Vice President, Legal Affairs

0000950123-17-008217.txt : 20170824 0000950123-17-008217.hdr.sgml : 20170824 20170823181002 ACCESSION NUMBER: 0000950123-17-008217 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20170824 DATE AS OF CHANGE: 20170823 EFFECTIVENESS DATE: 20170824 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROOKFIELD ASSET MANAGEMENT INC. CENTRAL INDEX KEY: 0001001085 STANDARD INDUSTRIAL CLASSIFICATION: OPERATORS OF NONRESIDENTIAL BUILDINGS [6512] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14349 FILM NUMBER: 171047893 BUSINESS ADDRESS: STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300 STREET 2: PO BOX 762 CITY: TORONTO STATE: A6 ZIP: A6 M5J2T3 BUSINESS PHONE: 416-363-9491 MAIL ADDRESS: STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300 STREET 2: PO BOX 762 CITY: TORONTO STATE: A6 ZIP: A6 M5J2T3 FORMER COMPANY: FORMER CONFORMED NAME: BRASCAN CORP/ DATE OF NAME CHANGE: 20010321 FORMER COMPANY: FORMER CONFORMED NAME: EDPERBRASCAN CORP DATE OF NAME CHANGE: 19970904 FORMER COMPANY: FORMER CONFORMED NAME: BRASCAN LTD DATE OF NAME CHANGE: 19950919 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001001085 XXXXXXXX 09-30-2016 09-30-2016 true 5 RESTATEMENT Brookfield Asset Management Inc.

Brookfield Place, 181 Bay St, Ste 300 PO Box 762 Toronto A6 A6 M5J2T3

13F HOLDINGS REPORT 028-14349 Y THIS HOLDINGS REPORT FOR THE PERIOD ENDED SEPTEMBER 30, 2016 IS BEING RESTATED TO CORRECT THE NUMBER OF SHARES OF NORBORD INC. WHICH WAS PREVIOUSLY MISSTATED. THE TOTAL VALUE OF THE SHARES OF NORBORD INC. WAS CORRECT ON THE ORIGINAL FILING AND THUS HAS NOT BEEN CHANGED. A.J. Silber Vice President, Legal Affairs 416-417-7272 /s/ A.J. Silber Toronto A6 08-22-2017 5 171 18408494 false 1 028-13826 Brookfield Investment Management Inc. 2 028-16270 Brookfield Asset Management Private Institutional Capital Adviser US, LLC 3 028-16296 Brookfield Asset Management Private Institutional Capital Adviser (Credit) LLC 4 028-14362 Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. 5 028-17298 Brookfield Asset Management Private Institutional Capital Adviser (Private Equity), L.P. INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F AES CORP COM 00130H105 1710 133050 SH DFND 1 133050 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 6167 315600 SH DFND 1 315600 0 0 ACADIA RLTY TR COM SH BEN INT 004239109 53649 1480383 SH DFND 1 1128056 0 352327 AGRIUM INC COM 008916108 5232 57692 SH DFND 1 0 0 57692 AMEREN CORP COM 023608102 68321 1389200 SH DFND 1 1136000 0 253200 AMERICAN HOMES 4 RENT CL A 02665T306 136531 6309209 SH DFND 1 5074609 0 1234600 AMERICAN TOWER CORP NEW COM 03027X100 392283 3461423 SH DFND 1 2860044 0 601379 AMERICAN WTR WKS CO INC NEW COM 030420103 115912 1548801 SH DFND 1 1273201 0 275600 ANNALY CAP MGMT INC COM 035710409 2958 281700 SH DFND 1 281700 0 0 APPLE INC COM 037833100 7581 67060 SH DFND 1 67060 0 0 ARCHROCK PARTNERS L P COM UNITS REPSTG 03957U100 2653 180200 SH DFND 1 180200 0 0 AVALONBAY CMTYS INC COM 053484101 153141 861117 SH DFND 1 692926 0 168191 AVANGRID INC COM 05351W103 7174 171700 SH DFND 1 171700 0 0 B & G FOODS INC NEW COM 05508R106 679 13810 SH DFND 1 13810 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 6542 188800 SH DFND 1 0 0 188800 BP PLC SPONSORED ADR 055622104 13673 388886 SH DFND 1 224866 0 164020 BANK AMER CORP COM 060505104 800 51135 SH DFND 1 47160 0 3975 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 42841 2496581 SH DFND 1 1958681 0 537900 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 85113 5448953 SH DFND 1 4300297 0 1148656 BRIXMOR PPTY GROUP INC COM 11120U105 146283 5263879 SH DFND 1 4182179 0 1081700 BROOKDALE SR LIVING INC COM 112463104 149849 8587315 SH DFND 1 6990914 0 1596401 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 1748 127388 SH DFND 1 0 0 127388 BROOKFIELD HIGH INCOME FD IN COM 11272P102 513 70070 SH DFND 1 0 0 70070 BROOKFIELD MTG OPP INC FD IN COM 112792106 352 23450 SH DFND 1 0 0 23450 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 46947 655690 SH DFND 1 498390 0 157300 CBL & ASSOC PPTYS INC COM 124830100 155031 12770300 SH DFND 1 10469065 0 2301235 GROUPE CGI INC CL A SUB VTG 39945C109 7332 154029 SH DFND 1 0 0 154029 CSX CORP COM 126408103 4751 155773 SH DFND 1 155773 0 0 CANADIAN PAC RY LTD COM 13645T100 4657 30500 SH DFND 1 30500 0 0 CARE CAP PPTYS INC COM 141624106 103426 3628998 SH DFND 1 2915873 0 713125 CENTERPOINT ENERGY INC COM 15189T107 38529 1658590 SH DFND 1 1365190 0 293400 CENTURYLINK INC COM 156700106 1257 45820 SH DFND 1 45820 0 0 CHEVRON CORP NEW COM 166764100 5151 50050 SH DFND 1 0 0 50050 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 33672 3636300 SH DFND 1 2953000 0 683300 CIVEO CORP CDA COM 17878Y108 4206 3689322 SH DFND 1 3689322 0 0 COCA COLA CO COM 191216100 6847 161800 SH DFND 1 161800 0 0 COLUMBIA PIPELINE PARTNERS L COM UT REPSTG 198281107 133 8210 SH DFND 1 8210 0 0 COMMUNICATIONS SALES&LEAS IN COM 20341J104 74010 2356251 SH DFND 1 1924551 0 431700 CORENERGY INFRASTRUCTURE TR COM NEW 21870U502 1751 59700 SH DFND 1 59700 0 0 CORENERGY INFRASTRUCTURE TR DEP SHS REPSTG 21870U304 270 10900 SH DFND 1 10900 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 74019 785681 SH DFND 1 690481 0 95200 CYRUSONE INC COM 23283R100 128057 2691972 SH DFND 1 2136972 0 555000 DDR CORP COM 23317H102 15399 883500 SH DFND 1 752800 0 130700 DEVON ENERGY CORP NEW COM 25179M103 2315 52490 SH DFND 1 48800 0 3690 DIAMONDROCK HOSPITALITY CO COM 252784301 51333 5640962 SH DFND 1 4528862 0 1112100 EPR PPTYS PFD C CNV 5.75% 26884U208 104 3403 SH DFND 1 3403 0 0 EQT MIDSTREAM PARTNERS LP UNIT LTD PARTN 26885B100 31519 413691 SH DFND 1 298391 0 115300 EV ENERGY PARTNERS LP COM UNITS 26926V107 38 16011 SH DFND 1 16011 0 0 EDISON INTL COM 281020107 53826 744997 SH DFND 1 640497 0 104500 LILLY ELI & CO COM 532457108 1667 20770 SH DFND 1 19300 0 1470 ENLINK MIDSTREAM PARTNERS LP COM UNIT REP LTD 29336U107 138 7800 SH DFND 1 7800 0 0 ENABLE MIDSTREAM PARTNERS LP COM UNIT RP IN 292480100 145 9500 SH DFND 1 9500 0 0 ENBRIDGE ENERGY MANAGEMENT L SHS UNITS LLI 29250X103 8410 330600 SH DFND 1 330600 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 51540 2026750 SH DFND 1 1583550 0 443200 ENBRIDGE INC COM 29250N105 663 15000 SH DFND 1 0 0 15000 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 27514 1638700 SH DFND 1 1170000 0 468700 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 83242 2249794 SH DFND 1 1790494 0 459300 ENTERPRISE PRODS PARTNERS L COM 293792107 173148 6266661 SH DFND 1 4727361 0 1539300 EQUITY COMWLTH COM SH BEN INT 294628102 67808 2243805 SH DFND 1 1771305 0 472500 EQUITY COMWLTH CUM PFD S D 6.5% 294628201 589 21746 SH DFND 1 21746 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 145623 2263684 SH DFND 1 1792184 0 471500 ESSEX PPTY TR INC COM 297178105 96802 434675 SH DFND 1 343875 0 90800 EXXON MOBIL CORP COM 30231G102 4888 56000 SH DFND 1 0 0 56000 FIRST MAJESTIC SILVER CORP COM 32076V103 2225 215879 SH DFND 1 0 0 215879 FORD MTR CO DEL COM PAR $0.01 345370860 1506 124800 SH DFND 1 124800 0 0 FORTRESS TRANS INFRST INVS L COM REP LTD LIAB 34960P101 6682 534157 SH DFND 1 0 0 534157 GENERAL ELECTRIC CO COM 369604103 2229 75250 SH DFND 1 75250 0 0 GENERAL MLS INC COM 370334104 8285 129696 SH DFND 1 129696 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 477 34193 SH Call DFND 1 34193 0 0 GENERAL MTRS CO COM 37045V100 708 22276 SH DFND 1 22276 0 0 GRAMERCY PPTY TR COM 385002100 165934 17213082 SH DFND 1 13815803 0 3397279 HERSHA HOSPITALITY TR PR SHS BEN INT 427825500 50693 2813169 SH DFND 1 2311840 0 501329 HIGHWOODS PPTYS INC COM 431284108 63882 1225666 SH DFND 1 981066 0 244600 HILTON WORLDWIDE HLDGS INC COM 43300A104 77064 3360827 SH DFND 1 2706778 0 654049 HUDSON PAC PPTYS INC COM 444097109 66293 2016810 SH DFND 1 1592410 0 424400 ION GEOPHYSICAL CORP COM NEW 462044207 259 37750 SH DFND 1 29750 0 8000 PENNY J C INC COM 708160106 2845 308600 SH DFND 1 308600 0 0 JPMORGAN CHASE & CO PUT 46625H955 651 3200 SH Put DFND 1 3200 0 0 JOHNSON & JOHNSON COM 478160104 9055 76656 SH DFND 1 76656 0 0 KELLOGG CO COM 487836108 7601 98120 SH DFND 1 98120 0 0 KINDER MORGAN INC DEL COM 49456B101 242165 10469750 SH DFND 1 8680150 0 1789600 LA QUINTA HLDGS INC COM 50420D108 3001 268400 SH DFND 1 268400 0 0 LASALLE HOTEL PPTYS COM SH BEN INT 517942108 95793 4013093 SH DFND 1 3236528 0 776565 LEXINGTON REALTY TRUST PFD CONV SER C 529043309 342 6459 SH DFND 1 6459 0 0 MGM GROWTH PPTYS LLC CL A COM 55303A105 69862 2679791 SH DFND 1 2234591 0 445200 MPLX LP COM UNIT REP LTD 55336V100 35202 1039637 SH DFND 1 774738 0 264899 MCDONALDS CORP COM 580135101 7377 63950 SH DFND 1 63950 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 81889 5544300 SH DFND 1 4483900 0 1060400 MONDELEZ INTL INC CL A 609207105 12177 277370 SH DFND 1 273200 0 4170 NRG YIELD INC CL C 62942X405 1615 95200 SH DFND 1 95200 0 0 NRG YIELD INC CL A NEW 62942X306 8413 515500 SH DFND 1 515500 0 0 NEW GOLD INC CDA COM 644535106 1616 372732 SH DFND 1 0 0 372732 NEW HOME CO INC COM 645370107 5741 538053 SH DFND 1 538053 0 0 NEXTERA ENERGY INC COM 65339F101 37026 302700 SH DFND 1 302700 0 0 NISOURCE INC COM 65473P105 58061 2408179 SH DFND 1 2129224 0 278955 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC 67059L102 148 5800 SH DFND 1 5800 0 0 ONE GAS INC COM 68235P108 29273 473371 SH DFND 1 403831 0 69540 OMEGA HEALTHCARE INVES INC COM 681936100 98293 2772726 SH DFND 1 2265804 0 506922 OUTFRONT MEDIA INC COM 69007J106 86920 3675254 SH DFND 1 2927482 0 747772 PG&E CORP COM 69331C108 251873 4117589 SH DFND 1 3356889 0 760700 PATTERN ENERGY GROUP INC CL A 70338P100 4838 215100 SH DFND 1 215100 0 0 PEMBINA PIPELINE CORP COM 706327103 35562 1167492 SH DFND 1 1167492 0 0 PFIZER INC COM 717081103 8413 248395 SH DFND 1 244325 0 4070 PHILIP MORRIS INTL INC COM 718172109 7414 76265 SH DFND 1 76265 0 0 PHYSICIANS RLTY TR COM 71943U104 21500 998149 SH DFND 1 751849 0 246300 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 36616 1165732 SH DFND 1 837032 0 328700 POTASH CORP SASK INC COM 73755L107 5188 317900 SH DFND 1 0 0 317900 PROCTER AND GAMBLE CO COM 742718109 7290 81230 SH DFND 1 81230 0 0 RICE MIDSTREAM PARTNERS LP UNIT LTD PARTN 762819100 25166 1037330 SH DFND 1 777530 0 259800 RIO TINTO PLC SPONSORED ADR 767204100 5753 172250 SH DFND 1 0 0 172250 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 13542 256330 SH DFND 1 150300 0 106030 SBA COMMUNICATIONS CORP COM 78388J106 326155 2907940 SH DFND 1 2361440 0 546500 SL GREEN RLTY CORP COM 78440X101 5952 55056 SH DFND 1 44674 0 10382 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 2956 80500 SH DFND 1 80500 0 0 SABRA HEALTH CARE REIT INC COM 78573L106 15115 600269 SH DFND 1 468783 0 131486 SEMPRA ENERGY COM 816851109 68182 636085 SH DFND 1 555885 0 80200 SIMON PPTY GROUP INC NEW COM 828806109 366160 1768805 SH DFND 1 1405848 0 362957 SOUTHWEST GAS CORP COM 844895102 58557 838210 SH DFND 1 715510 0 122700 SPECTRA ENERGY CORP COM 847560109 18099 423369 SH DFND 1 423369 0 0 SPIRE INC COM 84857L101 45472 713400 SH DFND 1 580700 0 132700 STATOIL ASA SPONSORED ADR 85771P102 5401 321500 SH DFND 1 0 0 321500 SUNCOR ENERGY INC NEW COM 867224107 5258 189500 SH DFND 1 0 0 189500 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 34224 1204652 SH DFND 1 898052 0 306600 TOTAL S A SPONSORED ADR 89151E109 4939 103550 SH DFND 1 0 0 103550 TRI POINTE GROUP INC COM 87265H109 3023 229400 SH DFND 1 229400 0 0 TARGA RES CORP COM 87612G101 90326 1839262 SH DFND 1 1601162 0 238100 TOLL BROTHERS INC COM 889478103 9629 322484 SH DFND 1 322484 0 0 TRANSCANADA CORP COM 89353D107 291978 6133454 SH DFND 1 5049854 0 1083600 UNITED STATES OIL FUND LP PUT 91232N958 66 22100 SH Put DFND 1 22100 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 1840 75032 SH DFND 1 0 0 75032 VERIZON COMMUNICATIONS INC COM 92343V104 390 7500 SH DFND 1 7500 0 0 VERMILION ENERGY INC COM 923725105 1035 26740 SH DFND 1 25160 0 1580 VORNADO RLTY TR SH BEN INT 929042109 189662 1873949 SH DFND 1 1502172 0 371777 WCI CMNTYS INC COM PAR $0.01 92923C807 9216 388541 SH DFND 1 388541 0 0 WASHINGTON PRIME GROUP NEW COM 93964W108 47199 3812528 SH DFND 1 3033099 0 779429 WELLS FARGO & CO NEW COM 949746101 1539 34750 SH DFND 1 32300 0 2450 WELLTOWER INC COM 95040Q104 161908 2165408 SH DFND 1 1716708 0 448700 WESTERN GAS PARTNERS LP COM UNIT LP IN 958254104 19262 349908 SH DFND 1 254008 0 95900 WEYERHAEUSER CO COM 962166104 14560 455858 SH DFND 1 307648 0 148210 WILLIAMS COS INC DEL COM 969457100 139749 4547632 SH DFND 1 3822113 0 725519 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR 96949L105 17781 478102 SH DFND 1 478102 0 0 WYNN RESORTS LTD COM 983134107 5373 55149 SH DFND 1 55149 0 0 CALPINE CORP COM 131347304 5056 400000 SH DFND 3 400000 0 0 DYNEGY INC NEW DEL COM 26817R108 2788 225000 SH DFND 3 225000 0 0 GOODYEAR TIRE & RUBBER CO COM 382550101 3230 100000 SH DFND 3 100000 0 0 GOODYEAR TIRE & RUBBER CO COM 382550101 6460 200000 SH Call DFND 3 200000 0 0 HELCA MNG CO COM 422704106 3848 675000 SH DFND 3 675000 0 0 INTERACTIVE BROKERS GROUP IN COM 45841N107 8571 243000 SH DFND 3 243000 0 0 ISHARES TR PUT RUSSELL 2000 ETF 464287655 18694 150500 SH Put DFND 3 150500 0 0 KRATON PERFORMANCE POLYMERS COM 50077C106 14717 420000 SH DFND 3 420000 0 0 PARKER DRILLING CO COM 701081101 4666 2150000 SH DFND 3 2150000 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 2818 250000 SH DFND 3 250000 0 0 SERVICE CORP INTL COM 817565104 8626 325000 SH DFND 3 325000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 72461 335000 SH Put DFND 3 335000 0 0 TERRAFORM PWR INC CL A COM 88104R100 8694 625000 SH DFND 3 625000 0 0 ISHARES TR PUT 20 YR TR BD ETF 464287432 27502 200000 SH Put DFND 3 200000 0 0 WEYERHAEUSER CO PUT COM 962166104 3194 100000 SH Put DFND 3 100000 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT LP Units G16252101 8648 249645 SH DFND 249645 0 0 BROOKFIELD PPTY PARTNERS LP LP UNIT LP Units G16249107 1153616 50332307 SH DFND 50332307 0 0 BROOKFIELD RENEWABLE ENERGY PARTNERS LP LIMITED PARTNERSHIP LP Units G16258108 1572634 51125944 SH DFND 51125944 0 0 General Growth Properties, Inc. COM 370023103 7127248 258233612 SH DFND 2 2877575 0 0 Equity One Inc. COM 294752100 39 1259 SH DFND 2 1259 0 0 Performance Sports Group (PSG) COM 71377G100 23625 6026860 SH DFND 5 6237887 0 0 TRANSALTA CORPORATION COM 89346D107 62209 14007164 SH DFND 4 14007164 0 0 TERRAFORM POWER INC COM 88104R100 145360 10450000 SH DFND 4 10450000 0 0 Brookfield Canada Office Properties TR UNIT 112823109 221445 10564117 SH SOLE 2 221445 0 0 Norbord Inc. COM 65548P403 722329 28084344 SH DFND 0 0 0 Norbord Inc. COM 65548P403 445545 17322897 SH DFND 2 0 0 0 KKR & CO L P DEL COM 48248M102 80828 5668176 SH DFND 5668176 0 0 SPX FLOW INC COM 78469X107 1544 50000 SH DFND 5 50000 0 0 TRINITY INDS INC COM 896522109 18173 750000 SH DFND 5 750000 0 0