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