0001193125-13-221343.txt : 20130515
0001193125-13-221343.hdr.sgml : 20130515
20130515103437
ACCESSION NUMBER: 0001193125-13-221343
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130515
DATE AS OF CHANGE: 20130515
EFFECTIVENESS DATE: 20130515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Good Harbor Financial, LLC
CENTRAL INDEX KEY: 0001528086
IRS NUMBER: 274354200
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14913
FILM NUMBER: 13844381
BUSINESS ADDRESS:
STREET 1: 155 NORTH WACKER DRIVE, SUITE 850
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 312-224-8150
MAIL ADDRESS:
STREET 1: 155 NORTH WACKER DRIVE, SUITE 850
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
d538436d13fhr.txt
13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2013
Check here if Amendment [_]; Amendment Number:
This Amendment (Check only one.): [_] is a restatement.
[_] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Good Harbor Financial, LLC
Address: 155 North Wacker Drive, Suite 850
Chicago, IL 60606
Form 13F File Number: 28-14913
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Cami Kirschner
Title: Chief Compliance Officer
Phone: 312-224-8150
Signature, Place, and Date of Signing:
/s/ Cami Kirschner Chicago, IL May 15, 2013
------------------------- ------------------------- ------------------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[_] 13F NOTICE. (Check here if no holdings reported are in this report, and all
holdings are reported by other reporting manager(s).)
[_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28- N/A N/A
[Repeat as necessary.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 32
Form 13F Information Table Value Total: 3,215,160
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column
headings and list entries.]
No. Form 13F File Number Name
1 28- Cedar Capital, LLC
[Repeat as necessary.]
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------- ----------------- --------- -------- ------------------- ---------- -------- ----------------
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
------------------------------- ----------------- --------- -------- ---------- --- ---- ---------- -------- ---- ------ ----
ARENA PHARMACEUTICALS INC COM 040047102 135 16,500 SH Defined 1 Sole
BARCLAYS BK PLC IPATH DYNM VIX 06741L609 344 8,369 SH Defined 1 Sole
DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 367 4,127 SH Defined 1 Sole
DIREXION SHS ETF TR DRX S&P500BULL 25459W862 370 3,181 SH Defined 1 Sole
ENERPLUS CORP COM 292766102 494 33,803 SH Defined 1 Sole
GLOBAL X FDS GLB X PERMETF 37950E358 348 13,871 SH Defined 1 Sole
GRAMERCY CAPITAL CORP COM 384871109 528 101,426 SH Defined 1 Sole
HOSPITALITY PROPERTIES TRUST C COM SH BEN INT 44106M102 490 17,861 SH Defined 1 Sole
ISHARES TR CORE S&P500 ETF 464287200 972,993 6,183,231 SH Defined 1 Sole
ISHARES TR MSCI EAFE INDEX 464287465 3,307 56,065 SH Defined 1 Sole
ISHARES TR MSCI EMERG MKT 464287234 3,230 75,510 SH Defined 1 Sole
ISHARES TR RUSSELL 2000 464287655 972,127 10,294,689 SH Defined 1 Sole
ISHARES TR S&P EURO PLUS 464287861 3,275 82,479 SH Defined 1 Sole
ISHARES TR S&P NTL AMTFREE 464288414 513 4,660 SH Defined 1 Sole
LAS VEGAS SANDS CORP COM 517834107 282 5,000 SH Defined 1 Sole
LINNCO LLC COMSHS LTD INT 535782106 606 15,514 SH Defined 1 Sole
NORTHERN TR CORP COM COM 665859104 1,654 30,322 SH Defined 1 Sole
OMEGA HEALTHCARE INVS INC COM 681936100 310 10,213 SH Defined 1 Sole
PENGROWTH ENERGY CORP COM 70706P104 546 107,091 SH Defined 1 Sole
PENN WEST PETE LTD COM 707887105 466 43,267 SH Defined 1 Sole
POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 727 23,392 SH Defined 1 Sole
POWERSHARES QQQ ETF UNIT SER 1 73935A104 889 12,892 SH Defined 1 Sole
PRECISION DRILLING CORP COM 2010 74022D308 303 32,866 SH Defined 1 Sole
PROSHARES TR ULTR RUSSL2000 74347X799 368 3,687 SH Defined 1 Sole
PROSHARES TR ULTRPRO S&P500 74347X864 370 3,163 SH Defined 1 Sole
PROSHARES TR PSHS ULTRUSS2000 74347R842 628,068 10,984,049 SH Defined 1 Sole
PROSHARES TR PSHS ULT S&P 500 74347R107 619,707 8,491,467 SH Defined 1 Sole
REALTY INCOME CORP COM 756109104 441 9,716 SH Defined 1 Sole
SCHLUMBERGER LTD COM 806857108 272 3,631 SH Defined 1 Sole
TORTOISE ENERGY INFRSTRCTR CP COM 89147L100 875 17,710 SH Defined 1 Sole
VALE S A ADR 91912E105 420 24,279 SH Defined 1 Sole
VANGUARD BD INDEX FD TOTAL BND MRKT 921937835 335 4,000 SH Defined 1 Sole
[Repeat as Necessary]