The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE |
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Report for the Calendar Year or Quarter Ended: | 06-30-2019 |
Check here if Amendment | Amendment Number: | |
This Amendment (Check only one.): | is a restatement. | |
adds new holdings entries. |
Institutional Investment Manager Filing this Report: | |
Name: | Newfound Research LLC |
Address: | 425 Boylston Street |
3rd Fl | |
Boston, MA 02116 | |
Form 13F File Number: | 028-17093 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager: | ||||
Name: | Thomas B. Rosedale | |||
Title: | Chief Executive Officer | |||
Phone: | 617-531-9773 | |||
Signature, Place, and Date of Signing: | ||||
/s/ Thomas B. Rosedale | Boston, MA | 08-13-2019 | ||
[Signature] | [City, State] | [Date] | ||
The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g), or 16(a) under the Securities Exchange Act of 1934, as amended, and the rules thereunder, or for any other purpose, that the Reporting Manager or any other person (including Other Managers or Other Included Managers named herein) is the beneficial owner of any securities. Newfound Research LLC, a Delaware limited liability company ("Newfound"), is an institutional investment manager which, for the purposes of Section 13(f) of the Securities Exchange Act of 1934 and the rules promulgated thereunder ("Section 13(f)"), exercises investment discretion with respect to certain securities positions. Thomas B. Rosedale, an individual ("Rosedale"), Corey M. Hoffstein, an individual ("Hoffstein"), Nathan Faber, an individual ("Faber"), Newfound Holdings, LLC, a Delaware limited liability company ("Holdings"), and Sand Hill Cove Management LLC, a Delaware limited liability company ("SandHill"), may each be deemed to exercise investment discretion over the securities reported on this Form 13F for purposes of Section 13(f). Certain of the security positions reported by Newfound are also being reported by Rosedale, Hoffstein, Faber, Holdings and SandHill. Each of Newfound, Rosedale, Hoffstein, Faber, Holdings and SandHill disclaims beneficial ownership of the shares reported on this Form 13F by Newfound except to the extent of any pecuniary interest therein. |
Report Type (Check only one.): | |
X | 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) | |
13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
Form 13F Summary Page | |||||
Report Summary: | |||||
Number of Other Included Managers: | 5 | ||||
Form 13F Information Table Entry Total: | 233 | ||||
Form 13F Information Table Value Total: | 115,680 | ||||
(thousands) | |||||
List of Other Included Managers: | |||
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. | |||
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.] | |||
No. | Form 13F File Number | Name | |
1 | 028-17094 | Rosedale Thomas B. | |
2 | 028-17095 | Hoffstein Corey | |
3 | 028-19511 | Faber Nathan | |
4 | 028-17097 | Sand Hill Cove Management LLC | |
5 | 028-17098 | Newfound Holdings, LLC |