826 OSI ETF Trust 0001632494 Amplify Investments, LLC N Anne Czizek 415-463-1013 /s/ Anne Czizek San Francisco CA 03-14-2017 3 406 823881 1 0001457320 EXCHANGE TRADED CONCEPTS, LLC 2 0001672826 OSI ETF Trust 3 0001632494 Amplify Investments, LLC INFORMATION TABLE 2 infotable.xml AFLAC INC COM 001055102 2291 32923 SH DFND 1 0 32923 0 ABERCROMBIE & FITCH CO CL A 002896207 1345 112054 SH DFND 1 0 112054 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 4790 1034559 SH DFND 3 0 1034559 0 ABIOMED INC COM 003654100 351 3112 SH DFND 1 0 3112 0 ACCURAY INC COM 004397105 2285 496716 SH DFND 1 0 496716 0 ADVAXIS INC COM NEW 007624208 650 90785 SH DFND 1 0 90785 0 AEROVIRONMENT INC COM 008073108 2543 94774 SH DFND 1 0 94774 0 ALCOA CORP COM 013872106 669 23808 SH DFND 1 0 23808 0 ALLIANZGI CONV & INCOME FD COM 018828103 5240 822624 SH DFND 3 0 822624 0 ALLSTATE CORP COM 020002101 2582 34842 SH DFND 1 0 34842 0 ALPINE TOTAL 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10 444 SH DFND 2 0 444 0 DSW INC CL A 23334L102 1027 45363 SH DFND 1 0 45363 0 DAVITA INC COM 23918K108 2037 31731 SH DFND 1 0 31731 0 DENTSPLY SIRONA INC COM 24906P109 334 5780 SH DFND 1 0 5780 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 1801 101768 SH DFND 1 0 101768 0 DIGITALGLOBE INC COM NEW 25389M877 3055 106620 SH DFND 1 0 106620 0 EPR PPTYS COM SH BEN INT 26884U109 12 174 SH DFND 2 0 174 0 EPR PPTYS COM SH BEN INT 26884U109 360 5022 SH DFND 1 0 5022 0 EATON VANCE LTD DUR INCOME F COM 27828H105 5157 375565 SH DFND 3 0 375565 0 EATON VANCE TX MGD DIV EQ IN COM 27828N102 1441 139508 SH DFND 3 0 139508 0 EATON VANCE TAX MNGD GBL DV COM 27829F108 4367 546504 SH DFND 3 0 546504 0 EMCOR GROUP INC COM 29084Q100 3329 47052 SH DFND 1 0 47052 0 EMERGENT BIOSOLUTIONS INC COM 29089Q105 962 29283 SH DFND 1 0 29283 0 EXELON CORP COM 30161N101 2351 66239 SH DFND 1 0 66239 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 2127 30927 SH DFND 1 0 30927 0 FMC TECHNOLOGIES INC COM 30249U101 4458 125466 SH DFND 1 0 125466 0 FACEBOOK INC CL A 30303M102 801 5590 SH DFND 1 0 5590 0 FINISAR CORP COM NEW 31787A507 3943 130266 SH DFND 1 0 130266 0 FIRST AMERN FINL CORP COM 31847R102 6 152 SH DFND 2 0 152 0 FIRST AMERN FINL CORP COM 31847R102 1994 54443 SH DFND 1 0 54443 0 FIRST TR INTER DUR PFD & IN COM 33718W103 2091 92232 SH DFND 3 0 92232 0 FIVE PRIME THERAPEUTICS INC COM 33830X104 3284 65541 SH DFND 1 0 65541 0 GW PHARMACEUTICALS PLC ADS 36197T103 334 2988 SH DFND 1 0 2988 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 4960 941229 SH DFND 3 0 941229 0 GAMESTOP CORP NEW CL A 36467W109 15 594 SH DFND 2 0 594 0 GAMESTOP CORP NEW CL A 36467W109 1850 73246 SH DFND 1 0 73246 0 GANNETT CO INC COM 36473H104 4 408 SH DFND 2 0 408 0 GANNETT CO INC COM 36473H104 1291 132995 SH DFND 1 0 132995 0 GENERAL MTRS CO COM 37045V100 500 14344 SH DFND 1 0 14344 0 GREEN DOT CORP CL A 39304D102 1696 71999 SH DFND 1 0 71999 0 HCA HOLDINGS INC COM 40412C101 2223 30030 SH DFND 1 0 30030 0 HP INC COM 40434L105 2543 171393 SH DFND 1 0 171393 0 HALYARD HEALTH INC COM 40650V100 2602 70359 SH DFND 1 0 70359 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 1348 152805 SH DFND 1 0 152805 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 2949 127440 SH DFND 1 0 127440 0 HOST HOTELS & RESORTS INC COM 44107P104 2779 147491 SH DFND 1 0 147491 0 IES HLDGS INC COM 44951W106 334 17442 SH DFND 1 0 17442 0 IPG PHOTONICS CORP COM 44980X109 1313 13302 SH DFND 1 0 13302 0 INCYTE CORP COM 45337C102 805 6065 SH DFND 1 0 6065 0 INNOSPEC INC COM 45768S105 2096 30599 SH DFND 1 0 30599 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 737 106147 SH DFND 1 0 106147 0 INTUITIVE SURGICAL INC COM NEW 46120E602 2561 4038 SH DFND 1 0 4038 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 1443 117418 SH DFND 3 0 117418 0 JUNIPER NETWORKS INC COM 48203R104 2293 81123 SH DFND 1 0 81123 0 JUNO THERAPEUTICS INC COM 48205A109 744 39480 SH DFND 1 0 39480 0 KCG HLDGS INC CL A 48244B100 1614 121821 SH DFND 1 0 121821 0 KITE PHARMA INC COM 49803L109 671 14968 SH DFND 1 0 14968 0 LION BIOTECHNOLOGIES INC COM 53619R102 727 104616 SH DFND 1 0 104616 0 LOGMEIN INC COM 54142L109 318 3296 SH DFND 1 0 3296 0 MKS INSTRUMENT INC COM 55306N104 18 308 SH DFND 2 0 308 0 MKS INSTRUMENT INC COM 55306N104 2905 48910 SH DFND 1 0 48910 0 MRC GLOBAL INC COM 55345K103 3529 174180 SH DFND 1 0 174180 0 MANULIFE FINL CORP COM 56501R106 3422 192396 SH DFND 1 0 192396 0 MCKESSON CORP COM 58155Q103 2110 15026 SH DFND 1 0 15026 0 MERCK & CO INC COM 58933Y105 848 14397 SH DFND 1 0 14397 0 METLIFE INC COM 59156R108 3102 57567 SH DFND 1 0 57567 0 MOLINA HEALTHCARE INC COM 60855R100 2016 37146 SH DFND 1 0 37146 0 MOSAIC CO NEW COM 61945C103 382 13023 SH DFND 1 0 13023 0 NANTKWEST INC COM 63016Q102 661 115579 SH DFND 1 0 115579 0 NETAPP INC COM 64110D104 3254 92264 SH DFND 1 0 92264 0 NETEASE INC SPONSORED ADR 64110W102 326 1516 SH DFND 1 0 1516 0 NETGEAR INC COM 64111Q104 2694 49561 SH DFND 1 0 49561 0 NEWS CORP NEW CL A 65249B109 129 11267 SH DFND 1 0 11267 0 NOVARTIS A G SPONSORED ADR 66987V109 762 10465 SH DFND 1 0 10465 0 NOW INC COM 67011P100 2455 119923 SH DFND 1 0 119923 0 NU SKIN ENTERPRISES INC CL A 67018T105 2158 45168 SH DFND 1 0 45168 0 NUANCE COMMUNICATIONS INC COM 67020Y100 1328 89153 SH DFND 1 0 89153 0 NVIDIA CORP COM 67066G104 1277 11960 SH DFND 1 0 11960 0 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 1053 107298 SH DFND 3 0 107298 0 PAYPAL HLDGS INC COM 70450Y103 700 17726 SH DFND 1 0 17726 0 PILGRIMS PRIDE CORP NEW COM 72147K108 1821 95882 SH DFND 1 0 95882 0 PIMCO CORPORATE & INCOME OPP COM 72201B101 4321 302152 SH DFND 3 0 302152 0 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 5295 262012 SH DFND 3 0 262012 0 PRINCIPAL FINL GROUP INC COM 74251V102 3263 56389 SH DFND 1 0 56389 0 PROSHARES TR II VIX SHORT TERM F 74347W262 257 12100 SH DFND 1 0 12100 0 PROSHARES TR II SHT VIX ST TRM 74347W627 528 5800 SH DFND 1 0 5800 0 PRUDENTIAL GLB SHT DUR HG YL COM 74433A109 4962 333936 SH DFND 3 0 333936 0 PRUDENTIAL SHT DURATION HG Y COM 74442F107 3569 230838 SH DFND 3 0 230838 0 QEP RES INC COM 74733V100 2418 131367 SH DFND 1 0 131367 0 QUEST DIAGNOSTICS INC COM 74834L100 2604 28334 SH DFND 1 0 28334 0 RLJ LODGING TR COM 74965L101 8 342 SH DFND 2 0 342 0 RLJ LODGING TR COM 74965L101 2364 96529 SH DFND 1 0 96529 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 44029 196964 SH DFND 1 0 196964 0 SPX FLOW INC COM 78469X107 2486 77544 SH DFND 1 0 77544 0 SEALED AIR CORP NEW COM 81211K100 345 7607 SH DFND 1 0 7607 0 SHIRE PLC SPONSORED ADR 82481R106 340 1994 SH DFND 1 0 1994 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 696 142114 SH DFND 1 0 142114 0 SPRINT CORP COM SER 1 85207U105 4560 541521 SH DFND 1 0 541521 0 SWIFT TRANSN CO CL A 87074U101 3339 137063 SH DFND 1 0 137063 0 SYNNEX CORP COM 87162W100 2767 22868 SH DFND 1 0 22868 0 TARGA RES CORP COM 87612G101 3434 61246 SH DFND 1 0 61246 0 3-D SYS CORP DEL COM NEW 88554D205 1316 99014 SH DFND 1 0 99014 0 3M CO COM 88579Y101 376 2107 SH DFND 1 0 2107 0 UNITEDHEALTH GROUP INC COM 91324P102 2801 17500 SH DFND 1 0 17500 0 UNUM GROUP COM 91529Y106 3276 74568 SH DFND 1 0 74568 0 VALERO ENERGY CORP NEW COM 91913Y100 3410 49908 SH DFND 1 0 49908 0 VARIAN MED SYS INC COM 92220P105 1318 14681 SH DFND 1 0 14681 0 VEREIT INC COM 92339V100 135 15976 SH DFND 1 0 15976 0 VERIZON COMMUNICATIONS INC COM 92343V104 2330 43641 SH DFND 1 0 43641 0 VISA INC COM CL A 92826C839 465 3397 SH DFND 1 0 3397 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 4642 686733 SH DFND 3 0 686733 0 WELLCARE HEALTH PLANS INC COM 94946T106 3061 22327 SH DFND 1 0 22327 0 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 4134 489173 SH DFND 3 0 489173 0 WELLS FARGO MULTI SECTOR INC COM 94987D101 3245 252891 SH DFND 3 0 252891 0 WESCO INTL INC COM 95082P105 2965 44546 SH DFND 1 0 44546 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 5068 343845 SH DFND 3 0 343845 0 WESTERN ASSET HIGH INCM FD I COM 95766J102 4270 603900 SH DFND 3 0 603900 0 XENCOR INC COM 98401F105 759 28856 SH DFND 1 0 28856 0 ZAYO GROUP HLDGS INC COM 98919V105 331 10086 SH DFND 1 0 10086 0 ZIMMER BIOMET HLDGS INC COM 98956P102 357 3455 SH DFND 1 0 3455 0 ZIOPHARM ONCOLOGY INC COM 98973P101 615 114980 SH DFND 1 0 114980 0 AMDOCS LTD SHS G02602103 2402 41242 SH DFND 1 0 41242 0 AMBARELLA INC SHS G037AX101 1341 24768 SH DFND 1 0 24768 0 BUNGE LIMITED COM G16962105 2439 33769 SH DFND 1 0 33769 0 CREDICORP LTD COM G2519Y108 2974 18839 SH DFND 1 0 18839 0 EATON CORP PLC SHS G29183103 2823 42079 SH DFND 1 0 42079 0 FRESH DEL MONTE PRODUCE INC ORD G36738105 2616 43141 SH DFND 1 0 43141 0 HOLLYSYS AUTOMATION TECHNOLO SHS G45667105 2547 139052 SH DFND 1 0 139052 0 ICON PLC SHS G4705A100 777 10338 SH DFND 1 0 10338 0 ROWAN COMPANIES PLC SHS CL A G7665A101 2706 143238 SH DFND 1 0 143238 0 PERRIGO CO PLC SHS G97822103 332 3984 SH DFND 1 0 3984 0 TRANSOCEAN LTD REG SHS H8817H100 3462 234877 SH DFND 1 0 234877 0 TRINSEO S A SHS L9340P101 3474 58579 SH DFND 1 0 58579 0 COMPUGEN LTD ORD M25722105 640 125514 SH DFND 1 0 125514 0 ELBIT SYS LTD ORD M3760D101 1368 13563 SH DFND 1 0 13563 0 STRATASYS LTD SHS M85548101 1314 79472 SH DFND 1 0 79472 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 1602 175720 SH DFND 1 0 175720 0 MOBILEYE N V AMSTELVEEN ORD SHS N51488117 1314 34464 SH DFND 1 0 34464 0 BROADCOM LTD SHS Y09827109 382 2162 SH DFND 1 0 2162 0 FLEX LTD ORD Y2573F102 2959 205893 SH DFND 1 0 205893 0