0001580642-17-002994.txt : 20170515 0001580642-17-002994.hdr.sgml : 20170515 20170515120345 ACCESSION NUMBER: 0001580642-17-002994 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 440 INVESTMENT GROUP, LLC CENTRAL INDEX KEY: 0001473174 IRS NUMBER: 262049980 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18065 FILM NUMBER: 17842518 BUSINESS ADDRESS: STREET 1: 5700 W 112TH ST STREET 2: SUITE 500 CITY: OVERLAND PARK STATE: KS ZIP: 66211 BUSINESS PHONE: 913-647-9700 MAIL ADDRESS: STREET 1: 5700 W 112TH ST STREET 2: SUITE 500 CITY: OVERLAND PARK STATE: KS ZIP: 66211 FORMER COMPANY: FORMER CONFORMED NAME: MARINER ALTERNATIVE ASSET MANAGEMENT, LLC DATE OF NAME CHANGE: 20090925 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001473174 XXXXXXXX 03-31-2017 03-31-2017 false 440 INVESTMENT GROUP, LLC

5700 W 112th St Suite 500 Overland Park KS 66211

13F HOLDINGS REPORT 028-18065 N Bethanie Glawson 913-378-9179 /s/ Bethanie Glawson Overland Park KS 05-02-2017 0 77 111884 INFORMATION TABLE 2 infotable.xml SPDR S&P 500 ETF TR TR UNIT 78462F103 3814 16181 SH DFND 16181 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 366 6931 SH DFND 6931 0 0 ALTRIA GROUP INC COM 02209S103 299 4192 SH DFND 4192 0 0 INTEL CORP COM 458140100 1204 33371 SH DFND 33371 0 0 KEYCORP NEW COM 493267108 821 46200 SH DFND 46200 0 0 DISNEY WALT CO COM DISNEY 254687106 3097 27312 SH DFND 27312 0 0 HONEYWELL INTL INC COM 438516106 752 6019 SH DFND 6019 0 0 MONDELEZ INTL INC CL A 609207105 408 9466 SH DFND 9466 0 0 HP INC COM 40434L105 199 11138 SH DFND 11138 0 0 WILLIAMS COS INC DEL COM 969457100 317 10707 SH DFND 10707 0 0 WELLS FARGO & CO NEW COM 949746101 8587 154270 SH DFND 154270 0 0 UNITEDHEALTH GROUP INC COM 91324P102 424 2585 SH DFND 2585 0 0 UNITED TECHNOLOGIES CORP COM 913017109 474 4225 SH DFND 4225 0 0 3M CO COM 88579Y101 1212 6336 SH DFND 6336 0 0 COMCAST CORP NEW CL A 20030N101 440 11717 SH DFND 11717 0 0 NEXTERA ENERGY INC COM 65339F101 258 2013 SH DFND 2013 0 0 APPLE INC COM 037833100 5604 39007 SH DFND 39007 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 329 11000 SH DFND 11000 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 296 4700 SH DFND 4700 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 223 2450 SH DFND 2450 0 0 US BANCORP DEL COM NEW 902973304 15172 294600 SH DFND 294600 0 0 JOHNSON & JOHNSON COM 478160104 1368 10983 SH DFND 10983 0 0 MEDTRONIC PLC SHS G5960L103 441 5479 SH DFND 5479 0 0 PFIZER INC COM 717081103 504 14742 SH DFND 14742 0 0 KROGER CO COM 501044101 576 19544 SH DFND 19544 0 0 AMERISOURCEBERGEN CORP COM 03073e105 585 6615 SH DFND 6615 0 0 CHEVRON CORP NEW COM 166764100 1097 10219 SH DFND 10219 0 0 MICROSOFT CORP COM 594918104 7884 119706 SH DFND 119706 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2012 18749 SH DFND 18749 0 0 AT&T INC COM 00206R102 553 13300 SH DFND 13300 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4493 25802 SH DFND 25802 0 0 COCA COLA CO COM 191216100 2530 59625 SH DFND 59625 0 0 LOCKHEED MARTIN CORP COM 539830109 653 2442 SH DFND 2442 0 0 PEPSICO INC COM 713448108 2542 22728 SH DFND 22728 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 4015 48347 SH DFND 48347 0 0 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 734 9500 SH DFND 9500 0 0 CELGENE CORP COM 151020104 5128 41212 SH DFND 41212 0 0 HALLIBURTON CO COM 406216101 985 20014 SH DFND 20014 0 0 FLUOR CORP NEW COM 343412102 263 5000 SH DFND 5000 0 0 NEWMONT MINING CORP COM 651639106 758 23000 SH DFND 23000 0 0 INVESCO LTD SHS G491BT108 647 21120 SH DFND 21120 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1600 14224 SH DFND 14224 0 0 ISHARES TR NATIONAL MUN ETF 464288414 244 2235 SH DFND 2235 0 0 VISA INC COM CL A 92826C839 394 4434 SH DFND 4434 0 0 PHILIP MORRIS INTL INC COM 718172109 502 4450 SH DFND 4450 0 0 STARBUCKS CORP COM 855244109 2331 39928 SH DFND 39928 0 0 EXXON MOBIL CORP COM 30231G102 1034 12604 SH DFND 12604 0 0 WAL-MART STORES INC COM 931142103 888 12314 SH DFND 12314 0 0 UNION PAC CORP COM 907818108 635 5997 SH DFND 5997 0 0 TEXAS INSTRS INC COM 882508104 242 3008 SH DFND 3008 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 700 21329 SH DFND 21329 0 0 COLGATE PALMOLIVE CO COM 194162103 200 2731 SH DFND 2731 0 0 LILLY ELI & CO COM 532457108 646 7682 SH DFND 7682 0 0 CVS HEALTH CORP COM 126650100 626 7977 SH DFND 7977 0 0 MCKESSON CORP COM 58155Q103 907 6119 SH DFND 6119 0 0 MERCK & CO INC COM 58933Y105 1198 18853 SH DFND 18853 0 0 PROCTER AND GAMBLE CO COM 742718109 999 11124 SH DFND 11124 0 0 GENERAL ELECTRIC CO COM 369604103 673 22600 SH DFND 22600 0 0 GILEAD SCIENCES INC COM 375558103 1704 25095 SH DFND 25095 0 0 HOME DEPOT INC COM 437076102 882 6004 SH DFND 6004 0 0 MCDONALDS CORP COM 580135101 2882 22235 SH DFND 22235 0 0 NIKE INC CL B 654106103 550 9875 SH DFND 9875 0 0 JPMORGAN CHASE & CO COM 46625H100 1248 14207 SH DFND 14207 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 669 11232 SH DFND 11232 0 0 DONALDSON INC COM 257651109 905 19880 SH DFND 19880 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 483 5629 SH DFND 5629 0 0 ABBVIE INC COM 00287Y109 216 3317 SH DFND 3317 0 0 EOG RES INC COM 26875P101 718 7360 SH DFND 7360 0 0 VALERO ENERGY CORP NEW COM 91913Y100 528 7961 SH DFND 7961 0 0 PNC FINL SVCS GROUP INC COM 693475105 942 7833 SH DFND 7833 0 0 ISHARES TR CORE US AGGBD ET 464287226 510 4700 SH DFND 4700 0 0 CHICAGO BRIDGE & IRON CO N V COM 167250109 761 24735 SH DFND 24735 0 0 ALPHABET INC CAP STK CL A 02079K305 1220 1439 SH DFND 1439 0 0 BOSTON BEER INC CL A 100557107 289 2000 SH DFND 2000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1025 6673 SH DFND 6673 0 0 KRAFT HEINZ CO COM 500754106 267 2937 SH DFND 2937 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 202 8508 SH DFND 8508 0 0