Vice President

0001512779-18-000002.txt : 20180214 0001512779-18-000002.hdr.sgml : 20180214 20180214175959 ACCESSION NUMBER: 0001512779-18-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180214 DATE AS OF CHANGE: 20180214 EFFECTIVENESS DATE: 20180214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKY MOUNTAIN ADVISERS, LLC CENTRAL INDEX KEY: 0001512779 IRS NUMBER: 263301611 STATE OF INCORPORATION: AK FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14185 FILM NUMBER: 18614450 BUSINESS ADDRESS: STREET 1: 2344 SPRUCE STREET STREET 2: SUITE A CITY: BOULDER STATE: CO ZIP: 80302 BUSINESS PHONE: 303-444-5483 MAIL ADDRESS: STREET 1: 2344 SPRUCE STREET STREET 2: SUITE A CITY: BOULDER STATE: CO ZIP: 80302 FORMER COMPANY: FORMER CONFORMED NAME: Rocky Mountain Advisers, LLC DATE OF NAME CHANGE: 20110210 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001512779 XXXXXXXX 12-31-2017 12-31-2017 ROCKY MOUNTAIN ADVISERS, LLC

2344 SPRUCE STREET SUITE A BOULDER CO 80302

13F COMBINATION REPORT 028-14185 0001307493 028-10971 STEWART WEST INDIES TRADING CO., LTD N Nicole Murphey Vice President 303-444-5483 Nicole Murphey Boulder CO 02-14-2018 0 238 25306 false INFORMATION TABLE 2 rinfotable_4q17_1.xml RMA FORM 13F-HR 3M CO COM 88579Y101 800 3400 SH SOLE 0 0 3400 ADAMS DIVERSIFIED EQUITY FD COM 006212104 27 1829 SH SOLE 0 0 1829 ADOBE SYS INC COM 00724F101 4 25 SH SOLE 0 0 25 ADVANCE AUTO PARTS INC COM 00751Y106 28 281 SH SOLE 0 0 281 ADVANSIX INC COM 00773T101 0 4 SH SOLE 0 0 4 ALLETE INC COM NEW 018522300 104 1400 SH SOLE 0 0 1400 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 107 8000 SH SOLE 0 0 8000 ALLSTATE CORP COM 020002101 17 160 SH SOLE 0 0 160 ALPHABET INC CAP STK CL C 02079K107 10 10 SH SOLE 0 0 10 ALPHABET INC CAP STK CL A 02079K305 13 12 SH SOLE 0 0 12 AMERICAN EXPRESS CO COM 025816109 20 200 SH SOLE 0 0 200 AMERICAN RAILCAR INDS INC COM 02916P103 24 585 SH SOLE 0 0 585 AMERICAN SOFTWARE INC CL A 029683109 12 1000 SH SOLE 0 0 1000 AMERISOURCEBERGEN CORP COM 03073E105 2 23 SH SOLE 0 0 23 AMPHENOL CORP NEW CL A 032095101 3 32 SH SOLE 0 0 32 ANADARKO PETE CORP COM 032511107 13 250 SH SOLE 0 0 250 ANALOG DEVICES INC COM 032654105 2 27 SH SOLE 0 0 27 AON PLC SHS CL A G0408V102 2 16 SH SOLE 0 0 16 APPLE INC COM 037833100 182 1078 SH SOLE 0 0 1078 ARCH CAP GROUP LTD ORD G0450A105 3 33 SH SOLE 0 0 33 ARCHER DANIELS MIDLAND CO COM 039483102 247 6152 SH SOLE 0 0 6152 ASML HOLDING N V N Y REGISTRY SHS N07059210 3 20 SH SOLE 0 0 20 ASSURED GUARANTY LTD COM G0585R106 8 230 SH SOLE 0 0 230 AT&T INC COM 00206R102 66 1697 SH SOLE 0 0 1697 BADGER METER INC COM 056525108 3 72 SH SOLE 0 0 72 BALCHEM CORP COM 057665200 2 20 SH SOLE 0 0 20 BANK AMER CORP 7.25%CNV PFD L 060505682 66 50 SH SOLE 0 0 50 BANK AMER CORP COM 060505104 78 2631 SH SOLE 0 0 2631 BANK HAWAII CORP COM 062540109 172 2010 SH SOLE 0 0 2010 BANK NEW YORK MELLON CORP COM 064058100 33 615 SH SOLE 0 0 615 BERKLEY W R CORP COM 084423102 4 49 SH SOLE 0 0 49 BERKSHIRE HATHAWAY INC DEL CL A 084670108 595 2 SH SOLE 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2439 12302 SH SOLE 0 0 12302 BLACK HILLS CORP COM 092113109 60 1000 SH SOLE 0 0 1000 BLACKROCK MUNI INCOME TR II COM 09249N101 18 1280 SH SOLE 0 0 1280 BOULDER GROWTH & INCOME FD I COM 101507101 1656 149318 SH SOLE 0 0 149318 BRISTOL MYERS SQUIBB CO COM 110122108 14 225 SH SOLE 0 0 225 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 4 85 SH SOLE 0 0 85 BROWN & BROWN INC COM 115236101 4 68 SH SOLE 0 0 68 BROWN FORMAN CORP CL B 115637209 3 44 SH SOLE 0 0 44 CANADIAN NATL RY CO COM 136375102 3 34 SH SOLE 0 0 34 CAPITOL FED FINL INC COM 14057J101 87 6500 SH SOLE 0 0 6500 CARMAX INC COM 143130102 2 34 SH SOLE 0 0 34 CBS CORP NEW CL B 124857202 9 158 SH SOLE 0 0 158 CDW CORP COM 12514G108 2 34 SH SOLE 0 0 34 CELGENE CORP COM 151020104 2 20 SH SOLE 0 0 20 CHECK POINT SOFTWARE TECH LT ORD M22465104 4 38 SH SOLE 0 0 38 CHEVRON CORP NEW COM 166764100 213 1700 SH SOLE 0 0 1700 CINCINNATI FINL CORP COM 172062101 187 2500 SH SOLE 0 0 2500 CINEMARK HOLDINGS INC COM 17243V102 2 57 SH SOLE 0 0 57 CISCO SYS INC COM 17275R102 111 2900 SH SOLE 0 0 2900 CLOROX CO DEL COM 189054109 15 100 SH SOLE 0 0 100 COCA COLA CO COM 191216100 220 4800 SH SOLE 0 0 4800 COGNEX CORP COM 192422103 4 60 SH SOLE 0 0 60 COHEN & STEERS INFRASTRUCTUR COM 19248A109 91 3800 SH SOLE 0 0 3800 COLGATE PALMOLIVE CO COM 194162103 2 26 SH SOLE 0 0 26 COMMERCE BANCSHARES INC COM 200525103 95 1701 SH SOLE 0 0 1701 COMMERCEHUB INC COM SER A 20084V108 0 6 SH SOLE 0 0 6 COMMERCEHUB INC COM SER C 20084V306 0 12 SH SOLE 0 0 12 CONAGRA BRANDS INC COM 205887102 15 400 SH SOLE 0 0 400 CONOCOPHILLIPS COM 20825C104 131 2392 SH SOLE 0 0 2392 COPART INC COM 217204106 5 124 SH SOLE 0 0 124 COSTCO WHSL CORP NEW COM 22160K105 7 40 SH SOLE 0 0 40 COTY INC COM CL A 222070203 2 117 SH SOLE 0 0 117 CROWN HOLDINGS INC COM 228368106 3 45 SH SOLE 0 0 45 DISNEY WALT CO COM DISNEY 254687106 13 118 SH SOLE 0 0 118 DOLLAR TREE INC COM 256746108 2 22 SH SOLE 0 0 22 DRIVE SHACK INC COM 262077100 1 100 SH SOLE 0 0 100 DUKE ENERGY CORP NEW COM NEW 26441C204 43 509 SH SOLE 0 0 509 EATON VANCE CORP COM NON VTG 278265103 3 58 SH SOLE 0 0 58 EBAY INC COM 278642103 1 24 SH SOLE 0 0 24 ENBRIDGE INC COM 29250N105 4 98 SH SOLE 0 0 98 EQUIFAX INC COM 294429105 5 42 SH SOLE 0 0 42 EVERSOURCE ENERGY COM 30040W108 9 150 SH SOLE 0 0 150 EXELON CORP COM 30161N101 53 1340 SH SOLE 0 0 1340 EXPEDITORS INTL WASH INC COM 302130109 2 36 SH SOLE 0 0 36 EXXON MOBIL CORP COM 30231G102 239 2861 SH SOLE 0 0 2861 FASTENAL CO COM 311900104 11 200 SH SOLE 0 0 200 FEDEX CORP COM 31428X106 5 20 SH SOLE 0 0 20 FLAHERTY & CRUMRINE TOTAL RE COM 338479108 43 2000 SH SOLE 0 0 2000 FREEPORT-MCMORAN INC CL B 35671D857 19 1000 SH SOLE 0 0 1000 GARTNER INC COM 366651107 1 8 SH SOLE 0 0 8 GENERAL ELECTRIC CO COM 369604103 28 1620 SH SOLE 0 0 1620 GLACIER BANCORP INC NEW COM 37637Q105 1 35 SH SOLE 0 0 35 GOLDMAN SACHS GROUP INC COM 38141G104 25 100 SH SOLE 0 0 100 GRACO INC COM 384109104 4 99 SH SOLE 0 0 99 GREAT PLAINS ENERGY INC COM 391164100 143 4449 SH SOLE 0 0 4449 HANCOCK JOHN PFD INCOME FD I COM 41013X106 21 1000 SH SOLE 0 0 1000 HARMONY GOLD MNG LTD SPONSORED ADR 413216300 7 4000 SH SOLE 0 0 4000 HENRY JACK & ASSOC INC COM 426281101 5 39 SH SOLE 0 0 39 HOME DEPOT INC COM 437076102 3 16 SH SOLE 0 0 16 HONEYWELL INTL INC COM 438516106 19 124 SH SOLE 0 0 124 HOST HOTELS & RESORTS INC COM 44107P104 10 511 SH SOLE 0 0 511 IAMGOLD CORP COM 450913108 17 3000 SH SOLE 0 0 3000 ILLINOIS TOOL WKS INC COM 452308109 3 17 SH SOLE 0 0 17 INGREDION INC COM 457187102 28 200 SH SOLE 0 0 200 INTEL CORP COM 458140100 60 1300 SH SOLE 0 0 1300 INTERCONTINENTAL EXCHANGE IN COM 45866F104 2 35 SH SOLE 0 0 35 INTERNATIONAL BUSINESS MACHS COM 459200101 215 1400 SH SOLE 0 0 1400 INTUITIVE SURGICAL INC COM NEW 46120E602 16 45 SH SOLE 0 0 45 ISHARES GOLD TRUST ISHARES 464285105 10 800 SH SOLE 0 0 800 ISHARES SILVER TRUST ISHARES 46428Q109 64 4000 SH SOLE 0 0 4000 ISHARES TR CORE S&P500 ETF 464287200 4 15 SH SOLE 0 0 15 ISHARES TR CORE S&P MCP ETF 464287507 6 33 SH SOLE 0 0 33 ISHARES TR CORE S&P SCP ETF 464287804 2 30 SH SOLE 0 0 30 ISHARES TR CORE US AGGBD ET 464287226 27 250 SH SOLE 0 0 250 ISHARES TR MIN VOL USA ETF 46429B697 30 573 SH SOLE 0 0 573 ISHARES TR IBOXX HI YD ETF 464288513 29 336 SH SOLE 0 0 336 ISHARES TR IBOXX INV CP ETF 464287242 55 452 SH SOLE 0 0 452 ISHARES TR RUS 1000 VAL ETF 464287598 45 360 SH SOLE 0 0 360 ISHARES TR S&P 500 GRWT ETF 464287309 46 304 SH SOLE 0 0 304 ISHARES TR S&P 500 VAL ETF 464287408 5 46 SH SOLE 0 0 46 ISHARES TR SELECT DIVID ETF 464287168 194 1968 SH SOLE 0 0 1968 ISHARES TR 1 3 YR CR BD ETF 464288646 70 673 SH SOLE 0 0 673 ISHARES TR 1 3 YR TREAS BD 464287457 42 500 SH SOLE 0 0 500 ISHARES TR DOW JONES US ETF 464287846 118 885 SH SOLE 0 0 885 ISHARES TR RUS 2000 GRW ETF 464287648 102 545 SH SOLE 0 0 545 JOHNSON & JOHNSON COM 478160104 309 2215 SH SOLE 0 0 2215 JPMORGAN CHASE & CO COM 46625H100 60 558 SH SOLE 0 0 558 KIMBERLY CLARK CORP COM 494368103 181 1500 SH SOLE 0 0 1500 KINDER MORGAN INC DEL COM 49456B101 10 534 SH SOLE 0 0 534 KINROSS GOLD CORP COM NO PAR 496902404 13 3000 SH SOLE 0 0 3000 KROGER CO COM 501044101 23 849 SH SOLE 0 0 849 LABORATORY CORP AMER HLDGS COM NEW 50540R409 3 17 SH SOLE 0 0 17 LAMB WESTON HLDGS INC COM 513272104 8 133 SH SOLE 0 0 133 LANDSTAR SYS INC COM 515098101 6 54 SH SOLE 0 0 54 LEGG MASON INC COM 524901105 6 133 SH SOLE 0 0 133 LIBERTY BROADBAND CORP COM SER C 530307305 7 80 SH SOLE 0 0 80 LIBERTY EXPEDIA HOLDINGS SER A COM 53046P109 1 24 SH SOLE 0 0 24 LIBERTY GLOBAL PLC SHS CL C G5480U120 2 50 SH SOLE 0 0 50 LIBERTY INTERACTIVE CORP QVC GP COM SER A 53071M104 11 457 SH SOLE 0 0 457 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 2 61 SH SOLE 0 0 61 LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 531229607 10 246 SH SOLE 0 0 246 LILLY ELI & CO COM 532457108 51 600 SH SOLE 0 0 600 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1 41 SH SOLE 0 0 41 M & T BK CORP COM 55261F104 2 13 SH SOLE 0 0 13 MARKEL CORP COM 570535104 6 5 SH SOLE 0 0 5 MERCK & CO INC COM 58933Y105 124 2210 SH SOLE 0 0 2210 MESA LABS INC COM 59064R109 62 500 SH SOLE 0 0 500 MICROSOFT CORP COM 594918104 485 5665 SH SOLE 0 0 5665 MONSANTO CO NEW COM 61166W101 2 14 SH SOLE 0 0 14 NEWS CORP NEW CL A 65249B109 2 138 SH SOLE 0 0 138 NOVAGOLD RES INC COM NEW 66987E206 24 6000 SH SOLE 0 0 6000 NUVEEN AMT FREE MUN CR INC F COM 67071L106 60 3915 SH SOLE 0 0 3915 NUVEEN ENERGY MLP TOTL RTRNF COM 67074U103 46 4013 SH SOLE 0 0 4013 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 8 500 SH SOLE 0 0 500 OMNICOM GROUP INC COM 681919106 2 24 SH SOLE 0 0 24 ONEOK INC NEW COM 682680103 11 197 SH SOLE 0 0 197 ORACLE CORP COM 68389X105 12 252 SH SOLE 0 0 252 PAYCHEX INC COM 704326107 191 2800 SH SOLE 0 0 2800 PAYPAL HLDGS INC COM 70450Y103 2 24 SH SOLE 0 0 24 PEPSICO INC COM 713448108 36 300 SH SOLE 0 0 300 PFIZER INC COM 717081103 4 118 SH SOLE 0 0 118 PHILLIPS 66 COM 718546104 92 909 SH SOLE 0 0 909 PIMCO CORPORATE & INCOME OPP COM 72201B101 329 20000 SH SOLE 0 0 20000 PIMCO ETF TR ACTIVE BD ETF 72201R775 27 250 SH SOLE 0 0 250 PIMCO ETF TR INV GRD CRP BD 72201R817 215 2030 SH SOLE 0 0 2030 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 5 244 SH SOLE 0 0 244 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 52 3500 SH SOLE 0 0 3500 PRAXAIR INC COM 74005P104 2 10 SH SOLE 0 0 10 PRIMERICA INC COM 74164M108 4 38 SH SOLE 0 0 38 PRINCIPAL FINL GROUP INC COM 74251V102 15 211 SH SOLE 0 0 211 PROCTER & GAMBLE CO COM 742718109 356 3870 SH SOLE 0 0 3870 QUALCOMM INC COM 747525103 2 25 SH SOLE 0 0 25 REALTY INCOME CORP COM 756109104 57 1000 SH SOLE 0 0 1000 RLI CORP COM 749607107 4 66 SH SOLE 0 0 66 ROSS STORES INC COM 778296103 5 58 SH SOLE 0 0 58 ROYCE GLOBAL VALUE TR INC COM 78081T104 1 47 SH SOLE 0 0 47 SAFETY INS GROUP INC COM 78648T100 8 100 SH SOLE 0 0 100 SAP SE SPON ADR 803054204 2 15 SH SOLE 0 0 15 SCANA CORP NEW COM 80589M102 29 735 SH SOLE 0 0 735 SCHLUMBERGER LTD COM 806857108 90 1331 SH SOLE 0 0 1331 SCHWAB CHARLES CORP NEW COM 808513105 4 71 SH SOLE 0 0 71 SCHWAB STRATEGIC TR US REIT ETF 808524847 37 880 SH SOLE 0 0 880 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 299 5980 SH SOLE 0 0 5980 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1061 20743 SH SOLE 0 0 20743 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1044 18838 SH SOLE 0 0 18838 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 194 5702 SH SOLE 0 0 5702 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1167 18089 SH SOLE 0 0 18089 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 415 7973 SH SOLE 0 0 7973 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 231 3273 SH SOLE 0 0 3273 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 110 2005 SH SOLE 0 0 2005 SEMPRA ENERGY COM 816851109 171 1600 SH SOLE 0 0 1600 SIRIUS XM HLDGS INC COM 82968B103 2 425 SH SOLE 0 0 425 SOUTHERN CO COM 842587107 919 19109 SH SOLE 0 0 19109 SPDR GOLD TRUST GOLD SHS 78463V107 185 1500 SH SOLE 0 0 1500 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 26 169 SH SOLE 0 0 169 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 26 251 SH SOLE 0 0 251 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 9 68 SH SOLE 0 0 68 SPDR SERIES TRUST S&P DIVID ETF 78464A763 865 9160 SH SOLE 0 0 9160 SPDR SERIES TRUST CITI INT GVT ETF 78464A490 15 260 SH SOLE 0 0 260 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 51 1160 SH SOLE 0 0 1160 SUN LIFE FINL INC COM 866796105 21 500 SH SOLE 0 0 500 SYNTEL INC COM 87162H103 1 52 SH SOLE 0 0 52 SYSCO CORP COM 871829107 18 300 SH SOLE 0 0 300 TANGER FACTORY OUTLET CTRS I COM 875465106 151 5700 SH SOLE 0 0 5700 TARGET CORP COM 87612E106 131 2000 SH SOLE 0 0 2000 TESLA INC COM 88160R101 117 375 SH SOLE 0 0 375 TIME INC NEW COM 887228104 1 41 SH SOLE 0 0 41 TIME WARNER INC COM NEW 887317303 30 333 SH SOLE 0 0 333 TJX COS INC NEW COM 872540109 2 23 SH SOLE 0 0 23 TORTOISE ENERGY INFRA CORP COM 89147L100 5 175 SH SOLE 0 0 175 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 2 17 SH SOLE 0 0 17 TRANSDIGM GROUP INC COM 893641100 2 9 SH SOLE 0 0 9 TRANSOCEAN LTD REG SHS H8817H100 11 1000 SH SOLE 0 0 1000 TRINITY INDS INC COM 896522109 75 2000 SH SOLE 0 0 2000 TSAKOS ENERGY NAVIGATION LTD SHS G9108L108 5 1400 SH SOLE 0 0 1400 TWENTY FIRST CENTY FOX INC CL A 90130A101 19 552 SH SOLE 0 0 552 UNILEVER N V N Y SHS NEW 904784709 2 37 SH SOLE 0 0 37 UNILEVER PLC SPON ADR NEW 904767704 33 600 SH SOLE 0 0 600 UNION PAC CORP COM 907818108 215 1600 SH SOLE 0 0 1600 UNITED PARCEL SERVICE INC CL B 911312106 7 60 SH SOLE 0 0 60 UNITED TECHNOLOGIES CORP COM 913017109 2 16 SH SOLE 0 0 16 UNITEDHEALTH GROUP INC COM 91324P102 4 18 SH SOLE 0 0 18 US BANCORP DEL COM NEW 902973304 5 100 SH SOLE 0 0 100 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 175 2145 SH SOLE 0 0 2145 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 375 4746 SH SOLE 0 0 4746 VANGUARD INDEX FDS REIT ETF 922908553 20 246 SH SOLE 0 0 246 VANGUARD INDEX FDS TOTAL STK MKT 922908769 91 661 SH SOLE 0 0 661 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 16 200 SH SOLE 0 0 200 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1155 11316 SH SOLE 0 0 11316 VANGUARD STAR FD VG TL INTL STK F 921909768 13 228 SH SOLE 0 0 228 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 61 1366 SH SOLE 0 0 1366 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 254 2970 SH SOLE 0 0 2970 VECTREN CORP COM 92240G101 12 190 SH SOLE 0 0 190 VERIZON COMMUNICATIONS INC COM 92343V104 17 325 SH SOLE 0 0 325 VIACOM INC NEW CL B 92553P201 5 152 SH SOLE 0 0 152 VISA INC COM CL A 92826C839 3 28 SH SOLE 0 0 28 WABTEC CORP COM 929740108 1 18 SH SOLE 0 0 18 WAL-MART STORES INC COM 931142103 765 7750 SH SOLE 0 0 7750 WD-40 CO COM 929236107 4 34 SH SOLE 0 0 34 WELLS FARGO CO NEW COM 949746101 124 2050 SH SOLE 0 0 2050 WILLIAMS COS INC DEL COM 969457100 30 1000 SH SOLE 0 0 1000 WILLIS TOWERS WATSON PUB LTD SHS G96629103 940 6236 SH SOLE 0 0 6236 WISDOMTREE TR INDIA ERNGS FD 97717W422 16 565 SH SOLE 0 0 565 WORLD FUEL SVCS CORP COM 981475106 1 32 SH SOLE 0 0 32 XCEL ENERGY INC COM 98389B100 279 5800 SH SOLE 0 0 5800 YUM BRANDS INC COM 988498101 211 2590 SH SOLE 0 0 2590