Chief Compliance Officer

0001085146-20-000856.txt : 20200214 0001085146-20-000856.hdr.sgml : 20200214 20200214160244 ACCESSION NUMBER: 0001085146-20-000856 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Optas, LLC CENTRAL INDEX KEY: 0001802961 IRS NUMBER: 824232409 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20126 FILM NUMBER: 20619282 BUSINESS ADDRESS: STREET 1: 235 MONTGOMERY ST. STREET 2: SUITE 1201 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 415 466 3989 MAIL ADDRESS: STREET 1: 235 MONTGOMERY ST. STREET 2: SUITE 1201 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001802961 XXXXXXXX 12-31-2019 12-31-2019 false Optas, LLC

235 MONTGOMERY ST. SUITE 1201 SAN FRANCISCO CA 94104

13F HOLDINGS REPORT 028-20126 N Michael Berger Chief Compliance Officer 415-466-3989 /s/ Michael Berger San Francisco CA 02-14-2020 0 148 259053 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 364 2070 SH SOLE 2070 0 0 ADOBE INC COM 00724F101 379 1146 SH SOLE 1146 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 934 5835 SH SOLE 5835 0 0 ALLERGAN PLC SHS G0177J108 307 1610 SH SOLE 1610 0 0 ALPHABET INC CAP STK CL A 02079K305 7492 5594 SH SOLE 5594 0 0 ALPHABET INC CAP STK CL C 02079K107 6130 4585 SH SOLE 4585 0 0 AMAZON COM INC COM 023135106 1200 649 SH SOLE 649 0 0 AMERICAN EXPRESS CO COM 025816109 427 3439 SH SOLE 3439 0 0 AMERICAN TOWER CORP NEW COM 03027X100 338 1477 SH SOLE 1477 0 0 AMERISOURCEBERGEN CORP COM 03073E105 772 9076 SH SOLE 9076 0 0 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 47 47000 SH SOLE 47000 0 0 APPLE INC COM 037833100 3716 12647 SH SOLE 12647 0 0 APTIV PLC SHS G6095L109 808 8516 SH SOLE 8516 0 0 ARES CAP CORP COM 04010L103 247 13237 SH SOLE 13237 0 0 ARISTA NETWORKS INC COM 040413106 431 2121 SH SOLE 2121 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 222 751 SH SOLE 751 0 0 AT&T INC COM 00206R102 735 18801 SH SOLE 18801 0 0 AUTODESK INC COM 052769106 291 1593 SH SOLE 1593 0 0 BECTON DICKINSON & CO COM 075887109 836 3074 SH SOLE 3074 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 258 1137 SH SOLE 1137 0 0 BEYOND MEAT INC COM 08862E109 43962 581499 SH SOLE 581499 0 0 BIOGEN INC COM 09062X103 521 1753 SH SOLE 1753 0 0 BLACKSTONE MTG TR INC NOTE 4.375% 5/0 09257WAB6 45 42000 SH SOLE 42000 0 0 BROADCOM INC COM 11135F101 305 967 SH SOLE 967 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 315 2546 SH SOLE 2546 0 0 CHEVRON CORP NEW COM 166764100 984 8175 SH SOLE 8175 0 0 CHUBB LIMITED COM H1467J104 306 1957 SH SOLE 1957 0 0 CIGNA CORP NEW COM 125523100 816 3991 SH SOLE 3991 0 0 CISCO SYS INC COM 17275R102 696 14498 SH SOLE 14498 0 0 COCA COLA CO COM 191216100 691 12504 SH SOLE 12504 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 483 7778 SH SOLE 7778 0 0 COLGATE PALMOLIVE CO COM 194162103 269 3904 SH SOLE 3904 0 0 COMCAST CORP NEW CL A 20030N101 2143 47625 SH SOLE 47625 0 0 COSTCO WHSL CORP NEW COM 22160K105 684 2329 SH SOLE 2329 0 0 CSX CORP COM 126408103 357 4941 SH SOLE 4941 0 0 DANAHER CORPORATION COM 235851102 753 4912 SH SOLE 4912 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 339 2021 SH SOLE 2021 0 0 DIGITAL RLTY TR INC COM 253868103 286 2389 SH SOLE 2389 0 0 DISNEY WALT CO COM DISNEY 254687106 1085 7500 SH SOLE 7500 0 0 DOW INC COM 260557103 258 4707 SH SOLE 4707 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 644 7075 SH SOLE 7075 0 0 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 35 36000 SH SOLE 36000 0 0 ENTERGY CORP NEW COM 29364G103 337 2816 SH SOLE 2816 0 0 FACEBOOK INC CL A 30303M102 2161 10525 SH SOLE 10525 0 0 FASTENAL CO COM 311900104 315 8515 SH SOLE 8515 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 337 7416 SH SOLE 7416 0 0 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 1372 40943 SH SOLE 40943 0 0 GENERAL ELECTRIC CO COM 369604103 544 48860 SH SOLE 48860 0 0 GILDAN ACTIVEWEAR INC COM 375916103 317 10773 SH SOLE 10773 0 0 GILEAD SCIENCES INC COM 375558103 903 13902 SH SOLE 13902 0 0 GRACO INC COM 384109104 254 4884 SH SOLE 4884 0 0 GRAINGER W W INC COM 384802104 621 1837 SH SOLE 1837 0 0 INTEL CORP COM 458140100 490 8184 SH SOLE 8184 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 978 10558 SH SOLE 10558 0 0 INTUIT COM 461202103 450 1718 SH SOLE 1718 0 0 INVESCO EXCHANGE TRADED FD T S&P MDCP400 EQ 46137V225 1579 23398 SH SOLE 23398 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL DIS 46137V381 1079 9716 SH SOLE 9716 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 2026 9146 SH SOLE 9146 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL IND 46137V324 442 3275 SH SOLE 3275 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 1650 11302 SH SOLE 11302 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 1742 8785 SH SOLE 8785 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 474 4104 SH SOLE 4104 0 0 ISHARES TR JPMORGAN USD EMG 464288281 473 4128 SH SOLE 4128 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 397 8852 SH SOLE 8852 0 0 ISHARES TR RUS MID CAP ETF 464287499 259 4345 SH SOLE 4345 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1351 7909 SH SOLE 7909 0 0 JOHNSON & JOHNSON COM 478160104 925 6332 SH SOLE 6332 0 0 JPMORGAN CHASE & CO COM 46625H100 972 6969 SH SOLE 6969 0 0 KINDER MORGAN INC DEL COM 49456B101 214 10135 SH SOLE 10135 0 0 KROGER CO COM 501044101 590 20335 SH SOLE 20335 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 346 1753 SH SOLE 1753 0 0 LINDE PLC SHS G5494J103 614 2890 SH SOLE 2890 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 40 11956 SH SOLE 11956 0 0 LOCKHEED MARTIN CORP COM 539830109 271 696 SH SOLE 696 0 0 MASTERCARD INC CL A 57636Q104 1379 4616 SH SOLE 4616 0 0 MEDTRONIC PLC SHS G5960L103 1669 14718 SH SOLE 14718 0 0 MICROSOFT CORP COM 594918104 3315 21020 SH SOLE 21020 0 0 MONDELEZ INTL INC CL A 609207105 727 13231 SH SOLE 13231 0 0 NATIONAL GRID PLC SPONSORED ADR NE 636274409 384 6130 SH SOLE 6130 0 0 NIKE INC CL B 654106103 353 3492 SH SOLE 3492 0 0 NOBLE ENERGY INC COM 655044105 319 12846 SH SOLE 12846 0 0 NORTHERN TR CORP COM 665859104 318 2995 SH SOLE 2995 0 0 NVIDIA CORP COM 67066G104 284 1209 SH SOLE 1209 0 0 NXP SEMICONDUCTORS N V COM N6596X109 436 3416 SH SOLE 3416 0 0 ORACLE CORP COM 68389X105 282 5320 SH SOLE 5320 0 0 PAYCHEX INC COM 704326107 390 4580 SH SOLE 4580 0 0 PAYPAL HLDGS INC COM 70450Y103 707 6524 SH SOLE 6524 0 0 PENNYMAC CORP NOTE 5.375% 5/0 70932AAB9 44 44000 SH SOLE 44000 0 0 PEPSICO INC COM 713448108 405 2960 SH SOLE 2960 0 0 PFIZER INC COM 717081103 369 9428 SH SOLE 9428 0 0 PINTEREST INC CL A 72352L106 1088 58344 SH SOLE 58344 0 0 POLARIS INC COM 731068102 307 3016 SH SOLE 3016 0 0 PROCTER & GAMBLE CO COM 742718109 727 5834 SH SOLE 5834 0 0 PROGRESSIVE CORP OHIO COM 743315103 771 10666 SH SOLE 10666 0 0 RAYONIER INC COM 754907103 269 8257 SH SOLE 8257 0 0 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 38 37000 SH SOLE 37000 0 0 RYANAIR HLDGS PLC SPONSORED ADS 783513203 548 6259 SH SOLE 6259 0 0 SALESFORCE COM INC COM 79466L302 429 2626 SH SOLE 2626 0 0 SAP SE SPON ADR 803054204 269 1998 SH SOLE 1998 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 256 4310 SH SOLE 4310 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1497 11945 SH SOLE 11945 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 745 24225 SH SOLE 24225 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 435 5311 SH SOLE 5311 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1808 19736 SH SOLE 19736 0 0 SHERWIN WILLIAMS CO COM 824348106 639 1094 SH SOLE 1094 0 0 SL GREEN RLTY CORP COM 78440X101 331 3622 SH SOLE 3622 0 0 SOUTHERN CO COM 842587107 363 5708 SH SOLE 5708 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8694 27012 SH SOLE 27012 0 0 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 701 12620 SH SOLE 12620 0 0 SQUARE INC CL A 852234103 5782 92392 SH SOLE 92392 0 0 STANLEY BLACK & DECKER INC COM 854502101 1009 6086 SH SOLE 6086 0 0 STARBUCKS CORP COM 855244109 635 7255 SH SOLE 7255 0 0 TE CONNECTIVITY LTD REG SHS H84989104 231 2416 SH SOLE 2416 0 0 TEXAS INSTRS INC COM 882508104 1129 8810 SH SOLE 8810 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 317 975 SH SOLE 975 0 0 TIFFANY & CO NEW COM 886547108 409 3055 SH SOLE 3055 0 0 TJX COS INC NEW COM 872540109 488 7943 SH SOLE 7943 0 0 TPG SPECIALTY LENDING INC NOTE 4.500% 8/0 87265KAD4 34 32000 SH SOLE 32000 0 0 TWITTER INC COM 90184L102 7323 228466 SH SOLE 228466 0 0 UNILEVER N V N Y SHS NEW 904784709 662 11527 SH SOLE 11527 0 0 UNION PACIFIC CORP COM 907818108 1592 8808 SH SOLE 8808 0 0 UNITED RENTALS INC COM 911363109 606 3631 SH SOLE 3631 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1895 6465 SH SOLE 6465 0 0 US BANCORP DEL COM NEW 902973304 1023 17268 SH SOLE 17268 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 7152 85289 SH SOLE 85289 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 13973 246877 SH SOLE 246877 0 0 VANGUARD GROUP DIV APP ETF 921908844 301 2412 SH SOLE 2412 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 333 3590 SH SOLE 3590 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 35292 215701 SH SOLE 215701 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 647 5407 SH SOLE 5407 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 253 2272 SH SOLE 2272 0 0 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 1566 29281 SH SOLE 29281 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 24206 434692 SH SOLE 434692 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 437 9917 SH SOLE 9917 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1233 13173 SH SOLE 13173 0 0 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 452 7094 SH SOLE 7094 0 0 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 327 3470 SH SOLE 3470 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 1178 7313 SH SOLE 7313 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 805 4203 SH SOLE 4203 0 0 VANGUARD WORLD FDS UTILITIES ETF 92204A876 511 3570 SH SOLE 3570 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 220 1008 SH SOLE 1008 0 0 WALMART INC COM 931142103 657 5517 SH SOLE 5517 0 0 WEYERHAEUSER CO COM 962166104 569 18797 SH SOLE 18797 0 0 WISDOMTREE TR INTL MIDCAP DV 97717W778 1108 16860 SH SOLE 16860 0 0 WISDOMTREE TR US MIDCAP FUND 97717W570 3594 85381 SH SOLE 85381 0 0 WISDOMTREE TR US SMALLCAP FUND 97717W562 2723 70853 SH SOLE 70853 0 0 ZEBRA TECHNOLOGIES CORP CL A 989207105 409 1602 SH SOLE 1602 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 242 5260 SH SOLE 5260 0 0