Compliance

0001570296-16-000012.txt : 20160209 0001570296-16-000012.hdr.sgml : 20160209 20160209102231 ACCESSION NUMBER: 0001570296-16-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160209 DATE AS OF CHANGE: 20160209 EFFECTIVENESS DATE: 20160209 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: 161397738 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 12-31-2015 12-31-2015 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. Rajotte Quincy MA 12-31-2015 0 126 116998 false INFORMATION TABLE 2 13F20151231.xml 13F123115 CABELAS INC COM Stock 126804301 488 10450 SH SOLE 0 10450 0 0 MYOKARDIA INC COM Stock 62857M105 440 30000 SH SOLE 0 30000 0 0 TECHNOLOGY SELECT SECTOR SPDR FUND ETF 81369Y803 245 5725 SH SOLE 0 5725 0 0 PLUM CREEK TIMBER COINC REIT 729251108 1795 37620 SH SOLE 0 37620 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN MLP 118230101 211 3200 SH SOLE 0 3200 0 0 ISHARES MSCI CANADA ETF ETF 464286509 1483 68983 SH SOLE 0 68983 0 0 EBAY INC COM Stock 278642103 296 10770 SH SOLE 0 10770 0 0 JOHNSON & JOHNSON COM Stock 478160104 2330 22687 SH SOLE 0 22687 0 0 GENERAL MOLY INC COM Stock 370373102 31 152900 SH SOLE 0 152900 0 0 CELLDEX THERAPEUTICS INC Stock 15117B103 873 55650 SH SOLE 0 55650 0 0 YUM! BRANDS INC Stock 988498101 1207 16524 SH SOLE 0 16524 0 0 BOSTON SCIENTIFIC CORP COM Stock 101137107 851 46174 SH SOLE 0 46174 0 0 F5 NETWORKS INC COM Stock 315616102 587 6050 SH SOLE 0 6050 0 0 DREYFUS HIGH YIELD STRATEGIES SH BEN INT CEF 26200S101 134 43400 SH SOLE 0 43400 0 0 OCCIDENTAL PETE CORP DEL COM Stock 674599105 707 10451 SH SOLE 0 10451 0 0 UNITED PARCEL SERVICE INC Stock 911312106 879 9135 SH SOLE 0 9135 0 0 BIOGEN INC COM Stock 09062X103 3616 11805 SH SOLE 0 11805 0 0 MEDTRONIC PLC SHS Stock G5960L103 1206 15677 SH SOLE 0 15677 0 0 CLOROX CO DEL COM Stock 189054109 255 2010 SH SOLE 0 2010 0 0 WATERS CORP COM Stock 941848103 730 5425 SH SOLE 0 5425 0 0 INVESCO SR INCOME TR COM CEF 46131H107 177 43876 SH SOLE 0 43876 0 0 SBA COMMUNICATIONS CORP COM Stock 78388J106 1545 14700 SH SOLE 0 14700 0 0 ASHFORD HOSPITALITY TR INC COM SHS REIT 044103109 98 15600 SH SOLE 0 15600 0 0 SAFETY INS GROUP INC COM Stock 78648T100 366 6500 SH SOLE 0 6500 0 0 INGERSOLL-RAND PLC SHS Stock G47791101 446 8072 SH SOLE 0 8072 0 0 FORD MTR CO DEL COM PAR $0.01 Stock 345370860 239 16952 SH SOLE 0 16952 0 0 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 508 6000 SH SOLE 0 6000 0 0 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 339 4702 SH SOLE 0 4702 0 0 AMERISOURCEBERGEN CORP COM Stock 03073E105 1872 18050 SH SOLE 0 18050 0 0 MAXIMUS INC COM Stock 577933104 772 13725 SH SOLE 0 13725 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 246 1860 SH SOLE 0 1860 0 0 GOOGLE INC Stock 02079K305 942 1211 SH SOLE 0 1211 0 0 O REILLY AUTOMOTIVE INC NEW COM Stock 67103H107 404 1595 SH SOLE 0 1595 0 0 GENERAC HLDGS INC COM Stock 368736104 842 28300 SH SOLE 0 28300 0 0 MICROSOFT Stock 594918104 388 7000 SH SOLE 0 7000 0 0 HEALTH CARE PPTY INVS INC REIT 40414L109 599 15676 SH SOLE 0 15676 0 0 SCHLUMBERGER LTD COM Stock 806857108 282 4050 SH SOLE 0 4050 0 0 CVS HEALTH CORP COM Stock 126650100 5403 55260 SH SOLE 0 55260 0 0 ISHARES MSCI BRAZIL INDEX FD ETF ETF 464286400 292 14115 SH SOLE 0 14115 0 0 ARES CAP CORP COM CEF 04010L103 1558 109327 SH SOLE 0 109326 0 0 ZIOPHARM ONCOLOGY INC COM Stock 98973P101 125 15000 SH SOLE 0 15000 0 0 CBOE HLDGS INC COM Stock 12503M108 237 3650 SH SOLE 0 3650 0 0 ALIGN TECHNOLOGY INC COM Stock 016255101 2519 38250 SH SOLE 0 38250 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 215 9026 SH SOLE 0 9026 0 0 DOLLAR TREE INC COM Stock 256746108 349 4525 SH SOLE 0 4525 0 0 EGSHARES EMERGING MARKETSCONSUMER ETF ETF 268461779 697 32805 SH SOLE 0 32805 0 0 LYONDELLBASELL INDUSTRIES N V SHS - A - Stock N53745100 1191 13711 SH SOLE 0 13711 0 0 ENERGY TRANSFER PARTNERS LP MLP 29273R109 248 7346 SH SOLE 0 7346 0 0 ETFS PHYSICAL PRECIOUS METAL BASKET SHARES ETF 26922W109 214 4100 SH SOLE 0 4100 0 0 ILLUMINA INC COM Stock 452327109 1593 8300 SH SOLE 0 8300 0 0 ENBRIDGE ENERGY PARTNERS L P COM MLP 29250R106 339 14700 SH SOLE 0 14700 0 0 NATIONAL OILWELL VARCO INC Stock 637071101 441 13182 SH SOLE 0 13182 0 0 DOUGLAS EMMETT INC COM REIT 25960P109 293 9400 SH SOLE 0 9400 0 0 DIGITAL RLTY TR INC COM REIT 253868103 544 7200 SH SOLE 0 7200 0 0 FREEPORT-MCMORAN INC CL B Stock 35671D857 120 17755 SH SOLE 0 17755 0 0 DARLING INGREDIENTS INC COM Stock 237266101 162 15400 SH SOLE 0 15400 0 0 SYNAPTICS INC COM Stock 87157D109 2176 27090 SH SOLE 0 27090 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP MLP 559080106 236 3478 SH SOLE 0 3478 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS ADR 22943F100 500 10800 SH SOLE 0 10800 0 0 TRACTOR SUPPLY CO COM Stock 892356106 1200 14040 SH SOLE 0 14040 0 0 MICHAEL KORS HLDGS LTD SHS Stock G60754101 220 5500 SH SOLE 0 5500 0 0 VISA INC Stock 92826C839 2207 28465 SH SOLE 0 28465 0 0 HERSHEY CO COM Stock 427866108 275 3075 SH SOLE 0 3075 0 0 MA COM TECHNOLOGY SOLUTIONS COM Stock 55405Y100 613 15000 SH SOLE 0 15000 0 0 PUMA BIOTECHNOLOGY INC COM Stock 74587V107 259 3300 SH SOLE 0 3300 0 0 MTS SYS CORP COM Stock 553777103 247 3900 SH SOLE 0 3900 0 0 PHILLIPS 66 COM Stock 718546104 1792 21908 SH SOLE 0 21908 0 0 IRON MTN INC NEW COM REIT 46284V101 1809 66976 SH SOLE 0 66976 0 0 FACEBOOK INC CL A Stock 30303M102 847 8093 SH SOLE 0 8093 0 0 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 829 41072 SH SOLE 0 41072 0 0 STONEMOR PARTNERS L P COM UNITS MLP 86183Q100 2781 104045 SH SOLE 0 104045 0 0 BROADCOM LTD SHS Stock Y0486S104 254 1750 SH SOLE 0 1750 0 0 CANADIAN PAC RY LTD COM Stock 13645T100 268 2100 SH SOLE 0 2100 0 0 KINDER MORGAN INC Stock 49456B101 473 31669 SH SOLE 0 31669 0 0 ACCENTURE LTD BERMUDA CL A Stock G1151C101 323 3090 SH SOLE 0 3090 0 0 GRAINGER W W INC COM Stock 384802104 390 1926 SH SOLE 0 1926 0 0 GERON CORP COM Stock 374163103 77 16000 SH SOLE 0 16000 0 0 ABBVIE INC COM Stock 00287Y109 850 14355 SH SOLE 0 14355 0 0 WELLS FARGO & CO NEW PERP PFD CNV A Convertible Preferred 949746804 464 400 SH SOLE 0 400 0 0 MCDONALDS CORP COM Stock 580135101 394 3335 SH SOLE 0 3335 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 10599 206011 SH SOLE 0 206011 0 0 CISCO SYS INC Stock 17275R102 255 9392 SH SOLE 0 9392 0 0 CHEMOCENTRYX INC COM Stock 16383L106 81 10000 SH SOLE 0 10000 0 0 ISHARES U.S. CONSUMER GOODS ETF ETF 464287812 3611 33302 SH SOLE 0 33302 0 0 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 315 4027 SH SOLE 0 4027 0 0 FIVE PRIME THERAPEUTICS INC COM Stock 33830X104 400 9650 SH SOLE 0 9650 0 0 WELLS FARGO & CO NEW COM Stock 949746101 223 4100 SH SOLE 0 4100 0 0 UNION PAC CORP COM Stock 907818108 1812 23170 SH SOLE 0 23170 0 0 ISHARES U.S. PREFERRED STOCK ETF ETF 464288687 248 6388 SH SOLE 0 6388 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 624 7290 SH SOLE 0 7290 0 0 GOLAR LNG LTD BERMUDA SHS Stock G9456A100 837 53015 SH SOLE 0 53015 0 0 CHEVRON CORP NEW COM Stock 166764100 314 3494 SH SOLE 0 3494 0 0 CONOCOPHILLIPS COM Stock 20825C104 1441 30859 SH SOLE 0 30859 0 0 DANAHER CORP DEL COM Stock 235851102 301 3236 SH SOLE 0 3236 0 0 EXPRESS SCRIPTS HLDG CO COM Stock 30219G108 414 4732 SH SOLE 0 4732 0 0 ACACIA RESH CORP ACACIA TCH COM Stock 003881307 109 25496 SH SOLE 0 25496 0 0 BANK AMER CORP COM Stock 060505104 507 30112 SH SOLE 0 30112 0 0 ISHARES MSCI GERMANY ETF ETF 464286806 757 28902 SH SOLE 0 28902 0 0 TEVA PHARMACEUTICAL INDS LTD ADR ADR 881624209 1616 24618 SH SOLE 0 24618 0 0 MARKET VECTORS AGRIBUSINESS ETF ETF 57060U605 1570 33775 SH SOLE 0 33775 0 0 GILEAD SCIENCES INC Stock 375558103 5953 58831 SH SOLE 0 58831 0 0 CATERPILLAR INC DEL COM Stock 149123101 751 11050 SH SOLE 0 11050 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 1371 1807 SH SOLE 0 1807 0 0 NEWFIELD EXPL CO COM Stock 651290108 1035 31800 SH SOLE 0 31800 0 0 WILLIAMS COS INC DEL COM Stock 969457100 1035 40285 SH SOLE 0 40285 0 0 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR MLP 96949L105 296 10624 SH SOLE 0 10624 0 0 INSULET CORP 2% 06/15/2019 Convertible 45784PAD3 104 100000 SH SOLE 0 100000 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 283 2622 SH SOLE 0 2622 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 463 5700 SH SOLE 0 5700 0 0 CDK GLOBAL INC COM Stock 12508E101 351 7397 SH SOLE 0 7397 0 0 PHILIP MORRIS INTL INC Stock 718172109 2249 25588 SH SOLE 0 25588 0 0 NUCOR CORP COM Stock 670346105 329 8159 SH SOLE 0 8159 0 0 ALTRIA GROUP INC COM Stock 02209S103 4046 69513 SH SOLE 0 69513 0 0 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 236 2227 SH SOLE 0 2227 0 0 EXXON MOBIL CORP COM Stock 30231G102 2012 25806 SH SOLE 0 25806 0 0 SPDR DB INTERNATIONAL GOVERNMENT INFLATION-PROTECTED BOND ETF ETF 78464A490 303 6010 SH SOLE 0 6010 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 456 6850 SH SOLE 0 6850 0 0 AMERICAN INTL GROUP INC COM NEW Stock 026874784 426 6870 SH SOLE 0 6870 0 0 ISHARES U.S. UTILITIES ETF ETF 464287697 1531 14190 SH SOLE 0 14190 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 390 10770 SH SOLE 0 10770 0 0 ARRAY BIOPHARMA INC 3% 06/01/2020 Convertible 04269XAA3 83 90000 SH SOLE 0 90000 0 0 FRONTIER COMMUNICATIONS CORP COM Stock 35906A108 55 11673 SH SOLE 0 11673 0 0 APPLE INC Stock 037833100 1325 12589 SH SOLE 0 12589 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 209 1991 SH SOLE 0 1991 0 0 PURE STORAGE INC CL A Stock 74624M102 179 11500 SH SOLE 0 11500 0 0 LIVANOVA PLC SHS Stock G5509L101 1032 17382 SH SOLE 0 17382 0 0