Partner - Head of Group Risk

0001214659-19-006434.txt : 20191011 0001214659-19-006434.hdr.sgml : 20191011 20191011162904 ACCESSION NUMBER: 0001214659-19-006434 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20191011 DATE AS OF CHANGE: 20191011 EFFECTIVENESS DATE: 20191011 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stonehage Fleming Financial Services Holdings Ltd CENTRAL INDEX KEY: 0001786379 IRS NUMBER: 000000000 STATE OF INCORPORATION: Y9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19583 FILM NUMBER: 191148380 BUSINESS ADDRESS: STREET 1: 2 THE FORUM, GRENVILLE STREET CITY: ST. HELIER STATE: Y9 ZIP: JE1 4HH BUSINESS PHONE: 44 1534 823 000 MAIL ADDRESS: STREET 1: 2 THE FORUM, GRENVILLE STREET CITY: ST. HELIER STATE: Y9 ZIP: JE1 4HH 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001786379 XXXXXXXX 09-30-2016 09-30-2016 false Stonehage Fleming Financial Services Holdings Ltd

2 The Forum, Grenville Street St. Helier Y9 JE1 4HH

13F HOLDINGS REPORT 028-19583 N Ian Crosby Partner - Head of Group Risk 44-153-482-3000 /s/Ian Crosby St. Helier Y9 10-11-2019 1 415 1687812 1 0001786380 028-19584 Stonehage Fleming Investment Management Ltd INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 62639 355434 SH DFND 1 0 355434 0 3M CO COM 88579Y101 1188 6742 SH OTR 0 6742 0 ABBOTT LABS COM 002824100 92 2180 SH OTR 0 2180 0 ABBVIE INC COM 00287Y109 110 1740 SH OTR 0 1740 0 ADAM NAT RES FD INC COM 00548F105 31 1578 SH DFND 1 0 1578 0 AETNA INC NEW COM 00817Y108 533 4613 SH DFND 1 0 4613 0 AGNICO EAGLE MINES LTD COM 008474108 22 400 SH DFND 1 0 400 0 AGRIUM INC COM 008916108 353 3900 SH OTR 0 3900 0 AIR PRODS & CHEMS INC COM 009158106 761 5097 SH DFND 1 0 5097 0 ALCOA INC COM 013817101 51 5000 SH OTR 0 5000 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 25446 240533 SH DFND 1 0 240533 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 106 1000 SH OTR 0 1000 0 ALLISON TRANSMISSION HLDGS I COM 01973R101 2833 98800 SH DFND 1 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0 12840 0 OCCIDENTAL PETE CORP COM 674599105 848 11635 SH DFND 1 0 11635 0 ORACLE CORP COM 68389X105 3492 88900 SH DFND 1 0 88900 0 ORACLE CORP COM 68389X105 52 1320 SH OTR 0 1320 0 PAN AMERICAN SILVER CORP COM 697900108 85 3700 SH OTR 0 3700 0 PARKER HANNIFIN CORP COM 701094104 2950 23500 SH DFND 1 0 23500 0 PAYPAL HLDGS INC COM 70450Y103 1458 35590 SH OTR 0 35590 0 PAYPAL HLDGS INC COM 70450Y103 509 12437 SH DFND 1 0 12437 0 PEMBINA PIPELINE CORP COM 706327103 134 4400 SH OTR 0 4400 0 PEMBINA PIPELINE CORP COM 706327103 43 1400 SH DFND 1 0 1400 0 PEPSICO INC COM 713448108 62423 573903 SH DFND 1 0 573903 0 PEPSICO INC COM 713448108 870 7996 SH OTR 0 7996 0 PEREGRINE PHARMACEUTICALS IN COM NEW 713661304 10 24000 SH DFND 1 0 24000 0 PETROLEO BRASILEIRO SA PETRO F SPONSORED ADR 71654V408 47 5000 SH OTR 0 5000 0 PFIZER INC COM 717081103 621 18342 SH OTR 0 18342 0 PFIZER INC COM 717081103 102 3000 SH DFND 1 0 3000 0 PHILIP MORRIS INTL INC COM 718172109 53320 548455 SH DFND 1 0 548455 0 PHILIP MORRIS INTL INC COM 718172109 1994 20511 SH OTR 0 20511 0 PHILLIPS 66 COM 718546104 296 3675 SH OTR 0 3675 0 PHILLIPS 66 COM 718546104 135 1675 SH DFND 1 0 1675 0 PINNACLE FOODS INC DEL COM 72348P104 2026 40386 SH DFND 1 0 40386 0 POTASH CORP SASK INC COM 73755L107 81 5000 SH OTR 0 5000 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 8 70 SH OTR 0 70 0 PRICE T ROWE GROUP INC COM 74144T108 359 5399 SH DFND 1 0 5399 0 PRICELINE GRP INC COM NEW 741503403 1046 711 SH DFND 1 0 711 0 PROCTER AND GAMBLE CO COM 742718109 2439 27192 SH DFND 1 0 27192 0 PROCTER AND GAMBLE CO COM 742718109 297 3310 SH OTR 0 3310 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 112 3550 SH OTR 0 3550 0 PROSHARES TR SHORT S&P 500 NE 74347B425 4961 130286 SH DFND 1 0 130286 0 PRUDENTIAL FINL INC COM 744320102 245 3000 SH OTR 0 3000 0 QUALCOMM INC COM 747525103 709 10352 SH DFND 1 0 10352 0 QUALCOMM INC COM 747525103 356 5199 SH OTR 0 5199 0 QUEST DIAGNOSTICS INC COM 74834L100 124 1462 SH OTR 0 1462 0 RALPH LAUREN CORP CL A 751212101 3125 30900 SH DFND 1 0 30900 0 RANDGOLD RES LTD ADR 752344309 50 500 SH OTR 0 500 0 RAYTHEON COM NEW 755111507 1899 13950 SH OTR 0 13950 0 RAYTHEON COM NEW 755111507 756 5550 SH DFND 1 0 5550 0 REGENCY CTRS CORP COM 758849103 8 97 SH DFND 1 0 97 0 REGIONS FINL CORP NEW COM 7591EP100 319 32384 SH DFND 1 0 32384 0 RESTAURANT BRANDS INTL INC COM 76131D103 270 6070 SH OTR 0 6070 0 RESTAURANT BRANDS INTL INC COM 76131D103 92 2070 SH DFND 1 0 2070 0 REYNOLDS AMERICAN INC COM 761713106 1373 29120 SH DFND 1 0 29120 0 ROGERS COMMUNICATIONS INC CL B 775109200 212 5000 SH OTR 0 5000 0 ROYAL BK CDA MONTREAL QUE COM 780087102 621 10050 SH OTR 0 10050 0 ROYAL BK CDA MONTREAL QUE COM 780087102 93 1500 SH DFND 1 0 1500 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 317 6000 SH OTR 0 6000 0 SCHLUMBERGER LTD COM 806857108 402 5110 SH OTR 0 5110 0 SCHNITZER STL INDS CL A 806882106 949 45400 SH DFND 1 0 45400 0 SHIRE PLC SPONSORED ADR 82481R106 198 1020 SH OTR 0 1020 0 SIMON PPTY GROUP INC NEW COM 828806109 365 1763 SH DFND 1 0 1763 0 SKYWORKS SOLUTIONS INC COM 83088M102 664 8725 SH DFND 1 0 8725 0 SMUCKER J M CO COM NEW 832696405 631 4656 SH DFND 1 0 4656 0 SONOCO PRODS CO COM 835495102 972 18400 SH DFND 1 0 18400 0 SPDR GOLD TRUST GOLD SHS 78463V107 5554 44196 SH DFND 1 0 44196 0 SPDR GOLD TRUST GOLD SHS 78463V107 1417 11279 SH OTR 0 11279 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1590 7352 SH OTR 0 7352 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 907 4192 SH DFND 1 0 4192 0 SPDR SERIES TRUST BLOMBRG BRC TIPS 78464A656 686 23585 SH OTR 0 23585 0 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 0 1205 SH OTR 0 1205 0 STARBUCKS CORP COM 855244109 50174 926763 SH DFND 1 0 926763 0 STARBUCKS CORP COM 855244109 387 7153 SH OTR 0 7153 0 STARZ COM SER A 85571Q102 8 264 SH OTR 0 264 0 STRYKER CORP COM 863667101 21306 183028 SH DFND 1 0 183028 0 STRYKER CORP COM 863667101 89 767 SH OTR 0 767 0 SUNCOR ENERGY COM 867224107 730 26336 SH OTR 0 26336 0 SYNCHRONY FINL COM 87165B103 73 2610 SH OTR 0 2610 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 256 8360 SH OTR 0 8360 0 TATA MTRS LTD SPONSORED ADR 876568502 535 1000 SH OTR 0 1000 0 TECK RESOURCES LTD CL B 878742204 90 5000 SH OTR 0 5000 0 TELUS CORP COM 87971M103 208 4800 SH DFND 1 0 4800 0 TEMPLETON DRAGON FD INC COM 88018T101 16 900 SH OTR 0 900 0 TERADATA CORP DEL COM 88076W103 3014 97200 SH DFND 1 0 97200 0 TERADYNE INC COM 880770102 343 15900 SH DFND 1 0 15900 0 TESLA INC COM 88160R101 719 3522 SH DFND 1 0 3522 0 TESLA INC COM 88160R101 51 250 SH OTR 0 250 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 1068 23217 SH DFND 1 0 23217 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 568 12355 SH OTR 0 12355 0 THE CHARLES SCHWAB CORPORATI COM 808513105 818 25920 SH DFND 1 0 25920 0 TILE SHOP HLDGS INC COM 88677Q109 777 47080 SH OTR 0 47080 0 TILE SHOP HLDGS INC COM 88677Q109 246 14900 SH DFND 1 0 14900 0 TIME WARNER INC COM NEW 887317303 796 10000 SH OTR 0 10000 0 TIME WARNER INC COM NEW 887317303 281 3525 SH DFND 1 0 3525 0 TJX COS INC NEW COM 872540109 1872 25029 SH DFND 1 0 25029 0 TORONTO DOMINION BK ONT COM NEW 891160509 443 10000 SH OTR 0 10000 0 TRANSCANADA CORP COM 89353D107 237 5000 SH OTR 0 5000 0 TWITTER INC COM 90184L102 74 3205 SH OTR 0 3205 0 UNILEVER N V N Y SHS NEW 904784709 37 796 SH DFND 1 0 796 0 UNION PAC CORP COM 907818108 341 3500 SH OTR 0 3500 0 UNITED PARCEL SERVICE INC CL B 911312106 28 258 SH DFND 1 0 258 0 UNITED RENTALS INC COM 911363109 837 10659 SH DFND 1 0 10659 0 UNITED RENTALS INC COM 911363109 730 9300 SH OTR 0 9300 0 UNITED STATES OIL FUND LP UNITS 91232N108 257 23500 SH OTR 0 23500 0 UNITED TECHNOLOGIES CORP COM 913017109 789 7767 SH DFND 1 0 7767 0 UNITED TECHNOLOGIES CORP COM 913017109 61 600 SH OTR 0 600 0 UNITEDHEALTH GROUP INC COM 91324P102 1736 12403 SH OTR 0 12403 0 UNITEDHEALTH GROUP INC COM 91324P102 777 5550 SH DFND 1 0 5550 0 VALE S A ADR 91912E105 104 18900 SH OTR 0 18900 0 VALERO ENERGY CORP NEW COM 91913Y100 3355 63300 SH DFND 1 0 63300 0 VANECK VECTORS ETF TR URANIUM NUCLEAR 92189F601 75 1540 SH OTR 0 1540 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 46 1600 SH OTR 0 1600 0 VANECK VECTORS ETF TR VIETNAM ETF 92189F817 3505 232148 SH DFND 1 0 232148 0 VANGUARD FTSE 922042858 8 200 SH OTR 0 200 0 VANGUARD INF TECH ETF 92204A702 120 1000 SH DFND 1 0 1000 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 276 1400 SH OTR 0 1400 0 VENTAS INC COM 92276F100 173 2452 SH DFND 1 0 2452 0 VERIZON COMMUNICATIONS INC COM 92343V104 2765 53204 SH DFND 1 0 53204 0 VERIZON COMMUNICATIONS INC COM 92343V104 161 3093 SH OTR 0 3093 0 VERTEX PHARMACEUTICALS INC COM 92532F100 349 4000 SH DFND 1 0 4000 0 VERTEX PHARMACEUTICALS INC COM 92532F100 30 343 SH OTR 0 343 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 1 90 SH DFND 1 0 90 0 VISA INC COM CL A 92826C839 135575 1639355 SH DFND 1 0 1639355 0 VISA INC COM CL A 92826C839 3267 39505 SH OTR 0 39505 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 210 2600 SH DFND 1 0 2600 0 WALMART INC COM 931142103 4233 58700 SH DFND 1 0 58700 0 WASTE MGMT INC DEL COM 94106L109 124 1950 SH OTR 0 1950 0 WELLS FARGO CO NEW COM 949746101 9430 212970 SH DFND 1 0 212970 0 WELLS FARGO CO NEW COM 949746101 383 8648 SH OTR 0 8648 0 WESTERN DIGITAL CORP COM 958102105 3888 66500 SH DFND 1 0 66500 0 WESTERN UN CO COM 959802109 3967 190500 SH DFND 1 0 190500 0 WESTLAKE CHEM CORP COM 960413102 2819 52700 SH DFND 1 0 52700 0 WILLIAMS COS INC DEL COM 969457100 92 3000 SH OTR 0 3000 0 WYNDHAM WORLDWIDE CORP COM 98310W108 2969 44100 SH DFND 1 0 44100 0 XEROX CORP COM 984121103 85 8448 SH OTR 0 8448 0 XILINX INC COM 983919101 3977 73200 SH DFND 1 0 73200 0 XPO LOGISTICS INC COM 983793100 183 5000 SH OTR 0 5000 0 YAHOO INC COM 984332106 646 14993 SH DFND 1 0 14993 0 YUM BRANDS INC COM 988498101 1415 18151 SH DFND 1 0 18151 0