0001398344-17-006330.txt : 20170512 0001398344-17-006330.hdr.sgml : 20170512 20170512155156 ACCESSION NUMBER: 0001398344-17-006330 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170512 DATE AS OF CHANGE: 20170512 EFFECTIVENESS DATE: 20170512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS ADVISORS INC CENTRAL INDEX KEY: 0001376113 IRS NUMBER: 000000000 STATE OF INCORPORATION: CO FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12230 FILM NUMBER: 17838375 BUSINESS ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: Denver STATE: CO ZIP: 80203 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: Denver STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: ALPS ADVISERS INC DATE OF NAME CHANGE: 20060920 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001376113 XXXXXXXX 03-31-2017 03-31-2017 false ALPS ADVISORS INC
1290 Broadway, Suite 1100 Denver CO 80203
13F COMBINATION REPORT 028-12230 028-02634 Aristotle Capital Management, LLC 028-10679 Clough Capital Partners LP 028-03434 Congress Asset Management Co. 028-11239 CoreCommodity Management, LLC 028-05267 Delaware Management Business Trust 028-13120 Macquarie Group Limited 028-10106 Principal Financial Group, Inc. 028-10400 Principal Real Estate Investors LLC 028-03791 Pzena Investment Management 028-13577 RiverFront Investment Group 028-13256 RiverNorth Capital Management, LLC 028-11320 Stadion Money Management, LLC 028-11076 Sustainable Growth Advisers, LP 028-02494 TCW Group, Inc. 028-06683 TCW Investment Management Co. 028-04129 Weatherbie Capital, LLC 028-04557 Wellington Management Company, LLP N
Erin D. Nelson Chief Compliance Officer 303-623-2577 /s/ Erin D. Nelson Denver CO 05-12-2017 3 729 14501479 1 028-14056 Red Rocks Capital LLC 2 028-13657 Morningstar Investment Services LLC 3 028-16629 Sterling Global Strategies LLC
INFORMATION TABLE 2 fp0025817_13fhr-table.xml 13F INFORMATION TABLE AAON Inc COMMON STOCK 000360206 478 13511 SH DFND 13511 0 0 AbbVie Inc COMMON STOCK 00287Y109 47364 726887 SH DFND 726887 0 0 AC Immune SA COMMON STOCK H00263105 485 47658 SH DFND 47658 0 0 Acacia Communications Inc COMMON STOCK 00401C108 547 9333 SH DFND 9333 0 0 ACADIA Pharmaceuticals Inc COMMON STOCK 004225108 3582 104195 SH DFND 104195 0 0 Acceleron Pharma Inc COMMON STOCK 00434H108 860 32473 SH DFND 32473 0 0 Achillion Pharmaceuticals Inc COMMON STOCK 00448Q201 495 117588 SH DFND 117588 0 0 Aclaris Therapeutics Inc COMMON STOCK 00461U105 668 22411 SH DFND 22411 0 0 Acorda Therapeutics Inc COMMON STOCK 00484M106 838 39925 SH DFND 39925 0 0 Activision Blizzard Inc COMMON STOCK 00507V109 540 10837 SH DFND 10837 0 0 Acuity Brands Inc COMMON STOCK 00508Y102 473 2321 SH DFND 2321 0 0 Adamas Pharmaceuticals Inc COMMON STOCK 00548A106 331 18910 SH DFND 18910 0 0 Adaptimmune Therapeutics Plc COMMON STOCK 00653A107 336 60896 SH DFND 60896 0 0 Adobe Systems Inc COMMON STOCK 00724F101 567 4355 SH DFND 4355 0 0 Aduro Biotech Inc COMMON STOCK 00739L101 621 57796 SH DFND 57796 0 0 Advanced Accelerator Applicati COMMON STOCK 00790T100 1508 37833 SH DFND 37833 0 0 Advanced Energy Industries Inc COMMON STOCK 007973100 493 7186 SH DFND 7186 0 0 Advanced Micro Devices Inc COMMON STOCK 007903107 245 16830 SH DFND 16830 0 0 Aerie Pharmaceuticals Inc COMMON STOCK 00771V108 1302 28718 SH DFND 28718 0 0 Aetna Inc COMMON STOCK 00817Y108 575 4509 SH DFND 4509 0 0 Agios Pharmaceuticals Inc COMMON STOCK 00847X104 2122 36335 SH DFND 36335 0 0 Agnico Eagle Mines Ltd COMMON STOCK 008474108 21487 506297 SH DFND 506297 0 0 Aimmune Therapeutics Inc COMMON STOCK 00900T107 936 43054 SH DFND 43054 0 0 Air Lease Corp COMMON STOCK 00912X302 476 12284 SH DFND 12284 0 0 AK Steel Holding Corp COMMON STOCK 001547108 94 13066 SH DFND 13066 0 0 Akebia Therapeutics Inc COMMON STOCK 00972D105 303 32970 SH DFND 32970 0 0 Akorn Inc COMMON STOCK 009728106 3095 128530 SH DFND 128530 0 0 Alamos Gold Inc COMMON STOCK 011532108 12619 1571464 SH DFND 1571464 0 0 Alaska Air Group Inc COMMON STOCK 011659109 620 6727 SH DFND 6727 0 0 Albemarle Corp COMMON STOCK 012653101 485 4594 SH DFND 4594 0 0 Alder Biopharmaceuticals Inc COMMON STOCK 014339105 902 43366 SH DFND 43366 0 0 Alexandria Real Estate Equitie COMMON STOCK 015271109 776 7577 SH DFND 7577 0 0 Alexion Pharmaceuticals Inc COMMON STOCK 015351109 476 3927 SH DFND 3927 0 0 Align Technology Inc COMMON STOCK 016255101 510 4443 SH DFND 4443 0 0 ALLEGHANY CORP COMMON STOCK 017175100 13232 21527 SH DFND 1 13232 0 0 Allegiant Travel Co COMMON STOCK 01748X102 525 3276 SH DFND 3276 0 0 Alnylam Pharmaceuticals Inc COMMON STOCK 02043Q107 3792 73998 SH DFND 73998 0 0 Alphabet Inc COMMON STOCK 02079K107 952 1148 SH DFND 1148 0 0 Alphabet Inc COMMON STOCK 02079K305 327 386 SH DFND 386 0 0 Altria Group Inc COMMON STOCK 02209S103 44866 628201 SH DFND 628201 0 0 AMAG Pharmaceuticals Inc 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Pharmaceuticals Inc COMMON STOCK 03209R103 568 39149 SH DFND 39149 0 0 Amphenol Corp COMMON STOCK 032095101 583 8194 SH DFND 8194 0 0 Analog Devices Inc COMMON STOCK 032654105 833 10164 SH DFND 10164 0 0 AngloGold Ashanti Ltd COMMON STOCK 035128206 5853 543423 SH DFND 543423 0 0 Antero Midstream Partners LP COMMON STOCK 03673L103 173411 5433463 SH DFND 5433463 0 0 AO Smith Corp COMMON STOCK 831865209 676 13214 SH DFND 13214 0 0 Apogee Enterprises Inc COMMON STOCK 037598109 547 9176 SH DFND 9176 0 0 Apollo Global Management LLC COMMON STOCK 037612306 479 20481 SH DFND 20481 0 0 APPLE INC COMMON STOCK 037833100 2360 16431 SH DFND 16431 0 0 Applied Materials Inc COMMON STOCK 038222105 1199 30831 SH DFND 30831 0 0 Applied Optoelectronics Inc COMMON STOCK 03823U102 557 9911 SH DFND 9911 0 0 Aquinox Pharmaceuticals Inc COMMON STOCK 03842B101 336 20151 SH DFND 20151 0 0 Archrock Inc COMMON STOCK 03957W106 2837 228818 SH DFND 228818 0 0 Ardelyx Inc COMMON STOCK 039697107 515 40716 SH DFND 40716 0 0 ARES CAPITAL CORP COMMON STOCK 04010L103 24178 1396783 SH DFND 1 24178 0 0 Argan Inc COMMON STOCK 04010E109 466 7050 SH DFND 7050 0 0 Arista Networks Inc COMMON STOCK 040413106 497 3761 SH DFND 3761 0 0 Arthur J Gallagher & Co COMMON STOCK 363576109 47004 831348 SH DFND 831348 0 0 Asanko Gold Inc COMMON STOCK 04341Y105 4316 1653678 SH DFND 1653678 0 0 Asbury Automotive Group Inc COMMON STOCK 043436104 459 7635 SH DFND 7635 0 0 Ascendis Pharma A/S COMMON STOCK 04351P101 759 27120 SH DFND 27120 0 0 AT&T Inc COMMON STOCK 00206R102 47014 1131514 SH DFND 1131514 0 0 Atara Biotherapeutics Inc COMMON STOCK 046513107 510 24829 SH DFND 24829 0 0 AvalonBay Communities Inc COMMON STOCK 053484101 1992 11726 SH DFND 11726 0 0 Avery Dennison Corp COMMON STOCK 053611109 674 8364 SH DFND 8364 0 0 Avon Products Inc COMMON STOCK 054303102 53 12079 SH DFND 12079 0 0 Axovant Sciences Ltd COMMON STOCK G0750W104 1269 85309 SH DFND 85309 0 0 B&G Foods Inc COMMON STOCK 05508R106 462 11481 SH DFND 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SH DFND 9904885 0 0 Builders FirstSource Inc COMMON STOCK 12008R107 471 31588 SH DFND 31588 0 0 BWX Technologies Inc COMMON STOCK 05605H100 490 10287 SH DFND 10287 0 0 Cabot Corp COMMON STOCK 127055101 848 14147 SH DFND 14147 0 0 Cabot Microelectronics Corp COMMON STOCK 12709P103 525 6854 SH DFND 6854 0 0 Caleres Inc COMMON STOCK 129500104 411 15572 SH DFND 15572 0 0 Callaway Golf Co COMMON STOCK 131193104 492 44430 SH DFND 44430 0 0 Cambrex Corp COMMON STOCK 132011107 600 10898 SH DFND 10898 0 0 Cardinal Financial Corp COMMON STOCK 14149F109 463 15461 SH DFND 15461 0 0 Cardinal Health Inc COMMON STOCK 14149Y108 227 2781 SH DFND 2781 0 0 CARLYLE GROUP COMMON STOCK 14309L102 13847 868122 SH DFND 1 13847 0 0 Carnival Corp COMMON STOCK 143658300 1036 17594 SH DFND 17594 0 0 Carter's Inc COMMON STOCK 146229109 485 5405 SH DFND 5405 0 0 Caterpillar Inc COMMON STOCK 149123101 47334 510287 SH DFND 510287 0 0 Cathay General Bancorp COMMON STOCK 149150104 461 12240 SH DFND 12240 0 0 CBS Corp 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4655 0 0 Citizens Financial Group Inc COMMON STOCK 174610105 444 12842 SH DFND 12842 0 0 Citrix Systems Inc COMMON STOCK 177376100 486 5823 SH DFND 5823 0 0 Civeo Corp COMMON STOCK 17878Y108 137 45671 SH DFND 45671 0 0 Clearside Biomedical Inc COMMON STOCK 185063104 168 21116 SH DFND 21116 0 0 Cliffs Natural Resources Inc COMMON STOCK 18683K101 432 52659 SH DFND 52659 0 0 Coach Inc COMMON STOCK 189754104 560 13560 SH DFND 13560 0 0 Coca-Cola Co/The COMMON STOCK 191216100 47381 1116431 SH DFND 1116431 0 0 Coeur Mining Inc COMMON STOCK 192108504 4820 596487 SH DFND 596487 0 0 Cognex Corp COMMON STOCK 192422103 633 7539 SH DFND 7539 0 0 Cognizant Technology Solutions COMMON STOCK 192446102 920 15454 SH DFND 15454 0 0 Cohen & Steers Inc COMMON STOCK 19247A100 515 12894 SH DFND 12894 0 0 Coherent Inc COMMON STOCK 192479103 521 2535 SH DFND 2535 0 0 Columbia Sportswear Co COMMON STOCK 198516106 500 8510 SH DFND 8510 0 0 Comcast Corp COMMON STOCK 20030N101 532 14141 SH DFND 14141 0 0 Comfort Systems USA Inc COMMON STOCK 199908104 489 13341 SH DFND 13341 0 0 Compass Minerals International COMMON STOCK 20451N101 648 9547 SH DFND 9547 0 0 Computer Sciences Corp COMMON STOCK 205363104 244 3529 SH DFND 3529 0 0 Concert Pharmaceuticals Inc COMMON STOCK 206022105 327 19162 SH DFND 19162 0 0 Cone Midstream Partners LP COMMON STOCK 206812109 509 22529 SH DFND 22529 0 0 Consolidated Edison Inc COMMON STOCK 209115104 435 5599 SH DFND 5599 0 0 Constellation Brands Inc COMMON STOCK 21036P108 486 3001 SH DFND 3001 0 0 Consumer Discretionary Select MUTUAL FUND 81369Y407 15680 183813 SH DFND 183813 0 0 Consumer Staples Select Sector MUTUAL FUND 81369Y308 15477 292070 SH DFND 292070 0 0 Continental Building Products COMMON STOCK 211171103 454 18512 SH DFND 18512 0 0 Control4 Corp COMMON STOCK 21240D107 514 32579 SH DFND 32579 0 0 Cooper Tire & Rubber Co COMMON STOCK 216831107 490 11055 SH DFND 11055 0 0 Cooper-Standard Holding Inc COMMON STOCK 21676P103 546 4921 SH DFND 4921 0 0 Copart Inc COMMON STOCK 217204106 490 7905 SH DFND 7905 0 0 Corning Inc COMMON STOCK 219350105 532 19686 SH DFND 19686 0 0 CR Bard Inc COMMON STOCK 067383109 476 1916 SH DFND 1916 0 0 Cracker Barrel Old Country Sto COMMON STOCK 22410J106 477 2994 SH DFND 2994 0 0 Credit Acceptance Corp COMMON STOCK 225310101 480 2408 SH DFND 2408 0 0 CTS Corp COMMON STOCK 126501105 469 22010 SH DFND 22010 0 0 Cullen/Frost Bankers Inc COMMON STOCK 229899109 467 5245 SH DFND 5245 0 0 Customers Bancorp Inc COMMON STOCK 23204G100 459 14552 SH DFND 14552 0 0 CVS Health Corp COMMON STOCK 126650100 388 4948 SH DFND 4948 0 0 Dana Inc COMMON STOCK 235825205 476 24670 SH DFND 24670 0 0 Darden Restaurants Inc COMMON STOCK 237194105 623 7451 SH DFND 7451 0 0 Dave & Buster's Entertainment COMMON STOCK 238337109 496 8121 SH DFND 8121 0 0 DAVITA INC COMMON STOCK 23918K108 638 9391 SH DFND 9391 0 0 DBV Technologies SA COMMON STOCK 23306J101 1461 41473 SH DFND 41473 0 0 DCP Midstream LP COMMON STOCK 23311P100 238846 6368406 SH DFND 6368406 0 0 DENTSPLY SIRONA INC COMMON STOCK 24906P109 468 7503 SH DFND 7503 0 0 Depomed Inc COMMON STOCK 249908104 670 53425 SH DFND 53425 0 0 DHI Group Inc COMMON STOCK 23331S100 44 11236 SH DFND 11236 0 0 Digital Realty Trust Inc COMMON STOCK 253868103 1334 13576 SH DFND 13576 0 0 Dime Community Bancshares Inc COMMON STOCK 253922108 468 23073 SH DFND 23073 0 0 Dolby Laboratories Inc COMMON STOCK 25659T107 495 9437 SH DFND 9437 0 0 Dominion Midstream Partners LP COMMON STOCK 257454108 470 15407 SH DFND 15407 0 0 Dominion Resources Inc/VA COMMON STOCK 25746U109 6314 81394 SH DFND 81394 0 0 Donaldson Co Inc COMMON STOCK 257651109 488 10728 SH DFND 10728 0 0 Dorman Products Inc COMMON STOCK 258278100 493 5998 SH DFND 5998 0 0 Douglas Emmett Inc COMMON STOCK 25960P109 438 12354 SH DFND 12354 0 0 Dow Chemical Co/The COMMON STOCK 260543103 46935 738666 SH DFND 738666 0 0 DR Horton Inc COMMON STOCK 23331A109 484 14517 SH DFND 14517 0 0 Dr Reddy's Laboratories Ltd COMMON STOCK 256135203 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Inc COMMON STOCK 28849P100 491 4892 SH DFND 4892 0 0 Emergent BioSolutions Inc COMMON STOCK 29089Q105 1016 35003 SH DFND 35003 0 0 Emerson Electric Co COMMON STOCK 291011104 47642 795885 SH DFND 795885 0 0 Enanta Pharmaceuticals Inc COMMON STOCK 29251M106 504 16376 SH DFND 16376 0 0 Enbridge Energy Partners LP COMMON STOCK 29250R106 274598 15175167 SH DFND 15175167 0 0 Endeavour Silver Corp COMMON STOCK 29258Y103 2559 804682 SH DFND 804682 0 0 ENDO INTERNATIONAL PLC COMMON STOCK G30401106 2263 204155 SH DFND 204155 0 0 Energizer Holdings Inc COMMON STOCK 29272W109 481 8635 SH DFND 8635 0 0 Energy Select Sector SPDR Fund MUTUAL FUND 81369Y506 15582 230056 SH DFND 230056 0 0 Energy Transfer Equity LP COMMON STOCK 29273V100 6290 335389 SH DFND 335389 0 0 Energy Transfer Partners LP COMMON STOCK 29273R109 1044656 30063889 SH DFND 30063889 0 0 EnLink Midstream LLC COMMON STOCK 29336T100 4011 206778 SH DFND 206778 0 0 EnLink Midstream Partners LP COMMON STOCK 29336U107 194277 11178873 SH DFND 11178873 0 0 Entegris Inc COMMON STOCK 29362U104 513 21909 SH DFND 21909 0 0 Entergy Corp COMMON STOCK 29364G103 48905 643828 SH DFND 643828 0 0 Enterprise Financial Services COMMON STOCK 293712105 463 10917 SH DFND 10917 0 0 Enterprise Products Partners L COMMON STOCK 293792107 1068191 40777746 SH DFND 40777746 0 0 EPAM Systems Inc COMMON STOCK 29414B104 492 6511 SH DFND 6511 0 0 Epizyme Inc COMMON STOCK 29428V104 856 49906 SH DFND 49906 0 0 ePlus Inc COMMON STOCK 294268107 495 3664 SH DFND 3664 0 0 EQT GP Holdings LP COMMON STOCK 26885J103 721 27627 SH DFND 27627 0 0 EQT Midstream Partners LP COMMON STOCK 26885B100 303205 4132111 SH DFND 4132111 0 0 Equifax Inc COMMON STOCK 294429105 489 3578 SH DFND 3578 0 0 Equinix Inc COMMON STOCK 29444U700 2437 6605 SH DFND 6605 0 0 Equity LifeStyle Properties In COMMON STOCK 29472R108 482 6792 SH DFND 6792 0 0 Equity Residential COMMON STOCK 29476L107 1777 31036 SH DFND 31036 0 0 Essex Property Trust Inc COMMON STOCK 297178105 1185 5568 SH DFND 5568 0 0 Euronet Worldwide Inc COMMON STOCK 298736109 491 5738 SH DFND 5738 0 0 EW Scripps Co/The COMMON STOCK 811054402 491 20930 SH DFND 20930 0 0 Exelixis Inc COMMON STOCK 30161Q104 4590 211793 SH DFND 211793 0 0 Expeditors International of Wa COMMON STOCK 302130109 332 5874 SH DFND 5874 0 0 Exponent Inc COMMON STOCK 30214U102 487 8185 SH DFND 8185 0 0 Extra Space Storage Inc COMMON STOCK 30225T102 735 10755 SH DFND 10755 0 0 Exxon Mobil Corp COMMON STOCK 30231G102 619 7547 SH DFND 7547 0 0 F5 Networks Inc COMMON STOCK 315616102 469 3290 SH DFND 3290 0 0 Fabrinet COMMON STOCK G3323L100 513 12309 SH DFND 12309 0 0 Facebook Inc COMMON STOCK 30303M102 1934 13614 SH DFND 13614 0 0 FactSet Research Systems Inc COMMON STOCK 303075105 492 2984 SH DFND 2984 0 0 Fair Isaac Corp COMMON STOCK 303250104 474 3676 SH DFND 3676 0 0 Federal Realty Investment Trus COMMON STOCK 313747206 750 6123 SH DFND 6123 0 0 Federated Investors Inc COMMON STOCK 314211103 672 25512 SH DFND 25512 0 0 Fibria 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SH DFND 24468 0 0 FleetCor Technologies Inc COMMON STOCK 339041105 454 2999 SH DFND 2999 0 0 Flexion Therapeutics Inc COMMON STOCK 33938J106 721 26778 SH DFND 26778 0 0 Flowers Foods Inc COMMON STOCK 343498101 535 27577 SH DFND 27577 0 0 FNFV GROUP COMMON STOCK 31620R402 14472 1092266 SH DFND 1 14472 0 0 Foamix Pharmaceuticals Ltd COMMON STOCK M46135105 155 31976 SH DFND 31976 0 0 Foot Locker Inc COMMON STOCK 344849104 471 6295 SH DFND 6295 0 0 Ford Motor Co COMMON STOCK 345370860 44377 3812479 SH DFND 3812479 0 0 Fortuna Silver Mines Inc COMMON STOCK 349915108 1517 291755 SH DFND 291755 0 0 Fortune Brands Home & Security COMMON STOCK 34964C106 484 7957 SH DFND 7957 0 0 Fox Factory Holding Corp COMMON STOCK 35138V102 516 17989 SH DFND 17989 0 0 Francesca's Holdings Corp COMMON STOCK 351793104 455 29656 SH DFND 29656 0 0 Franklin Financial Network Inc COMMON STOCK 35352P104 496 12804 SH DFND 12804 0 0 Galapagos NV COMMON STOCK 36315X101 3419 39668 SH DFND 39668 0 0 Gap Inc/The COMMON 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