DOW CHEMICAL CO /DE/ Diversified Active

CIK: 0000029915 · Show all filings

Period: Q4 2016 (← Previous) (Next →)

Filing Date: Feb 13, 2017

Total Value ($000): $969,109 (100.0% shares, 0.0% debt)

Holdings (30)

SPY SPDR S&P 500 ETF TR 22.6%

Value ($000) $218,656 Shares 1,010,893 Est. Cost $165.39 Unrealized —

EEM ISHARES TR 15.1%

Value ($000) $146,818 Shares 3,920,376 Est. Cost $38.31 Unrealized —

IVV ISHARES TR 11.2%

Value ($000) $108,217 Shares 497,412 Est. Cost $185.86 Unrealized —

— JPMORGAN CHASE & CO 6.4%

Value ($000) $62,026 Shares 1,969,090 Est. Cost $43.40 Unrealized —

XLK SELECT SECTOR SPDR TR 5.0%

Value ($000) $48,258 Shares 1,010,000 Est. Cost $41.89 Unrealized —

— AGROFRESH SOLUTIONS 4.8%

Value ($000) $46,375 Shares 17,500,000 Est. Cost $7.94 Unrealized —

— FORTRESS TRANS INFRST INVS L 4.3%

Value ($000) $41,764 Shares 3,338,482 Est. Cost $10.15 Unrealized —

XLV SELECT SECTOR SPDR TR 4.1%

Value ($000) $39,993 Shares 554,607 Est. Cost $70.65 Unrealized —

XLP SELECT SECTOR SPDR TR 3.0%

Value ($000) $29,457 Shares 553,607 Est. Cost $52.02 Unrealized —

VNQ VANGUARD INDEX FDS 2.7%

Value ($000) $26,594 Shares 306,600 Est. Cost $70.62 Unrealized —

XLF SELECT SECTOR SPDR TR 2.7%

Value ($000) $25,714 Shares 1,332,332 Est. Cost $21.29 Unrealized —

XLU SELECT SECTOR SPDR TR 2.6%

Value ($000) $25,190 Shares 514,189 Est. Cost $44.79 Unrealized —

VWO VANGUARD INTL EQUITY INDEX F 2.5%

Value ($000) $24,498 Shares 651,022 Est. Cost $38.78 Unrealized —

XLY SELECT SECTOR SPDR TR 2.3%

Value ($000) $22,203 Shares 277,393 Est. Cost $72.81 Unrealized —

XLI SELECT SECTOR SPDR TR 2.1%

Value ($000) $20,083 Shares 343,997 Est. Cost $50.77 Unrealized —

— PFENEX INC 1.7%

Value ($000) $16,067 Shares 1,771,428 Est. Cost $15.94 Unrealized —

XLE SELECT SECTOR SPDR TR 1.6%

Value ($000) $15,854 Shares 224,527 Est. Cost $66.41 Unrealized —

XLB SELECT SECTOR SPDR TR 1.6%

Value ($000) $15,300 Shares 320,410 Est. Cost $47.33 Unrealized —

GUNR FLEXSHARES TR 1.2%

Value ($000) $11,797 Shares 428,500 Est. Cost $35.07 Unrealized —

— POWERSHARES DB CMDTY IDX TRA 1.2%

Value ($000) $11,677 Shares 777,950 Est. Cost $24.26 Unrealized —

XLRE SELECT SECTOR SPDR TR 0.7%

Value ($000) $6,440 Shares 196,520 Est. Cost $32.77 Unrealized —

XBI SPDR SERIES TRUST 0.2%

Value ($000) $1,989 Shares 30,000 Est. Cost $56.12 Unrealized —

— SPDR SERIES TRUST 0.1%

Value ($000) $1,435 Shares 37,321 Est. Cost $35.19 Unrealized —

— AGROFRESH SOLUTIONS 0.1%

Value ($000) $1,080 Shares 6,000,000 Est. Cost $0.78 Unrealized —

VGT VANGUARD WORLD FDS 0.1%

Value ($000) $602 Shares 5,000 Est. Cost $120.40 Unrealized —

— VANECK VECTORS ETF TR 0.0%

Value ($000) $439 Shares 15,000 Est. Cost $29.27 Unrealized —

— TETRAPHASE PHARMACEUTICALS I 0.0%

Value ($000) $249 Shares 65,000 Est. Cost $7.46 Unrealized —

ORI OLD REPUBLIC INTL CORP 0.0%

Value ($000) $235 Shares 12,375 Est. Cost $9.34 Unrealized -4.5%

FOLD AMICUS THERAPEUTICS INC 0.0%

Value ($000) $73 Shares 14,674 Est. Cost $6.75 Unrealized +2.5%

ARDX ARDELYX INC 0.0%

Value ($000) $26 Shares 1,798 Est. Cost $10.48 Unrealized +35.5%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
SPY	SPDR S&P 500 ETF TR	1,010,893	$218,656	22.6%	$165.39	—	TR UNIT	78462F103
EEM	ISHARES TR	3,920,376	$146,818	15.1%	$38.31	—	MSCI EMG MKT ETF	464287234
IVV	ISHARES TR	497,412	$108,217	11.2%	$185.86	—	CORE S&P500 ETF	464287200
—	JPMORGAN CHASE & CO	1,969,090	$62,026	6.4%	$43.40	—	ALERIAN ML ETN	46625H365
XLK	SELECT SECTOR SPDR TR	1,010,000	$48,258	5.0%	$41.89	—	TECHNOLOGY	81369Y803
—	AGROFRESH SOLUTIONS	17,500,000	$46,375	4.8%	$7.94	—	COM	00856G109
—	FORTRESS TRANS INFRST INVS L	3,338,482	$41,764	4.3%	$10.15	—	COM REP LTD LIAB	34960P101
XLV	SELECT SECTOR SPDR TR	554,607	$39,993	4.1%	$70.65	—	SBI HEALTHCARE	81369Y209
XLP	SELECT SECTOR SPDR TR	553,607	$29,457	3.0%	$52.02	—	SBI CONS STPLS	81369Y308
VNQ	VANGUARD INDEX FDS	306,600	$26,594	2.7%	$70.62	—	REIT ETF	922908553
XLF	SELECT SECTOR SPDR TR	1,332,332	$25,714	2.7%	$21.29	—	SBI INT-FINL	81369Y605
XLU	SELECT SECTOR SPDR TR	514,189	$25,190	2.6%	$44.79	—	SBI INT-UTILS	81369Y886
VWO	VANGUARD INTL EQUITY INDEX F	651,022	$24,498	2.5%	$38.78	—	FTSE EMR MKT ETF	922042858
XLY	SELECT SECTOR SPDR TR	277,393	$22,203	2.3%	$72.81	—	SBI CONS DISCR	81369Y407
XLI	SELECT SECTOR SPDR TR	343,997	$20,083	2.1%	$50.77	—	SBI INT-INDS	81369Y704
—	PFENEX INC	1,771,428	$16,067	1.7%	$15.94	—	COM	717071104
XLE	SELECT SECTOR SPDR TR	224,527	$15,854	1.6%	$66.41	—	SBI INT-ENERGY	81369Y506
XLB	SELECT SECTOR SPDR TR	320,410	$15,300	1.6%	$47.33	—	SBI MATERIALS	81369Y100
GUNR	FLEXSHARES TR	428,500	$11,797	1.2%	$35.07	—	MORNSTAR UPSTR	33939L407
—	POWERSHARES DB CMDTY IDX TRA	777,950	$11,677	1.2%	$24.26	—	UNIT BEN INT	73935S105
XLRE	SELECT SECTOR SPDR TR	196,520	$6,440	0.7%	$32.77	—	RL EST SEL SEC	81369Y860
XBI	SPDR SERIES TRUST	30,000	$1,989	0.2%	$56.12	—	S&P BIOTECH	78464A870
—	SPDR SERIES TRUST	37,321	$1,435	0.1%	$35.19	—	S&P OILGAS EXP	78464A730
—	AGROFRESH SOLUTIONS	6,000,000	$1,080	0.1%	$0.78	—	WARRANTS	00856G117
VGT	VANGUARD WORLD FDS	5,000	$602	0.1%	$120.40	—	INF TECH ETF	92204A702
—	VANECK VECTORS ETF TR	15,000	$439	0.0%	$29.27	—	OIL SVCS ETF	92189F718
—	TETRAPHASE PHARMACEUTICALS I	65,000	$249	0.0%	$7.46	—	COM	88165N105
ORI	OLD REPUBLIC INTL CORP	12,375	$235	0.0%	$9.34	-4.5%	COM	680223104
FOLD	AMICUS THERAPEUTICS INC	14,674	$73	0.0%	$6.75	+2.5%	COM	03152W109
ARDX	ARDELYX INC	1,798	$26	0.0%	$10.48	+35.5%	COM	039697107