Chief Executive Officer

0001213900-22-002635.txt : 20220119 0001213900-22-002635.hdr.sgml : 20220119 20220119151324 ACCESSION NUMBER: 0001213900-22-002635 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220119 DATE AS OF CHANGE: 20220119 EFFECTIVENESS DATE: 20220119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Newfound Research LLC CENTRAL INDEX KEY: 0001630806 IRS NUMBER: 263296223 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17093 FILM NUMBER: 22538405 BUSINESS ADDRESS: STREET 1: 380 WASHINGTON STREET, 2ND FLOOR CITY: WELLESLEY HILLS STATE: MA ZIP: 02481 BUSINESS PHONE: 617-531-9773 MAIL ADDRESS: STREET 1: 380 WASHINGTON STREET, 2ND FLOOR CITY: WELLESLEY HILLS STATE: MA ZIP: 02481 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001630806 XXXXXXXX 12-31-2021 12-31-2021 false Newfound Research LLC

380 Washington Street, 2nd Floor Wellesley Hills MA 02481

13F HOLDINGS REPORT 028-17093 Y The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g), or 16(a) under the Securities Exchange Act of 1934, as amended, and the rules thereunder, or for any other purpose, that the Reporting Manager or any other person (including Other Managers or Other Included Managers named herein) is the beneficial owner of any securities. Newfound Research LLC, a Delaware limited liability company ("Newfound"), is an institutional investment manager which, for the purposes of Section 13(f) of the Securities Exchange Act of 1934 and the rules promulgated thereunder ("Section 13(f)"), exercises investment discretion with respect to certain securities positions. Thomas B. Rosedale, an individual ("Rosedale"), Corey M. Hoffstein, an individual ("Hoffstein"), Newfound Holdings, LLC, a Delaware limited liability company ("Holdings"), and Sand Hill Cove Management LLC, a Delaware limited liability company ("SandHill"), may each be deemed to exercise investment discretion over the securities reported on this Form 13F for purposes of Section 13(f). Certain of the security positions reported by Newfound are also being reported by Rosedale, Hoffstein, Holdings and SandHill. Each of Newfound, Rosedale, Hoffstein, Holdings and SandHill disclaims beneficial ownership of the shares reported on this Form 13F by Newfound except to the extent of any pecuniary interest therein. Thomas B. Rosedale Chief Executive Officer 617-531-9773 /s/ Thomas B. Rosedale Wellesley MA 01-18-2022 4 122 82842 1 0001256731 028-17094 Rosedale Thomas B. 2 0001630803 028-17095 Hoffstein Corey 3 0001664645 028-17097 Sand Hill Cove Management LLC 4 0001630807 028-17098 Newfound Holdings, LLC INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 161 1141 SH OTR 1,2,3,4 1141 0 0 ACTIVISION BLIZZARD INC COM 00507V109 79 1194 SH OTR 1,2,3,4 1194 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 88 156 SH OTR 1,2,3,4 156 0 0 ADVANCED MICRO DEVICES INC COM 007903107 65 453 SH OTR 1,2,3,4 453 0 0 AIR PRODS & CHEMS INC COM 009158106 157 516 SH OTR 1,2,3,4 516 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 155 1325 SH OTR 1,2,3,4 1325 0 0 AMAZON COM INC COM 023135106 147 44 SH OTR 1,2,3,4 44 0 0 AMETEK INC COM 031100100 158 1073 SH OTR 1,2,3,4 1073 0 0 AMPHENOL CORP NEW CL A 032095101 163 1860 SH OTR 1,2,3,4 1860 0 0 ANALOG DEVICES INC COM 032654105 124 703 SH OTR 1,2,3,4 703 0 0 ANSYS INC COM 03662Q105 159 396 SH OTR 1,2,3,4 396 0 0 APPLE INC COM 037833100 167 940 SH OTR 1,2,3,4 940 0 0 ARISTA NETWORKS INC COM 040413106 102 707 SH OTR 1,2,3,4 707 0 0 AUTODESK INC COM 052769106 90 321 SH OTR 1,2,3,4 321 0 0 BAXTER INTL INC COM 071813109 156 1812 SH OTR 1,2,3,4 1812 0 0 BECTON DICKINSON & CO COM 075887109 120 477 SH OTR 1,2,3,4 477 0 0 BOSTON SCIENTIFIC CORP COM 101137107 67 1579 SH OTR 1,2,3,4 1579 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 155 846 SH OTR 1,2,3,4 846 0 0 BROWN FORMAN CORP CL B 115637209 145 1990 SH OTR 1,2,3,4 1990 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 86 462 SH OTR 1,2,3,4 462 0 0 CERNER CORP COM 156782104 174 1874 SH OTR 1,2,3,4 1874 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 73 42 SH OTR 1,2,3,4 42 0 0 CHURCH & DWIGHT INC COM 171340102 167 1629 SH OTR 1,2,3,4 1629 0 0 CISCO SYS INC COM 17275R102 159 2515 SH OTR 1,2,3,4 2515 0 0 CINTAS CORP COM 172908105 159 359 SH OTR 1,2,3,4 359 0 0 COCA COLA CO COM 191216100 155 2621 SH OTR 1,2,3,4 2621 0 0 COGNIZANT TECHNOLOGY SOLUTIONS CL A 192446102 166 1869 SH OTR 1,2,3,4 1869 0 0 COLGATE PALMOLIVE CO COM 194162103 159 1862 SH OTR 1,2,3,4 1862 0 0 CONSTELLATION BRANDS INC CLA 21036P108 136 540 SH OTR 1,2,3,4 540 0 0 COOPER COS INC COM NEW 216648402 145 346 SH OTR 1,2,3,4 346 0 0 COPART INC COM 217204106 126 828 SH OTR 1,2,3,4 828 0 0 COSTAR GROUP INC COM 22160N109 139 1762 SH OTR 1,2,3,4 1762 0 0 DOLLAR GEN CORP NEW COM 256677105 153 650 SH OTR 1,2,3,4 650 0 0 DOVER CORP COM 260003108 78 431 SH OTR 1,2,3,4 431 0 0 ECOLAB INC COM 278865100 152 649 SH OTR 1,2,3,4 649 0 0 ELECTRONIC ARTS INC COM 285512109 141 1068 SH OTR 1,2,3,4 1068 0 0 EXPEDITORS INTL WASH INC COM 302130109 103 769 SH OTR 1,2,3,4 769 0 0 META PLATFORMS INC CL A 30303M102 121 361 SH OTR 1,2,3,4 361 0 0 FASTENAL CO COM 311900104 166 2587 SH OTR 1,2,3,4 2587 0 0 FIDELITY COVINGTON TRUST QLTY FCTOR ETF 316092790 2306 41090 SH OTR 1,2,3,4 41090 0 0 FIDELITY COVINGTON TRUST MOMENTUM FACTR 316092816 6893 128388 SH OTR 1,2,3,4 128388 0 0 FIDELITY COVINGTON TRUST LOW VOLITY ETF 316092824 2300 43959 SH OTR 1,2,3,4 43959 0 0 FORTIVE CORP COM 34959J108 124 1628 SH OTR 1,2,3,4 1628 0 0 GRAINGER W W INC COM 384802104 165 319 SH OTR 1,2,3,4 319 0 0 HEICO CORP NEW COM 422806109 133 920 SH OTR 1,2,3,4 920 0 0 HERSHEY CO COM 427866108 160 825 SH OTR 1,2,3,4 825 0 0 HOME DEPOT INC COM 437076102 120 288 SH OTR 1,2,3,4 288 0 0 HONEYWELL INTL INC COM 438516106 73 349 SH OTR 1,2,3,4 349 0 0 HORMEL FOODS CORP COM 440452100 158 3245 SH OTR 1,2,3,4 3245 0 0 HUNT J B TRANS SVCS INC COM 445658107 112 550 SH OTR 1,2,3,4 550 0 0 IDEXX LABS INC COM 45168D104 75 114 SH OTR 1,2,3,4 114 0 0 ILLINOIS TOOL WKS INC COM 452308109 159 644 SH OTR 1,2,3,4 644 0 0 ILLUMINA INC COM 452327109 115 302 SH OTR 1,2,3,4 302 0 0 INCYTE CORP COM 45337C102 98 1333 SH OTR 1,2,3,4 1333 0 0 INSULET CORP COM 45784P101 87 327 SH OTR 1,2,3,4 327 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 2307 28516 SH OTR 1,2,3,4 28516 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 2299 15796 SH OTR 1,2,3,4 15796 0 0 ISHARES TR MSCI USA MMENTM 46432F396 6884 37859 SH OTR 1,2,3,4 37859 0 0 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 2301 50577 SH OTR 1,2,3,4 50577 0 0 J P MORGAN EXCHANGE-TRADED F US MOMENTUM 46641Q779 6914 143238 SH OTR 1,2,3,4 143238 0 0 JOHNSON & JOHNSON COM 478160104 150 879 SH OTR 1,2,3,4 879 0 0 KIMBERLY-CLARK CORP COM 494368103 153 1073 SH OTR 1,2,3,4 1073 0 0 LAUDER ESTEE COS INC CL A 518439104 135 364 SH OTR 1,2,3,4 364 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 141 874 SH OTR 1,2,3,4 874 0 0 LULULEMON ATHLETICA INC COM 550021109 72 185 SH OTR 1,2,3,4 185 0 0 MASTERCARD INCORPORATED CL A 57636Q104 152 422 SH OTR 1,2,3,4 422 0 0 MCCORMICK & CO INC COM NON VTG 579780206 162 1680 SH OTR 1,2,3,4 1680 0 0 MCDONALDS CORP COM 580135101 158 588 SH OTR 1,2,3,4 588 0 0 MERCK & CO. 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