0000897101-16-003180.txt : 20161101 0000897101-16-003180.hdr.sgml : 20161101 20161101105337 ACCESSION NUMBER: 0000897101-16-003180 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161101 DATE AS OF CHANGE: 20161101 EFFECTIVENESS DATE: 20161101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIT INVESTMENT ASSOCIATES INC CENTRAL INDEX KEY: 0000769317 IRS NUMBER: 411404829 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00180 FILM NUMBER: 161963633 BUSINESS ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123323223 MAIL ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000769317 XXXXXXXX 09-30-2016 09-30-2016 false SIT INVESTMENT ASSOCIATES INC

3300 IDS Center 80 South Eighth Street Minneapolis MN 55402

13F HOLDINGS REPORT 028-00180 N Paul E. Rasmussen 612-331-3223 /s/ Paul E. Rasmussen Minneapolis MN 11-01-2016 1 449 3786684 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml AFLAC INC COMMON 001055102 199 2775 SH SOLE 1 2775 0 0 ABBOTT LABORATORIES COMMON 002824100 21930 518555 SH SOLE 1 518555 0 0 AFFILIATED MANAGERS GROUP INC COMMON 008252108 3267 22575 SH SOLE 1 22575 0 0 ALASKA AIR GROUP INC COMMON 011659109 5147 78150 SH SOLE 1 78150 0 0 ALEXION PHARMACEUTICALS INC COMMON 015351109 5005 40845 SH SOLE 1 40845 0 0 ALIGN TECHNOLOGY INC COMMON 016255101 3188 34000 SH SOLE 1 34000 0 0 ALLSTATE CORP COMMON 020002101 16160 233590 SH SOLE 1 233590 0 0 AMAZON.COM INC COMMON 023135106 670 800 SH SOLE 1 800 0 0 AMETEK INC COMMON 031100100 1147 24000 SH SOLE 1 24000 0 0 ANIXTER INTERNATIONAL INC COMMON 035290105 1403 21750 SH SOLE 1 21750 0 0 APOGEE ENTERPRISES INC COMMON 037598109 1312 29350 SH SOLE 1 29350 0 0 APPLE INC COMMON 037833100 52575 465060 SH SOLE 1 465060 0 0 APPLIED MATERIALS INC COMMON 038222105 39741 1318105 SH SOLE 1 1318105 0 0 ARISTA NETWORKS INC COMMON 040413106 4037 47450 SH SOLE 1 47450 0 0 ASPEN TECHNOLOGY INC COMMON 045327103 5229 111755 SH SOLE 1 111755 0 0 AUTODESK INC COMMON 052769106 1888 26100 SH SOLE 1 26100 0 0 AVERY DENNISON CORP COMMON 053611109 101 1300 SH SOLE 1 1300 0 0 BANK OF NEW YORK MELLON CORP COMMON 064058100 449 11270 SH SOLE 1 11270 0 0 BECTON DICKINSON AND CO COMMON 075887109 23210 129140 SH SOLE 1 129140 0 0 BERKSHIRE HILLS BANCORP INC COMMON 084680107 125 4525 SH SOLE 1 4525 0 0 BIG LOTS INC COMMON 089302103 96 2000 SH SOLE 1 2000 0 0 BLACK HILLS CORP COMMON 092113109 77 1250 SH SOLE 1 1250 0 0 BLACKROCK CAPITAL CORP COMMON 092533108 36 4350 SH SOLE 1 4350 0 0 BLOCK H & R INC COMMON 093671105 424 18300 SH SOLE 1 18300 0 0 BOOZ ALLEN HAMILTON HLDG COMMON 099502106 3269 103425 SH SOLE 1 103425 0 0 BRINKER INTERNATIONAL INC COMMON 109641100 898 17800 SH SOLE 1 17800 0 0 BRISTOL-MYERS SQUIBB CO COMMON 110122108 469 8700 SH SOLE 1 8700 0 0 BUFFALO WILD 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INC COMMON G037AX101 2234 30350 SH SOLE 1 30350 0 0 ACCENTURE PLC COMMON G1151C101 28906 236605 SH SOLE 1 236605 0 0 CARDTRONICS INC COMMON G1991C105 5280 118375 SH SOLE 1 118375 0 0 COCA-COLA EUROPEAN PARTNERS PL COMMON G25839104 2641 66200 SH SOLE 1 66200 0 0 DELPHI AUTOMOTIVE PLC COMMON G27823106 16009 224465 SH SOLE 1 224465 0 0 EVEREST RE GROUP LTD COMMON G3223R108 7224 38025 SH SOLE 1 38025 0 0 FRESH DEL MONTE PRODUCE INC COMMON G36738105 114 1900 SH SOLE 1 1900 0 0 GENPACT LIMITED COMMON G3922B107 920 38400 SH SOLE 1 38400 0 0 INGERSOLL-RAND COMPANY LTD CL A G47791101 14322 210800 SH SOLE 1 210800 0 0 INVESCO LTD COMMON G491BT108 28901 924225 SH SOLE 1 924225 0 0 JAZZ PHARMACEUTICALS PLC COMMON G50871105 1166 9600 SH SOLE 1 9600 0 0 JOHNSON CONTROLS INTL PLC COMMON G51502105 2182 46890 SH SOLE 1 46890 0 0 MEDTRONIC PLC COMMON G5960L103 61292 709400 SH SOLE 1 709400 0 0 NIELSEN HOLDINGS PLC COMMON G6518L108 29787 556045 SH SOLE 1 556045 0 0 STERIS PLC COMMON G84720104 2487 34025 SH SOLE 1 34025 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 10226 205257 SH SOLE 1 205257 0 0 GOLAR LNG LTD BERMUDA COMMON G9456A100 20 950 SH SOLE 1 950 0 0 XL GROUP PLC COMMON G98294104 10364 308175 SH SOLE 1 308175 0 0 CHUBB CORP COMMON H1467J104 20267 161295 SH SOLE 1 161295 0 0 ORION ENGINEERED CARBONS COMMON L72967109 138 7375 SH SOLE 1 7375 0 0 ASML HOLDING NV NY REG SHS N07059210 312 2850 SH SOLE 1 2850 0 0 MOBILEYE N V AMSTELVEEN COMMON N51488117 2212 51950 SH SOLE 1 51950 0 0 LYONDELLBASELL INDUSTRIES COMMON N53745100 20222 250708 SH SOLE 1 250708 0 0 BROADCOM LIMITED COMMON Y09827109 49597 287485 SH SOLE 1 287485 0 0 ADVENT CLAYMORE CV SEC AND INC COMMON 007639107 2431 422077 SH SOLE 1 0 422077 0 ALLIANZGI CONVERTIBLE & INCOME COMMON 018825109 5374 906294 SH SOLE 1 0 906294 0 ALLIANZGI CONVERTIBLE & INCOME COMMON 018828103 5115 757755 SH SOLE 1 0 757755 0 BLACKROCK MUNICIPAL INC QUALIT COMMON 092479104 464 29629 SH SOLE 1 0 29629 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 46956 3517289 SH SOLE 1 0 3517289 0 BROOKFIELD MTG OPP INC FD BOI COMMON 112792106 25662 1710820 SH SOLE 1 0 1710820 0 CENTER COAST MLP & INFRASTRUCT COMMON 151461100 1351 114779 SH SOLE 1 0 114779 0 CLEARBRIDGE AMERICAN ENERGY ML COMMON 184691103 7941 886320 SH SOLE 1 0 886320 0 CLEARBRIDGE ENERGY MLP FUND IN COMMON 184692101 4107 252274 SH SOLE 1 0 252274 0 CREDIT SUISSE ASSET MANAGEMENT COMMON 224916106 1361 433439 SH SOLE 1 0 433439 0 CUSHING MLP TOTAL RETURN FUND/ COMMON 231631201 6000 458727 SH SOLE 1 0 458727 0 CUSHING RENAISSANCE FUND/THE S COMMON 231647108 245 14792 SH SOLE 1 0 14792 0 CUTWATER SELECT INCOME FUND CS COMMON 232229104 8659 427373 SH SOLE 1 0 427373 0 DREYFUS STRATEGIC MUNICIPALS I COMMON 261932107 1919 205283 SH SOLE 1 0 205283 0 ELLSWORTH GROWTH AND INCOME FD COMMON 289074106 1195 145905 SH SOLE 1 0 145905 0 FIRST TRUST ABERDEEN GLOBAL OP COMMON 337319107 8913 756600 SH SOLE 1 0 756600 0 FLAHERTY & CRUMRINE PREFERRED COMMON 338478100 312 15000 SH SOLE 1 0 15000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 209 10000 SH SOLE 1 0 10000 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 21521 1449196 SH SOLE 1 0 1449196 0 KAYNE ANDERSON MLP INVESTMENT COMMON 486606106 9592 464947 SH SOLE 1 0 464947 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 11919 1379496 SH SOLE 1 0 1379496 0 MFS MULTIMARKET INCOME TRUST M COMMON 552737108 7667 1258997 SH SOLE 1 0 1258997 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 4552 842898 SH SOLE 1 0 842898 0 MADISON STRTG SECTOR PREM MSP COMMON 558268108 98 8303 SH SOLE 1 0 8303 0 NUVEEN AMT-FREE MUNICIPAL INCO COMMON 670657105 10939 749233 SH SOLE 1 0 749233 0 NUVEEN MINNESOTA MUNICIPAL INC COMMON 670734102 2550 144128 SH SOLE 1 0 144128 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 5811 240335 SH SOLE 1 0 240335 0 NUVEEN PA INV QUALITY MUNICIPA COMMON 670972108 787 52779 SH SOLE 1 0 52779 0 NUVEEN MI QUALITY INCOME MUNIC COMMON 670979103 235 15963 SH SOLE 1 0 15963 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 53370 10914128 SH SOLE 1 0 10914128 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 38646 8743371 SH SOLE 1 0 8743371 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 2975 223047 SH SOLE 1 0 223047 0 WESTERN ASSET PREMIER BOND FUN COMMON 957664105 4112 306379 SH SOLE 1 0 306379 0 WESTERN ASSET VARIABLE RATE ST COMMON 957667108 16507 1034909 SH SOLE 1 0 1034909 0 WESTERN ASSET WORLDWIDE INCOME COMMON 957668106 13336 1148657 SH SOLE 1 0 1148657 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 22931 1613703 SH SOLE 1 0 1613703 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 604 42800 SH SOLE 1 0 42800 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254E103 2886 189643 SH SOLE 1 0 189643 0 FIRST TRUST MORTGAGE INCOME FU COMMON 33734E103 20586 1423716 SH SOLE 1 0 1423716 0 INVESCO ADVANTAGE MUNI INC TRU COMMON 46132E103 7211 586720 SH SOLE 1 0 586720 0 WESTERN ASSET EMERGING MARKETS COMMON 95766E103 3841 333706 SH SOLE 1 0 333706 0 ALERIAN ETF TR AMLP COMMON 00162Q866 1015 80000 SH SOLE 1 0 80000 0 ADVENT CLAYMORE CV SEC AND INC COMMON 00764C109 2402 164736 SH SOLE 1 0 164736 0 ALLIANCEBERNSTEIN NATIONAL MUN COMMON 01864U106 1492 101258 SH SOLE 1 0 101258 0 BLACKROCK INCOME TRUST INC BKT COMMON 09247F100 56451 8711503 SH SOLE 1 0 8711503 0 BLACKROCK MUNICIPAL 2018 TERM COMMON 09248C106 429 28208 SH SOLE 1 0 28208 0 BLACKROCK TAXABLE MUNI BOND TR COMMON 09248X100 312 13000 SH SOLE 1 0 13000 0 BLACKROCK CA MUNI 2018 TERM TR COMMON 09249C105 315 20744 SH SOLE 1 0 20744 0 BLACKROCK LONG-TERM MUNI ADVAN COMMON 09250B103 8983 710666 SH SOLE 1 0 710666 0 BLACKROCK FL MUNI 2020 TERM TR COMMON 09250M109 600 39162 SH SOLE 1 0 39162 0 BLACKROCK MUNIHOLDINGS FUND II COMMON 09253P109 1955 117503 SH SOLE 1 0 117503 0 BLACKROCK MUNIYIELD FUND INC M COMMON 09253W104 386 24302 SH SOLE 1 0 24302 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254A101 4426 304794 SH SOLE 1 0 304794 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 4515 305714 SH SOLE 1 0 305714 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254G108 2303 162442 SH SOLE 1 0 162442 0 BLACKROCK MUNIHOLDINGS INV QUA COMMON 09254P108 5746 359592 SH SOLE 1 0 359592 0 BLACKROCK MUNIYIELD INV QUALIT COMMON 09254T100 5389 352471 SH SOLE 1 0 352471 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 5047 333828 SH SOLE 1 0 333828 0 BLACKROCK MUNIHOLDINGS NJ QUAL COMMON 09254X101 712 45471 SH SOLE 1 0 45471 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 253 17000 SH SOLE 1 0 17000 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 828 51700 SH SOLE 1 0 51700 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 32106 2331583 SH SOLE 1 0 2331583 0 BLACKROCK DEBT STRATEGIES FUND COMMON 09255R103 7579 2076401 SH SOLE 1 0 2076401 0 CLEARBRIDGE ENERGY MLP OPP FD COMMON 18469P100 14536 1092906 SH SOLE 1 0 1092906 0 CLEARBRIDGE ENERGY MLP TOTAL R COMMON 18469Q108 12966 992025 SH SOLE 1 0 992025 0 COHEN & STEERS MLP INC AND ENE COMMON 19249B106 14899 1385969 SH SOLE 1 0 1385969 0 CORNERSTONE STRATEGIC VAL FD I COMMON 21924B302 149 10005 SH SOLE 1 0 10005 0 CORNERSTONE TOTAL RETURN FUND COMMON 21924U300 3223 221827 SH SOLE 1 0 221827 0 DELAWARE INVS MN MUNI INC FD I COMMON 24610V103 5010 334436 SH SOLE 1 0 334436 0 DEUTSCHE HIGH INCOME TRUST KHI COMMON 25155R100 7111 772043 SH SOLE 1 0 772043 0 DEUTSCHE GLOBAL HIGH INCOME FD COMMON 25158V108 5527 656556 SH SOLE 1 0 656556 0 DEUTSCHE HIGH INCOME OPPORTUNI COMMON 25158Y102 9901 699695 SH SOLE 1 0 699695 0 DEUTSCHE MUNICIPAL INCOME TRUS COMMON 25160C106 4936 350348 SH SOLE 1 0 350348 0 DEUTSCHE STRATEGIC INCOME TRUS COMMON 25160F109 2156 177924 SH SOLE 1 0 177924 0 DIVIDEND AND INCOME FUND DNI COMMON 25538A204 1954 174344 SH SOLE 1 0 174344 0 DREYFUS STRATEGIC MUNICIPAL BO COMMON 26202F107 4248 479479 SH SOLE 1 0 479479 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 37826 3871652 SH SOLE 1 0 3871652 0 DUFF & PHELPS SELECT ENERGY ML COMMON 26433F108 725 93826 SH SOLE 1 0 93826 0 EATON VANCE MUNICIPAL BOND FUN COMMON 27827X101 584 42901 SH SOLE 1 0 42901 0 EATON VANCE CA MUNICIPAL BOND COMMON 27828C106 242 18592 SH SOLE 1 0 18592 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 29511 2152548 SH SOLE 1 0 2152548 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 48038 3503844 SH SOLE 1 0 3503844 0 FIDUCIARY/CLAYMORE MLP OPP FD COMMON 31647Q106 5618 356042 SH SOLE 1 0 356042 0 FIRST TRUST DIVIDEND AND INCO COMMON 33731L100 7607 834984 SH SOLE 1 0 834984 0 FIRST TRUST ENERGY INC AND GRO COMMON 33738G104 9350 345147 SH SOLE 1 0 345147 0 FIRST TRUST MLP AND ENERGY INC COMMON 33739B104 8851 534468 SH SOLE 1 0 534468 0 FIRST TRUST NEW OPPORTUNITIES COMMON 33739M100 649 47466 SH SOLE 1 0 47466 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 38264 3164897 SH SOLE 1 0 3164897 0 JOHN HANCOCK PREFERRED INCOME COMMON 41021P103 634 32783 SH SOLE 1 0 32783 0 INVESCO MUNICIPAL TRUST VKQ COMMON 46131J103 5629 408191 SH SOLE 1 0 408191 0 INVESCO TRUST FOR INV GRADE MU COMMON 46131M106 6422 455471 SH SOLE 1 0 455471 0 INVESCO TRUST FOR INV GRADE NY COMMON 46131T101 239 15500 SH SOLE 1 0 15500 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 5842 409954 SH SOLE 1 0 409954 0 INVESCO PA VALUE MUNICIPAL INC COMMON 46132K109 2381 175490 SH SOLE 1 0 175490 0 INVESCO BOND FUND VBF COMMON 46132L107 7555 390446 SH SOLE 1 0 390446 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 6790 492033 SH SOLE 1 0 492033 0 KAYNE ANDERSON ENERGY DEVELOPM COMMON 48660Q102 1742 91864 SH SOLE 1 0 91864 0 MFS INTERMEDIATE INCOME TRUST COMMON 55273C107 36285 8010035 SH SOLE 1 0 8010035 0 MACQUARIE GLBL INFRASTRUCTURE COMMON 55608D101 5775 264889 SH SOLE 1 0 264889 0 MANAGED DUR INV GRADE MUNICIPA COMMON 56165R103 2394 166747 SH SOLE 1 0 166747 0 MORGAN STANLEY INCOME SECURITI COMMON 61745P874 5770 304963 SH SOLE 1 0 304963 0 NEUBERGER BERMAN MLP INCOME FD COMMON 64129H104 625 67300 SH SOLE 1 0 67300 0 NEUBERGER BERMAN REAL ESTATE S COMMON 64190A103 1485 261032 SH SOLE 1 0 261032 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67066V101 13127 871070 SH SOLE 1 0 871070 0 NUVEEN CA DIVIDEND ADVANTAGE M COMMON 67069X104 201 12226 SH SOLE 1 0 12226 0 NUVEEN NJ DIVIDEND ADVANTAGE M COMMON 67069Y102 2961 199549 SH SOLE 1 0 199549 0 NUVEEN GLOBAL EQUITY INCOME FU COMMON 6706EH103 6188 518239 SH SOLE 1 0 518239 0 NUVEEN ENHANCED MUNI CREDIT OP COMMON 67070X101 2065 131220 SH SOLE 1 0 131220 0 NUVEEN ENHANCED AMT-FREE MUNI COMMON 67071L106 1962 122098 SH SOLE 1 0 122098 0 NUVEEN PREFERRED SECURITIES IN COMMON 67072C105 3213 335035 SH SOLE 1 0 335035 0 NUVEEN BUILD AMERICA BOND FUND COMMON 67074C103 3089 136191 SH SOLE 1 0 136191 0 NUVEEN BUILD AMERICA BOND OPP COMMON 67074Q102 15281 669922 SH SOLE 1 0 669922 0 NUVEEN MTG OPP TERM FD 2 JMT COMMON 67074R100 4429 186729 SH SOLE 1 0 186729 0 NUVEEN ENERGY MLP TOTAL RETURN COMMON 67074U103 13034 993445 SH SOLE 1 0 993445 0 NUVEEN MULTI-MARKET INCOME FUN COMMON 67075J107 19857 2647063 SH SOLE 1 0 2647063 0 PIMCO INCOME STRATEGY FUND PFL COMMON 72201H108 10273 960952 SH SOLE 1 0 960952 0 PIMCO INCOME STRATEGY FUND II COMMON 72201J104 14839 1557104 SH SOLE 1 0 1557104 0 PIMCO INCOME OPPORTUNITY FUND COMMON 72202B100 734 31704 SH SOLE 1 0 31704 0 PIMCO DYNAMIC CREDIT AND MTG I COMMON 72202D106 26141 1282040 SH SOLE 1 0 1282040 0 SALIENT MIDSTREAM & MLP FUND S COMMON 79471V105 5178 408369 SH SOLE 1 0 408369 0 SPECIAL OPPORTUNITIES FUND INC COMMON 84741T104 6829 458025 SH SOLE 1 0 458025 0 TORTOISE MLP FUND INC NTG COMMON 89148B101 12489 624744 SH SOLE 1 0 624744 0 TORTOISE PIPELINE & ENERGY FUN COMMON 89148H108 2905 137140 SH SOLE 1 0 137140 0 TORTOISE ENERGY INDEPENDENCE F COMMON 89148K101 1659 104501 SH SOLE 1 0 104501 0 VIRTUS TOTAL RETURN FUND DCA COMMON 92829A103 5137 1083748 SH SOLE 1 0 1083748 0 VIRTUS GLOBAL MULTI-SECTOR INC COMMON 92829B101 7428 467443 SH SOLE 1 0 467443 0 WELLS FARGO MULTI-SECTOR INCOM COMMON 94987D101 32011 2468084 SH SOLE 1 0 2468084 0 WESTERN ASSET EMERGING MARKETS COMMON 95766A101 1901 116937 SH SOLE 1 0 116937 0 WESTERN ASSET GLOBAL HIGH INCO COMMON 95766B109 5214 511707 SH SOLE 1 0 511707 0 WESTERN ASSET MUNICIPAL PARTNE COMMON 95766P108 331 19613 SH SOLE 1 0 19613 0 WA/CLAY INFLATION-LINKED SEC COMMON 95766Q106 13362 1167004 SH SOLE 1 0 1167004 0 WA/CLAY INFLATION-LINKED OPP COMMON 95766R104 16923 1512353 SH SOLE 1 0 1512353 0 WA GLOBAL CORPORATE DEFINED OP COMMON 95790C107 1562 88301 SH SOLE 1 0 88301 0