0001580642-18-000246.txt : 20180116
0001580642-18-000246.hdr.sgml : 20180116
20180116100047
ACCESSION NUMBER: 0001580642-18-000246
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180116
DATE AS OF CHANGE: 20180116
EFFECTIVENESS DATE: 20180116
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: 440 INVESTMENT GROUP, LLC
CENTRAL INDEX KEY: 0001473174
IRS NUMBER: 262049980
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18065
FILM NUMBER: 18527667
BUSINESS ADDRESS:
STREET 1: 5700 W 112TH ST
STREET 2: SUITE 500
CITY: OVERLAND PARK
STATE: KS
ZIP: 66211
BUSINESS PHONE: 913-647-9700
MAIL ADDRESS:
STREET 1: 5700 W 112TH ST
STREET 2: SUITE 500
CITY: OVERLAND PARK
STATE: KS
ZIP: 66211
FORMER COMPANY:
FORMER CONFORMED NAME: MARINER ALTERNATIVE ASSET MANAGEMENT, LLC
DATE OF NAME CHANGE: 20090925
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001473174
XXXXXXXX
12-31-2017
12-31-2017
false
440 INVESTMENT GROUP, LLC
5700 W 112th St
Suite 500
Overland Park
KS
66211
13F HOLDINGS REPORT
028-18065
N
Bethanie Glawson
Senior Regulatory Counsel
913-378-9179
/s/ Bethanie Glawson
Overland Park
KS
01-12-2018
0
110
140449
INFORMATION TABLE
2
infotable.xml
ISHARES TR
CORE S&P500 ETF
464287200
280
1041
SH
DFND
1041
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
4797
17974
SH
DFND
17974
0
0
AGILENT TECHNOLOGIES INC
COM
00846U101
417
6231
SH
DFND
6231
0
0
AMAZON COM INC
COM
023135106
917
784
SH
DFND
784
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
263
4299
SH
DFND
4299
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
369
1861
SH
DFND
1861
0
0
AMGEN INC
COM
031162100
487
2800
SH
DFND
2800
0
0
BP PLC
SPONSORED ADR
055622104
649
15452
SH
DFND
15452
0
0
ALTRIA GROUP INC
COM
02209S103
296
4142
SH
DFND
4142
0
0
KEYCORP NEW
COM
493267108
793
39325
SH
DFND
39325
0
0
DISNEY WALT CO
COM DISNEY
254687106
3283
30536
SH
DFND
30536
0
0
SYSCO CORP
COM
871829107
566
9316
SH
DFND
9316
0
0
US BANCORP DEL
COM NEW
902973304
15315
285828
SH
DFND
285828
0
0
JOHNSON & JOHNSON
COM
478160104
956
6839
SH
DFND
6839
0
0
MEDTRONIC PLC
SHS
G5960L103
2568
31802
SH
DFND
31802
0
0
PFIZER INC
COM
717081103
1121
30956
SH
DFND
30956
0
0
KROGER CO
COM
501044101
245
8920
SH
DFND
8920
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
631
6874
SH
DFND
6874
0
0
CHEVRON CORP NEW
COM
166764100
1014
8102
SH
DFND
8102
0
0
MICROSOFT CORP
COM
594918104
4914
57445
SH
DFND
57445
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
1832
15375
SH
DFND
15375
0
0
AT&T INC
COM
00206R102
1596
41062
SH
DFND
41062
0
0
CISCO SYS INC
COM
17275R102
786
20535
SH
DFND
20535
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
797
5194
SH
DFND
5194
0
0
LOCKHEED MARTIN CORP
COM
539830109
932
2903
SH
DFND
2903
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
281
5300
SH
DFND
5300
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
3583
49341
SH
DFND
49341
0
0
BANK AMER CORP
COM
060505104
465
15754
SH
DFND
15754
0
0
STARBUCKS CORP
COM
855244109
1793
31213
SH
DFND
31213
0
0
EXXON MOBIL CORP
COM
30231G102
1979
23664
SH
DFND
23664
0
0
WAL-MART STORES INC
COM
931142103
1409
14269
SH
DFND
14269
0
0
UNION PAC CORP
COM
907818108
924
6894
SH
DFND
6894
0
0
TEXAS INSTRS INC
COM
882508104
586
5610
SH
DFND
5610
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
837
21101
SH
DFND
21101
0
0
LILLY ELI & CO
COM
532457108
852
10084
SH
DFND
10084
0
0
CVS HEALTH CORP
COM
126650100
438
6035
SH
DFND
6035
0
0
MCKESSON CORP
COM
58155Q103
954
6119
SH
DFND
6119
0
0
MERCK & CO INC
COM
58933Y105
201
3575
SH
DFND
3575
0
0
FIFTH THIRD BANCORP
COM
316773100
667
22000
SH
DFND
22000
0
0
PROCTER AND GAMBLE CO
COM
742718109
2936
31955
SH
DFND
31955
0
0
GENERAL ELECTRIC CO
COM
369604103
381
21825
SH
DFND
21825
0
0
GILEAD SCIENCES INC
COM
375558103
1565
21849
SH
DFND
21849
0
0
HOME DEPOT INC
COM
437076102
1728
9117
SH
DFND
9117
0
0
MCDONALDS CORP
COM
580135101
1730
10050
SH
DFND
10050
0
0
NIKE INC
CL B
654106103
960
15350
SH
DFND
15350
0
0
JPMORGAN CHASE & CO
COM
46625H100
2515
23521
SH
DFND
23521
0
0
MONDELEZ INTL INC
CL A
609207105
407
9500
SH
DFND
9500
0
0
WELLS FARGO CO NEW
COM
949746101
511
8425
SH
DFND
8425
0
0
FISERV INC
COM
337738108
520
3962
SH
DFND
3962
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
8037
36454
SH
DFND
36454
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
614
4011
SH
DFND
4011
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
567
4442
SH
DFND
4442
0
0
MARRIOTT INTL INC NEW
CL A
571903202
2384
17565
SH
DFND
17565
0
0
3M CO
COM
88579Y101
7854
33368
SH
DFND
33368
0
0
COMCAST CORP NEW
CL A
20030N101
460
11493
SH
DFND
11493
0
0
NEXTERA ENERGY INC
COM
65339F101
376
2406
SH
DFND
2406
0
0
CONOCOPHILLIPS
COM
20825C104
261
4750
SH
DFND
4750
0
0
APPLE INC
COM
037833100
3612
21345
SH
DFND
21345
0
0
RPM INTL INC
COM
749685103
218
4151
SH
DFND
4151
0
0
CATERPILLAR INC DEL
COM
149123101
303
1922
SH
DFND
1922
0
0
C H ROBINSON WORLDWIDE INC
COM NEW
12541W209
846
9500
SH
DFND
9500
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
220
4678
SH
DFND
4678
0
0
CELGENE CORP
COM
151020104
4203
40275
SH
DFND
40275
0
0
HALLIBURTON CO
COM
406216101
828
16935
SH
DFND
16935
0
0
ECOLAB INC
COM
278865100
473
3526
SH
DFND
3526
0
0
FLUOR CORP NEW
COM
343412102
322
6226
SH
DFND
6226
0
0
GENERAL MLS INC
COM
370334104
1863
31424
SH
DFND
31424
0
0
L3 TECHNOLOGIES INC
COM
502413107
306
1546
SH
DFND
1546
0
0
GENERAL DYNAMICS CORP
COM
369550108
224
1100
SH
DFND
1100
0
0
EOG RES INC
COM
26875P101
825
7645
SH
DFND
7645
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
794
8634
SH
DFND
8634
0
0
TORO CO
COM
891092108
432
6630
SH
DFND
6630
0
0
PNC FINL SVCS GROUP INC
COM
693475105
991
6866
SH
DFND
6866
0
0
SVB FINL GROUP
COM
78486Q101
453
1939
SH
DFND
1939
0
0
BIO TECHNE CORP
COM
09073M104
3604
27820
SH
DFND
27820
0
0
TRAVELERS COMPANIES INC
COM
89417E109
219
1613
SH
DFND
1613
0
0
EATON CORP PLC
SHS
G29183103
1407
17809
SH
DFND
17809
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
718
10112
SH
DFND
10112
0
0
DONALDSON INC
COM
257651109
973
19880
SH
DFND
19880
0
0
KANSAS CITY SOUTHERN
COM NEW
485170302
299
2839
SH
DFND
2839
0
0
GRACO INC
COM
384109104
1826
40371
SH
DFND
40371
0
0
AMPHENOL CORP NEW
CL A
032095101
1054
12000
SH
DFND
12000
0
0
ALPHABET INC
CAP STK CL A
02079K305
2141
2032
SH
DFND
2032
0
0
WEC ENERGY GROUP INC
COM
92939U106
1173
17653
SH
DFND
17653
0
0
TRANSALTA CORP
COM
89346D107
119
20000
SH
DFND
20000
0
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
589
15000
SH
DFND
15000
0
0
NASDAQ INC
COM
631103108
467
6078
SH
DFND
6078
0
0
BOSTON BEER INC
CL A
100557107
382
2000
SH
DFND
2000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
1152
6067
SH
DFND
6067
0
0
INVESCO LTD
SHS
G491BT108
783
21428
SH
DFND
21428
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
981
6482
SH
DFND
6482
0
0
DIGITAL RLTY TR INC
COM
253868103
476
4178
SH
DFND
4178
0
0
CATHAY GEN BANCORP
COM
149150104
303
7193
SH
DFND
7193
0
0
SPDR SERIES TRUST
PORTFOLIO MD ETF
78464A847
235
7043
SH
DFND
7043
0
0
SEATTLE GENETICS INC
COM
812578102
681
12730
SH
DFND
12730
0
0
VISA INC
COM CL A
92826C839
762
6684
SH
DFND
6684
0
0
PHILIP MORRIS INTL INC
COM
718172109
1486
14070
SH
DFND
14070
0
0
SCHWAB STRATEGIC TR
INTL EQTY ETF
808524805
683
20059
SH
DFND
20059
0
0
SCHWAB STRATEGIC TR
US LRG CAP ETF
808524201
493
7729
SH
DFND
7729
0
0
SCHWAB STRATEGIC TR
US SML CAP ETF
808524607
328
4700
SH
DFND
4700
0
0
TESLA INC
COM
88160R101
227
730
SH
DFND
730
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1226
5000
SH
DFND
5000
0
0
FACEBOOK INC
CL A
30303M102
1196
6779
SH
DFND
6779
0
0
SERVICENOW INC
COM
81762P102
1076
8251
SH
DFND
8251
0
0
T MOBILE US INC
COM
872590104
757
11918
SH
DFND
11918
0
0
ALPHABET INC
CAP STK CL C
02079K107
285
272
SH
DFND
272
0
0
KRAFT HEINZ CO
COM
500754106
344
4430
SH
DFND
4430
0
0
DOWDUPONT INC
COM
26078J100
242
3400
SH
DFND
3400
0
0
BLACK KNIGHT INC
COM
09215C105
249
5634
SH
DFND
5634
0
0
ISHARES TR
MSCI ACWI ETF
464288257
1
11300
SH
Put
DFND
11300
0
0