0001599511-14-000010.txt : 20140310 0001599511-14-000010.hdr.sgml : 20140310 20140307184624 ACCESSION NUMBER: 0001599511-14-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20140310 DATE AS OF CHANGE: 20140307 EFFECTIVENESS DATE: 20140310 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tortoise Investment Management, LLC CENTRAL INDEX KEY: 0001599511 IRS NUMBER: 201723529 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15827 FILM NUMBER: 14678765 BUSINESS ADDRESS: STREET 1: 239 CENTRAL AVENUE STREET 2: 2ND FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 BUSINESS PHONE: 914-686-0024 MAIL ADDRESS: STREET 1: 239 CENTRAL AVENUE STREET 2: 2ND FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001599511 XXXXXXXX 09-30-2013 09-30-2013 Tortoise Investment Management, LLC

239 CENTRAL AVENUE 2ND FLOOR WHITE PLAINS NY 10606

13F HOLDINGS REPORT 028-15827 N Randal Goldstein 914-686-0024 Randal Goldstein White Plains NY 03-07-2014 0 364 165639 false INFORMATION TABLE 2 tortoise13f3q2013.xml 3M CO COM 88579Y101 109 915 SH SOLE 0 0 915 ABBOTT LABS COM 002824100 47 1426 SH SOLE 0 0 1426 ABBVIE INC COM 00287Y109 63 1400 SH SOLE 0 0 1400 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2280 376200 SH SOLE 0 0 376200 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3 35 SH SOLE 0 0 35 AES CORP COM 00130H105 29 2200 SH SOLE 0 0 2200 ALCOA INC NOTE 5.250% 3/1 013817AT8 3 2000 PRN SOLE 0 0 2000 ALLEGHENY TECHNOLOGIES INC NOTE 4.250% 6/0 01741RAD4 3 3000 PRN SOLE 0 0 3000 ALLERGAN INC COM 018490102 7 80 SH SOLE 0 0 80 ALPS ETF TR ALERIAN MLP 00162Q866 252 14350 SH SOLE 0 0 14350 ALTRIA GROUP INC COM 02209S103 38 1115 SH SOLE 0 0 1115 AMAZON COM INC COM 023135106 7 21 SH SOLE 0 0 21 AMERICAN EXPRESS CO COM 025816109 13 167 SH SOLE 0 0 167 AMERICAN INTL GROUP INC COM NEW 026874784 1 5 SH SOLE 0 0 5 AMERICAN INTL GROUP INC *W EXP 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U.S. UTILITS ETF 464287697 7 77 SH SOLE 0 0 77 ISHARES S&P 500 GRWT ETF 464287309 11 120 SH SOLE 0 0 120 ISHARES S&P MC 400GR ETF 464287606 17 124 SH SOLE 0 0 124 ISHARES MSCI INDONIA ETF 46429B309 24 1000 SH SOLE 0 0 1000 ISHARES MBS ETF 464288588 29 275 SH SOLE 0 0 275 ISHARES MSCI JAPAN ETF 464286848 30 2500 SH SOLE 0 0 2500 ISHARES S&P MC 400VL ETF 464287705 32 300 SH SOLE 0 0 300 ISHARES MSCI ACWI ETF 464288257 33 610 SH SOLE 0 0 610 ISHARES RUS 1000 GRW ETF 464287614 39 500 SH SOLE 0 0 500 ISHARES MSCI EMG MKT ETF 464287234 39 25000 SH Call SOLE 0 0 0 ISHARES DOW JONES US ETF 464287846 44 516 SH SOLE 0 0 516 ISHARES CALI AMT-FRE ETF 464288356 54 500 SH SOLE 0 0 500 ISHARES MSCI FRNTR100ETF 464286145 76 2400 SH SOLE 0 0 2400 ISHARES MICRO-CAP ETF 464288869 79 1150 SH SOLE 0 0 1150 ISHARES RUSSELL 3000 ETF 464287689 81 800 SH SOLE 0 0 800 ISHARES RUS MID-CAP ETF 464287499 148 1065 SH SOLE 0 0 1065 ISHARES CORE S&P MCP ETF 464287507 149 1199 SH SOLE 0 0 1199 ISHARES INTL DEV RE ETF 464288489 193 5750 SH SOLE 0 0 5750 ISHARES INTL SEL DIV ETF 464288448 217 5995 SH SOLE 0 0 5995 ISHARES EM MKT SM-CP ETF 464286475 231 4990 SH SOLE 0 0 4990 ISHARES U.S. REAL ES ETF 464287739 247 3869 SH SOLE 0 0 3869 ISHARES JP MOR EM MK ETF 464288281 299 2741 SH SOLE 0 0 2741 ISHARES INTERM CR BD ETF 464288638 324 3000 SH SOLE 0 0 3000 ISHARES 1-3 YR CR BD ETF 464288646 421 3995 SH SOLE 0 0 3995 ISHARES MSCI ACWI US ETF 464288240 473 10551 SH SOLE 0 0 10551 ISHARES 7-10 Y TR BD ETF 464287440 495 4845 SH SOLE 0 0 4845 ISHARES IBOXX INV CP ETF 464287242 704 6203 SH SOLE 0 0 6203 ISHARES RUS 1000 VAL ETF 464287598 705 8174 SH SOLE 0 0 8174 ISHARES RUSSELL 2000 ETF 464287655 868 8143 SH SOLE 0 0 8143 ISHARES NY AMTFRE MU ETF 464288323 1103 10636 SH SOLE 0 0 10636 ISHARES SP SMCP600VL ETF 464287879 1970 19274 SH SOLE 0 0 19274 ISHARES EAFE SML CP ETF 464288273 2731 56299 SH SOLE 0 0 56299 ISHARES CORE S&P SCP ETF 464287804 2757 27622 SH SOLE 0 0 27622 ISHARES NAT AMT FREE BD 464288414 3044 29134 SH SOLE 0 0 29134 ISHARES GL TIMB FORE ETF 464288174 3915 79245 SH SOLE 0 0 79245 ISHARES MSCI EMG MKT ETF 464287234 4389 107695 SH SOLE 0 0 107695 ISHARES MSCI EAFE ETF 464287465 4439 69575 SH SOLE 0 0 69575 ISHARES RUS 1000 ETF 464287622 6031 64041 SH SOLE 0 0 64041 ISHARES IBOXX HI YD ETF 464288513 6887 75207 SH SOLE 0 0 75207 ISHARES CORE S&P500 ETF 464287200 9074 53724 SH SOLE 0 0 53724 ISHARES INC CORE MSCI EMKT 46434G103 3029 62269 SH SOLE 0 0 62269 ISHARES TR CORE MSCI EAFE 46432F842 10 2500 SH Call SOLE 0 0 0 ISHARES TR CORE MSCI EAFE 46432F842 2845 49358 SH SOLE 0 0 49358 JOHNSON & JOHNSON COM 478160104 470 5425 SH SOLE 0 0 5425 JPMORGAN CHASE & CO COM 46625H100 1 700 SH Call SOLE 0 0 0 JPMORGAN CHASE & CO COM 46625H100 36 700 SH SOLE 0 0 700 KELLOGG CO COM 487836108 1 19 SH SOLE 0 0 19 KIMBERLY CLARK CORP COM 494368103 25 265 SH SOLE 0 0 265 KINDER MORGAN INC DEL COM 49456B101 8 214 SH SOLE 0 0 214 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 7665 102250 SH SOLE 0 0 102250 KRAFT FOODS GROUP INC COM 50076Q106 21 407 SH SOLE 0 0 407 L BRANDS INC COM 501797104 837 13700 SH SOLE 0 0 13700 LEUCADIA NATL CORP COM 527288104 16 600 SH SOLE 0 0 600 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 1 4 SH SOLE 0 0 4 LIGHTBRIDGE CORP COM 53224K104 8 4234 SH SOLE 0 0 4234 LILLY ELI & CO COM 532457108 25 490 SH SOLE 0 0 490 LINKEDIN CORP COM CL A 53578A108 4 17 SH SOLE 0 0 17 LONE PINE RES INC COM 54222A106 1 18 SH SOLE 0 0 18 LOWES COS INC COM 548661107 2 50 SH SOLE 0 0 50 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 9 125 SH SOLE 0 0 125 MANITOWOC INC COM 563571108 1 45 SH SOLE 0 0 45 MARKET VECTORS ETF TR EGYPT INDX ETF 57061R569 5 100 SH SOLE 0 0 100 MASCO CORP COM 574599106 7 344 SH SOLE 0 0 344 MASTERCARD INC CL A 57636Q104 4 6 SH SOLE 0 0 6 MCCORMICK & CO INC COM NON VTG 579780206 10 150 SH SOLE 0 0 150 MCDONALDS CORP COM 580135101 30 316 SH SOLE 0 0 316 MERCK & CO INC NEW COM 58933Y105 357 7492 SH SOLE 0 0 7492 METLIFE INC COM 59156R108 6 123 SH SOLE 0 0 123 MICROSOFT CORP COM 594918104 64 1920 SH SOLE 0 0 1920 MONDELEZ INTL INC CL A 609207105 38 1222 SH SOLE 0 0 1222 MONEYGRAM INTL INC COM NEW 60935Y208 1 4 SH SOLE 0 0 4 MURPHY OIL CORP COM 626717102 2 30 SH SOLE 0 0 30 MURPHY USA INC COM 626755102 1 7 SH SOLE 0 0 7 NABORS INDUSTRIES LTD SHS G6359F103 1 28 SH SOLE 0 0 28 NEWFIELD EXPL CO COM 651290108 3 100 SH SOLE 0 0 100 NEXTERA ENERGY INC COM 65339F101 16 200 SH SOLE 0 0 200 NOBLE ENERGY INC COM 655044105 7 110 SH SOLE 0 0 110 NORFOLK SOUTHERN CORP COM 655844108 70 900 SH SOLE 0 0 900 NORTHEAST UTILS COM 664397106 54 1312 SH SOLE 0 0 1312 NORTHROP GRUMMAN CORP COM 666807102 2 16 SH SOLE 0 0 16 NUVEEN BUILD AMER BD FD COM 67074C103 14 800 SH SOLE 0 0 800 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 395 21300 SH SOLE 0 0 21300 NUVEEN CALIF MUN VALUE FD COM 67062C107 329 36000 SH SOLE 0 0 36000 NUVEEN CALIF MUNICPAL VALU F COM 6706EB106 465 31300 SH SOLE 0 0 31300 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 527 40650 SH SOLE 0 0 40650 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SOLE 0 0 300 PIMCO ETF TR BLD AMER BD FD 72201R825 1576 31867 SH SOLE 0 0 31867 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 32 600 SH SOLE 0 0 600 PLUM CREEK TIMBER CO INC COM 729251108 1 2000 SH Call SOLE 0 0 0 PLUM CREEK TIMBER CO INC COM 729251108 1710 36505 SH SOLE 0 0 36505 POINTS INTL LTD COM NEW 730843208 30 1300 SH SOLE 0 0 1300 POTASH CORP SASK INC COM 73755L107 66 2100 SH SOLE 0 0 2100 POTLATCH CORP NEW COM 737630103 224 5650 SH SOLE 0 0 5650 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 7838 287209 SH SOLE 0 0 287209 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 938 38000 SH SOLE 0 0 38000 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 11 385 SH SOLE 0 0 385 POWERSHARES GLOBAL ETF TRUST NY MUNI BD ETF 73936T458 1940 87300 SH SOLE 0 0 87300 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 3160 137000 SH SOLE 0 0 137000 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 24 300 SH SOLE 0 0 300 PPG INDS INC COM 693506107 9 55 SH SOLE 0 0 55 PPL CORP COM 69351T106 20 648 SH SOLE 0 0 648 PRAXAIR INC COM 74005P104 96 800 SH SOLE 0 0 800 PRICE T ROWE GROUP INC COM 74144T108 302 4200 SH SOLE 0 0 4200 PROCTER & GAMBLE CO COM 742718109 350 4634 SH SOLE 0 0 4634 PRUDENTIAL FINL INC COM 744320102 4 53 SH SOLE 0 0 53 PUBLIC SVC ENTERPRISE GROUP COM 744573106 22 675 SH SOLE 0 0 675 RAYONIER INC COM 754907103 39 701 SH SOLE 0 0 701 REED ELSEVIER P L C SPONS ADR NEW 758205207 7 123 SH SOLE 0 0 123 ROYAL BK SCOTLAND GROUP PLC SPONS ADR 20 ORD 780097689 23 2000 SH SOLE 0 0 2000 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 111 1700 SH SOLE 0 0 1700 SCHWAB STRATEGIC TR US REIT ETF 808524847 16 510 SH SOLE 0 0 510 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 21 410 SH SOLE 0 0 410 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 32 800 SH SOLE 0 0 800 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 42 1385 SH SOLE 0 0 1385 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 77 1590 SH SOLE 0 0 1590 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 92 2250 SH SOLE 0 0 2250 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 116 3760 SH SOLE 0 0 3760 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 242 9849 SH SOLE 0 0 9849 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1 1400 SH Call SOLE 0 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 8 150 SH SOLE 0 0 150 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 14 166 SH SOLE 0 0 166 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 20 510 SH SOLE 0 0 510 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 591 15803 SH SOLE 0 0 15803 SHERWIN WILLIAMS CO COM 824348106 5 25 SH SOLE 0 0 25 SMUCKER J M CO COM NEW 832696405 5 50 SH SOLE 0 0 50 SPAR GROUP INC COM 784933103 2 1200 SH SOLE 0 0 1200 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 3857 25541 SH SOLE 0 0 25541 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 12 285 SH SOLE 0 0 285 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 14 300 SH SOLE 0 0 300 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 16 500 SH SOLE 0 0 500 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 36 850 SH SOLE 0 0 850 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 337 7400 SH SOLE 0 0 7400 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 1000 SH Put SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 106 9900 SH Call SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7953 47339 SH SOLE 0 0 47339 SPDR SER TR SHT TRM HGH YLD 78468R408 6124 200515 SH SOLE 0 0 200515 SPDR SERIES TRUST BRCLY EM LOCL 78464A391 18 600 SH SOLE 0 0 600 SPDR SERIES TRUST S&P DIVID ETF 78464A763 34 498 SH SOLE 0 0 498 SPDR SERIES TRUST SM CAP COMPLETE 78464A847 42 500 SH SOLE 0 0 500 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 111 3300 SH SOLE 0 0 3300 SPDR SERIES TRUST NUVN BR NY MUNI 78464A433 147 6500 SH SOLE 0 0 6500 SPDR SERIES TRUST BARC SHT TR CP 78464A474 1513 49208 SH SOLE 0 0 49208 SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 3523 154250 SH SOLE 0 0 154250 SPDR SERIES TRUST BRC BLD AMER BD 78464A276 3636 67698 SH SOLE 0 0 67698 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 5040 126487 SH SOLE 0 0 126487 STANLEY BLACK & DECKER INC COM 854502101 133 1468 SH SOLE 0 0 1468 STATE STR CORP COM 857477103 6 90 SH SOLE 0 0 90 STEEL DYNAMICS INC COM 858119100 1 73 SH SOLE 0 0 73 STONE ENERGY CORP COM 861642106 1 30 SH SOLE 0 0 30 SUPERIOR ENERGY SVCS INC COM 868157108 1 35 SH SOLE 0 0 35 TEREX CORP NEW COM 880779103 10 300 SH SOLE 0 0 300 THERMO FISHER SCIENTIFIC INC COM 883556102 13 139 SH SOLE 0 0 139 TIME WARNER CABLE INC COM 88732J207 6 58 SH SOLE 0 0 58 TIME WARNER INC COM NEW 887317303 6 93 SH SOLE 0 0 93 TRANSCANADA CORP COM 89353D107 223 5067 SH SOLE 0 0 5067 TRAVELERS COMPANIES INC COM 89417E109 3 35 SH SOLE 0 0 35 TRINA SOLAR LIMITED SPON ADR 89628E104 3 200 SH SOLE 0 0 200 TRIPADVISOR INC COM 896945201 23 300 SH SOLE 0 0 300 TUPPERWARE BRANDS CORP COM 899896104 22 250 SH SOLE 0 0 250 UNION PAC CORP COM 907818108 326 2100 SH SOLE 0 0 2100 UNIT CORP COM 909218109 2 39 SH SOLE 0 0 39 UNITED STATES STL CORP NEW COM 912909108 1 7 SH SOLE 0 0 7 UNITED TECHNOLOGIES CORP COM 913017109 75 700 SH SOLE 0 0 700 UNITEDHEALTH GROUP INC COM 91324P102 456 6365 SH SOLE 0 0 6365 UQM TECHNOLOGIES INC COM 903213106 1 200 SH SOLE 0 0 200 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1 6 SH SOLE 0 0 6 VANGUARD INDEX FDS VALUE ETF 922908744 20 288 SH SOLE 0 0 288 VANGUARD INDEX FDS SM CP VAL ETF 922908611 38 425 SH SOLE 0 0 425 VANGUARD INDEX FDS SMALL CP ETF 922908751 54 525 SH SOLE 0 0 525 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 62 800 SH SOLE 0 0 800 VANGUARD INDEX FDS TOTAL STK MKT 922908769 119 1358 SH SOLE 0 0 1358 VANGUARD INDEX FDS LARGE CAP ETF 922908637 220 2840 SH SOLE 0 0 2840 VANGUARD INDEX FDS REIT ETF 922908553 435 6583 SH SOLE 0 0 6583 VANGUARD INTL EQUITY INDEX F MEGA CAP GRO ETF 922042866 30 500 SH SOLE 0 0 500 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 57 1030 SH SOLE 0 0 1030 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 227 4000 SH SOLE 0 0 4000 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 653 16266 SH SOLE 0 0 16266 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 898 18476 SH SOLE 0 0 18476 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1857 18695 SH SOLE 0 0 18695 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 410 4910 SH SOLE 0 0 4910 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1215 15265 SH SOLE 0 0 15265 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 65 936 SH SOLE 0 0 936 VANGUARD STAR FD VG TL INTL STK F 921909768 50 1000 SH SOLE 0 0 1000 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 6 163 SH SOLE 0 0 163 VANGUARD WORLD FDS UTILITIES ETF 92204A876 82 1000 SH SOLE 0 0 1000 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 233 2244 SH SOLE 0 0 2244 VERIZON COMMUNICATIONS INC COM 92343V104 1 30 SH SOLE 0 0 30 VERTEX PHARMACEUTICALS INC COM 92532F100 3 40 SH SOLE 0 0 40 VIACOM INC NEW CL B 92553P201 1 11 SH SOLE 0 0 11 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1 13 SH SOLE 0 0 13 WALGREEN CO COM 931422109 1 2600 SH Put SOLE 0 0 0 WALGREEN CO COM 931422109 129 2400 SH SOLE 0 0 2400 WAL-MART STORES INC COM 931142103 1 3000 SH Put SOLE 0 0 0 WAL-MART STORES INC COM 931142103 3 3200 SH Call SOLE 0 0 0 WAL-MART STORES INC COM 931142103 481 6500 SH SOLE 0 0 6500 WALTER ENERGY INC COM 93317Q105 1 39 SH SOLE 0 0 39 WALTER INVT MGMT CORP COM 93317W102 1 14 SH SOLE 0 0 14 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 82 3250 SH SOLE 0 0 3250 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 46 3000 SH SOLE 0 0 3000 WELLS FARGO & CO NEW COM 949746101 8 200 SH SOLE 0 0 200 WESTERN ASSET INTM MUNI FD I COM 958435109 1272 139283 SH SOLE 0 0 139283 WEYERHAEUSER CO COM 962166104 3 4100 SH Call SOLE 0 0 0 WEYERHAEUSER CO COM 962166104 135 4700 SH SOLE 0 0 4700 WHITING PETE CORP NEW COM 966387102 2 38 SH SOLE 0 0 38 WISDOMTREE TR GLB EX US UTIL 97717W653 18 1000 SH SOLE 0 0 1000 WISDOMTREE TR WSDM EMKTBD FD 97717X784 40 540 SH SOLE 0 0 540 WISDOMTREE TR DRYFS CURR ETF 97717W133 60 3000 SH SOLE 0 0 3000 WISDOMTREE TR DEFA FD 97717W703 155 3000 SH SOLE 0 0 3000 WISDOMTREE TR EM LCL DEBT FD 97717X867 216 4580 SH SOLE 0 0 4580 WISDOMTREE TR EMERG MKTS ETF 97717W315 264 5102 SH SOLE 0 0 5102 WISDOMTREE TR EMG MKTS SMCAP 97717W281 872 18687 SH SOLE 0 0 18687 WISDOMTREE TR INTL SMCAP DIV 97717W760 1285 21384 SH SOLE 0 0 21384 WISDOMTREE TR AUST NEW ZEAL DB 97717W216 2346 114462 SH SOLE 0 0 114462 WPX ENERGY INC COM 98212B103 1 26 SH SOLE 0 0 26 YUM BRANDS INC COM 988498101 108 1509 SH SOLE 0 0 1509 ZIMMER HLDGS INC COM 98956P102 30 365 SH SOLE 0 0 365