Compliance

0001570296-15-000010.txt : 20151112 0001570296-15-000010.hdr.sgml : 20151112 20151112133700 ACCESSION NUMBER: 0001570296-15-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151112 DATE AS OF CHANGE: 20151112 EFFECTIVENESS DATE: 20151112 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: 151223295 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 09-30-2015 09-30-2015 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. 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0 0 DREYFUS HIGH YIELD STRATEGIES SH BEN INT CEF 26200S101 133 43400 SH SOLE 0 43400 0 0 OCCIDENTAL PETE CORP DEL COM Stock 674599105 757 11451 SH SOLE 0 11451 0 0 UNITED PARCEL SERVICE INC CL B Stock 911312106 902 9135 SH SOLE 0 9135 0 0 BIOGEN INC COM Stock 09062X103 3328 11405 SH SOLE 0 11405 0 0 MEDTRONIC PLC SHS Stock G5960L103 1020 15238 SH SOLE 0 15238 0 0 CLOROX CO DEL COM Stock 189054109 232 2010 SH SOLE 0 2010 0 0 WATERS CORP COM Stock 941848103 641 5425 SH SOLE 0 5425 0 0 INVESCO SR INCOME TR COM CEF 46131H107 204 48876 SH SOLE 0 48876 0 0 SBA COMMUNICATIONS CORP COM Stock 78388J106 1561 14900 SH SOLE 0 14900 0 0 ASHFORD HOSPITALITY TR INC COM SHS REIT 044103109 101 16600 SH SOLE 0 16600 0 0 SAFETY INS GROUP INC COM Stock 78648T100 352 6500 SH SOLE 0 6500 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 216 1660 SH SOLE 0 1660 0 0 INGERSOLL-RAND PLC SHS Stock G47791101 410 8072 SH SOLE 0 8072 0 0 FORD MTR CO DEL COM PAR $0.01 Stock 345370860 226 16650 SH SOLE 0 16650 0 0 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 482 6000 SH SOLE 0 6000 0 0 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 331 5001 SH SOLE 0 5001 0 0 AMERISOURCEBERGEN CORP COM Stock 03073E105 1705 17950 SH SOLE 0 17950 0 0 MAXIMUS INC COM Stock 577933104 913 15325 SH SOLE 0 15325 0 0 ALPHABET INC CAP STK CL A Stock 02079K305 773 1211 SH SOLE 0 1211 0 0 O REILLY AUTOMOTIVE INC NEW COM Stock 67103H107 842 3370 SH SOLE 0 3370 0 0 GENERAC HLDGS INC COM Stock 368736104 852 28300 SH SOLE 0 28300 0 0 MICROSOFT Stock 594918104 310 7000 SH SOLE 0 7000 0 0 HEALTH CARE PPTY INVS INC REIT 40414L109 584 15676 SH SOLE 0 15676 0 0 SCHLUMBERGER LTD COM Stock 806857108 279 4050 SH SOLE 0 4050 0 0 CVS HEALTH CORP COM Stock 126650100 5306 54992 SH SOLE 0 54992 0 0 ISHARES MSCI BRAZIL INDEX FD ETF ETF 464286400 416 18965 SH SOLE 0 18965 0 0 ARES CAP CORP COM CEF 04010L103 1689 116627 SH SOLE 0 116626 0 0 ZIOPHARM ONCOLOGY INC COM Stock 98973P101 135 15000 SH SOLE 0 15000 0 0 ALIGN TECHNOLOGY INC COM Stock 016255101 2171 38250 SH SOLE 0 38250 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 220 9721 SH SOLE 0 9721 0 0 DOLLAR TREE INC COM Stock 256746108 295 4425 SH SOLE 0 4425 0 0 EGSHARES EMERGING MARKETSCONSUMER ETF ETF 268461779 752 34605 SH SOLE 0 34605 0 0 LYONDELLBASELL INDUSTRIES N V SHS - A - Stock N53745100 1164 13959 SH SOLE 0 13959 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN MLP 29273R109 302 7346 SH SOLE 0 7346 0 0 ETFS PHYSICAL PRECIOUS METAL BASKET SHARES ETF 26922W109 227 4100 SH SOLE 0 4100 0 0 ILLUMINA INC COM Stock 452327109 1459 8300 SH SOLE 0 8300 0 0 ENBRIDGE ENERGY PARTNERS L P COM MLP 29250R106 413 16700 SH SOLE 0 16700 0 0 NATIONAL OILWELL VARCO INC Stock 637071101 507 13471 SH SOLE 0 13471 0 0 DOUGLAS EMMETT INC COM REIT 25960P109 376 13100 SH SOLE 0 13100 0 0 DIGITAL RLTY TR INC COM REIT 253868103 470 7200 SH SOLE 0 7200 0 0 FREEPORT-MCMORAN INC CL B Stock 35671D857 343 35355 SH SOLE 0 35355 0 0 DARLING INGREDIENTS INC COM Stock 237266101 215 19100 SH SOLE 0 19100 0 0 SYNAPTICS INC COM Stock 87157D109 2292 27790 SH SOLE 0 27790 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP MLP 559080106 209 3478 SH SOLE 0 3478 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS ADR 22943F100 373 5900 SH SOLE 0 5900 0 0 TRACTOR SUPPLY CO COM Stock 892356106 1184 14040 SH SOLE 0 14040 0 0 MICHAEL KORS HLDGS LTD SHS Stock G60754101 266 6300 SH SOLE 0 6300 0 0 VISA INC COM CL A Stock 92826C839 1981 28440 SH SOLE 0 28440 0 0 MA COM TECHNOLOGY SOLUTIONS COM Stock 55405Y100 435 15000 SH SOLE 0 15000 0 0 PUMA BIOTECHNOLOGY INC COM Stock 74587V107 550 7300 SH SOLE 0 7300 0 0 MTS SYS CORP COM Stock 553777103 234 3900 SH SOLE 0 3900 0 0 PHILLIPS 66 COM Stock 718546104 1683 21908 SH SOLE 0 21908 0 0 IRON MTN INC NEW COM REIT 46284V101 2080 67039 SH SOLE 0 67039 0 0 FACEBOOK INC CL A Stock 30303M102 728 8093 SH SOLE 0 8093 0 0 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 509 23272 SH SOLE 0 23272 0 0 STONEMOR PARTNERS L P COM UNITS MLP 86183Q100 2792 102345 SH SOLE 0 102345 0 0 AVAGO TECHNOLOGIES LTD SHS Stock Y0486S104 219 1750 SH SOLE 0 1750 0 0 CANADIAN PAC RY LTD COM Stock 13645T100 301 2100 SH SOLE 0 2100 0 0 KINDER MORGAN INC DEL COM Stock 49456B101 1388 50128 SH SOLE 0 50128 0 0 ACCENTURE PLC IRELAND SHS CLASS A Stock G1151C101 274 2790 SH SOLE 0 2790 0 0 GRAINGER W W INC COM Stock 384802104 242 1126 SH SOLE 0 1126 0 0 GERON CORP COM Stock 374163103 47 17000 SH SOLE 0 17000 0 0 ABBVIE INC COM Stock 00287Y109 804 14783 SH SOLE 0 14783 0 0 MCDONALDS CORP COM Stock 580135101 329 3335 SH SOLE 0 3335 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 8098 190011 SH SOLE 0 190011 0 0 CISCO SYS INC Stock 17275R102 223 8485 SH SOLE 0 8485 0 0 CHEMOCENTRYX INC COM Stock 16383L106 60 10000 SH SOLE 0 10000 0 0 ISHARES U.S. CONSUMER GOODS ETF ETF 464287812 3417 33302 SH SOLE 0 33302 0 0 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 296 3991 SH SOLE 0 3991 0 0 WELLS FARGO & CO NEW COM Stock 949746101 211 4100 SH SOLE 0 4100 0 0 UNION PAC CORP COM Stock 907818108 2102 23770 SH SOLE 0 23770 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 599 7290 SH SOLE 0 7290 0 0 GOLAR LNG LTD BERMUDA SHS Stock G9456A100 1907 68415 SH SOLE 0 68415 0 0 CHEVRON CORP NEW COM Stock 166764100 321 4075 SH SOLE 0 4075 0 0 CONOCOPHILLIPS COM Stock 20825C104 1496 31184 SH SOLE 0 31184 0 0 DANAHER CORP DEL COM Stock 235851102 276 3236 SH SOLE 0 3236 0 0 EXPRESS SCRIPTS HLDG CO COM Stock 30219G108 383 4732 SH SOLE 0 4732 0 0 ACACIA RESH CORP ACACIA TCH COM Stock 003881307 276 30396 SH SOLE 0 30396 0 0 ISHARES MSCI GERMANY ETF ETF 464286806 715 28902 SH SOLE 0 28902 0 0 TEVA PHARMACEUTICAL INDS LTD ADR ADR 881624209 1104 19550 SH SOLE 0 19550 0 0 MARKET VECTORS AGRIBUSINESS ETF ETF 57060U605 1562 34075 SH SOLE 0 34075 0 0 GILEAD SCIENCES INC COM Stock 375558103 5745 58509 SH SOLE 0 58509 0 0 CATERPILLAR INC DEL COM Stock 149123101 961 14700 SH SOLE 0 14700 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 1099 1807 SH SOLE 0 1807 0 0 NEWFIELD EXPL CO COM Stock 651290108 1046 31800 SH SOLE 0 31800 0 0 WILLIAMS COS INC DEL COM Stock 969457100 1532 41585 SH SOLE 0 41585 0 0 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR MLP 96949L105 381 11924 SH SOLE 0 11924 0 0 INSULET CORP 2% 06/15/2019 Convertible 45784PAD3 92 100000 SH SOLE 0 100000 0 0 ZAFGEN INC COM Stock 98885E103 292 9125 SH SOLE 0 9125 0 0 CDK GLOBAL INC COM Stock 12508E101 357 7463 SH SOLE 0 7463 0 0 PHILIP MORRIS INTL INC Stock 718172109 2006 25288 SH SOLE 0 25288 0 0 NUCOR CORP COM Stock 670346105 417 11116 SH SOLE 0 11116 0 0 ALTRIA GROUP INC COM Stock 02209S103 3782 69513 SH SOLE 0 69513 0 0 EXXON MOBIL CORP COM Stock 30231G102 1919 25806 SH SOLE 0 25806 0 0 SPDR DB INTERNATIONAL GOVERNMENT INFLATION-PROTECTED BOND ETF ETF 78464A490 313 6010 SH SOLE 0 6010 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 815 12850 SH SOLE 0 12850 0 0 AMERICAN INTL GROUP INC COM NEW Stock 026874784 953 16770 SH SOLE 0 16770 0 0 DEVON ENERGY CORP NEW COM Stock 25179M103 431 11624 SH SOLE 0 11624 0 0 ISHARES U.S. UTILITIES ETF ETF 464287697 1594 14770 SH SOLE 0 14770 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 334 10770 SH SOLE 0 10770 0 0 ARRAY BIOPHARMA INC 3% 06/01/2020 Convertible 04269XAA3 89 90000 SH SOLE 0 90000 0 0 CYBERONICS INC COM Stock 23251P102 1570 25832 SH SOLE 0 25832 0 0 FRONTIER COMMUNICATIONS CORP COM Stock 35906A108 74 15522 SH SOLE 0 15522 0 0 APPLE INC Stock 037833100 1389 12589 SH SOLE 0 12589 0 0