0001634047-19-000006.txt : 20190812 0001634047-19-000006.hdr.sgml : 20190812 20190812112823 ACCESSION NUMBER: 0001634047-19-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 EFFECTIVENESS DATE: 20190812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vident Investment Advisory, LLC CENTRAL INDEX KEY: 0001634047 IRS NUMBER: 471618011 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16741 FILM NUMBER: 191014920 BUSINESS ADDRESS: STREET 1: 1125 SANCTUARY PARKWAY STREET 2: SUITE 515 CITY: ALPHARETTA STATE: GA ZIP: 30009 BUSINESS PHONE: 404-487-1961 MAIL ADDRESS: STREET 1: 1125 SANCTUARY PARKWAY STREET 2: SUITE 515 CITY: ALPHARETTA STATE: GA ZIP: 30009 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001634047 XXXXXXXX 06-30-2019 06-30-2019 false Vident Investment Advisory, LLC

1125 Sanctuary Parkway Suite 515 Alpharetta GA 30009

13F COMBINATION REPORT 028-16741 0001672775 O'Shares Investment Advisers, LLC N Anne Czizek 415-463-1013 /s/ Anne Czizek San Francisco CA 08-12-2019 4 685 1242496 1 0001457320 EXCHANGE TRADED CONCEPTS, LLC 2 0001632494 Amplify Investments, LLC 3 0001097218 Nationwide Fund Advisors 4 0001297376 Advisors Asset Management, Inc. 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HORMEL FOODS CORP COM 440452100 527 12999 SH DFND 3 12999 0 0 HOST HOTELS & RESORTS INC COM 44107P104 54 2988 SH DFND 3 2988 0 0 HOST HOTELS & RESORTS INC COM 44107P104 620 34004 SH DFND 4 34004 0 0 HOST HOTELS & RESORTS INC COM 44107P104 96 5268 SH DFND 1 5268 0 0 HUMANA INC COM 444859102 1189 4480 SH DFND 3 4480 0 0 HUMANA INC COM 444859102 16 62 SH DFND 1 62 0 0 HUNT J B TRANS SVCS INC COM 445658107 366 4004 SH DFND 3 4004 0 0 HUNT J B TRANS SVCS INC COM 445658107 14 158 SH DFND 1 158 0 0 HUNTINGTON BANCSHARES INC COM 446150104 600 43434 SH DFND 4 43434 0 0 HUNTINGTON BANCSHARES INC COM 446150104 478 34602 SH DFND 3 34602 0 0 HUNTINGTON BANCSHARES INC COM 446150104 1 77 SH DFND 1 77 0 0 ILLUMINA INC COM 452327109 14019 38080 SH DFND 1 38080 0 0 INGERSOLL-RAND PLC SHS G47791101 341 2694 SH DFND 3 2694 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 750 8727 SH DFND 3 8727 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 833 6042 SH DFND 3 6042 0 0 INTERNATIONAL BUSINESS MACHS COM 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LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 9601 1495467 SH DFND 2 1495467 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 319 3098 SH DFND 3 3098 0 0 LILLY ELI & CO COM 532457108 9 83 SH DFND 1 83 0 0 LILLY ELI & CO COM 532457108 848 7651 SH DFND 3 7651 0 0 LINDE PLC SHS G5494J103 57 285 SH DFND 1 285 0 0 LINDE PLC SHS G5494J103 606 3018 SH DFND 3 3018 0 0 LOCKHEED MARTIN CORP COM 539830109 396 1090 SH DFND 3 1090 0 0 LOCKHEED MARTIN CORP COM 539830109 23 63 SH DFND 1 63 0 0 LOEWS CORP COM 540424108 432 7903 SH DFND 3 7903 0 0 LULULEMON ATHLETICA INC COM 550021109 830 4605 SH DFND 3 4605 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 605 7022 SH DFND 4 7022 0 0 M & T BK CORP COM 55261F104 545 3206 SH DFND 3 3206 0 0 M & T BK CORP COM 55261F104 60 354 SH DFND 1 354 0 0 MACROGENICS INC COM 556099109 1611 94915 SH DFND 1 94915 0 0 MACYS INC COM 55616P104 94 4359 SH DFND 1 4359 0 0 MACYS INC COM 55616P104 539 25130 SH DFND 3 25130 0 0 MACYS INC COM 55616P104 511 23833 SH DFND 4 23833 0 0 MANHATTAN ASSOCS INC COM 562750109 13473 194332 SH DFND 1 194332 0 0 MARATHON PETE CORP COM 56585A102 517 9258 SH DFND 4 9258 0 0 MARATHON PETE CORP COM 56585A102 3 53 SH DFND 1 53 0 0 MARKEL CORP COM 570535104 481 441 SH DFND 3 441 0 0 MARKETAXESS HLDGS INC COM 57060D108 1660 5166 SH DFND 3 5166 0 0 MARSH & MCLENNAN COS INC COM 571748102 18 183 SH DFND 1 183 0 0 MARSH & MCLENNAN COS INC COM 571748102 637 6384 SH DFND 3 6384 0 0 MARTIN MARIETTA MATLS INC COM 573284106 59 255 SH DFND 1 255 0 0 MARTIN MARIETTA MATLS INC COM 573284106 483 2097 SH DFND 3 2097 0 0 MASTERCARD INC CL A 57636Q104 593 2242 SH DFND 1 2242 0 0 MATERIALISE NV SPONSORED ADS 57667T100 17045 873227 SH DFND 1 873227 0 0 MCCORMICK & CO INC COM NON VTG 579780206 613 3952 SH DFND 3 3952 0 0 MCDONALDS CORP COM 580135101 12 59 SH DFND 1 59 0 0 MCDONALDS CORP COM 580135101 1349 6494 SH DFND 3 6494 0 0 MCKESSON CORP COM 58155Q103 113 841 SH DFND 1 841 0 0 MCKESSON CORP COM 58155Q103 474 3525 SH DFND 3 3525 0 0 MEDTRONIC PLC SHS G5960L103 985 10110 SH DFND 3 10110 0 0 MERCK & CO INC COM 58933Y105 2176 25947 SH DFND 1 25947 0 0 MERCK & CO INC COM 58933Y105 1292 15405 SH DFND 3 15405 0 0 METLIFE INC COM 59156R108 113 2284 SH DFND 1 2284 0 0 METLIFE INC COM 59156R108 487 9809 SH DFND 3 9809 0 0 METLIFE INC COM 59156R108 653 13138 SH DFND 4 13138 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 13238 152687 SH DFND 1 152687 0 0 MICROSOFT CORP COM 594918104 656 4898 SH DFND 1 4898 0 0 MIDDLEBY CORP COM 596278101 329 2422 SH DFND 3 2422 0 0 MODERNA INC COM 60770K107 1316 89907 SH DFND 1 89907 0 0 MOLINA HEALTHCARE INC COM 60855R100 402 2805 SH DFND 3 2805 0 0 MOLSON COORS BREWING CO CL B 60871R209 607 10843 SH DFND 3 10843 0 0 MOLSON COORS BREWING CO CL B 60871R209 516 9215 SH DFND 4 9215 0 0 MOLSON COORS BREWING CO CL B 60871R209 96 1708 SH DFND 1 1708 0 0 MONDELEZ INTL INC CL A 609207105 760 14098 SH DFND 3 14098 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 454 7110 SH DFND 3 7110 0 0 MOODYS CORP COM 615369105 574 2939 SH DFND 1 2939 0 0 MORPHOSYS AG SPONSORED ADS 617760202 1408 58310 SH DFND 1 58310 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 359 2151 SH DFND 3 2151 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 2 12 SH DFND 1 12 0 0 NASDAQ INC COM 631103108 1 12 SH DFND 1 12 0 0 NASDAQ INC COM 631103108 459 4775 SH DFND 3 4775 0 0 NATIONAL INSTRS CORP COM 636518102 13367 318348 SH DFND 1 318348 0 0 NEKTAR THERAPEUTICS COM 640268108 1519 42705 SH DFND 1 42705 0 0 NEKTAR THERAPEUTICS COM 640268108 501 14073 SH DFND 3 14073 0 0 NETFLIX INC COM 64110L106 577 1572 SH DFND 1 1572 0 0 NETFLIX INC COM 64110L106 227 617 SH DFND 3 617 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 558 6611 SH DFND 3 6611 0 0 NEWELL BRANDS INC COM 651229106 440 28551 SH DFND 3 28551 0 0 NEWELL BRANDS INC COM 651229106 94 6104 SH DFND 1 6104 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 4499 116959 SH DFND 3 116959 0 0 NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 7158 378356 SH DFND 2 378356 0 0 NEXTERA 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OPEN TEXT CORP COM 683715106 557 13530 SH DFND 1 13530 0 0 ORACLE CORP COM 68389X105 603 10590 SH DFND 3 10590 0 0 ORACLE CORP COM 68389X105 617 10838 SH DFND 1 10838 0 0 PACCAR INC COM 693718108 440 6134 SH DFND 3 6134 0 0 PACKAGING CORP AMER COM 695156109 602 6319 SH DFND 4 6319 0 0 PAYCHEX INC COM 704326107 327 3970 SH DFND 3 3970 0 0 PEOPLES UTD FINL INC COM 712704105 27 1611 SH DFND 3 1611 0 0 PEOPLES UTD FINL INC COM 712704105 598 35621 SH DFND 4 35621 0 0 PEPSICO INC COM 713448108 577 4398 SH DFND 1 4398 0 0 PEPSICO INC COM 713448108 1270 9684 SH DFND 3 9684 0 0 PFIZER INC COM 717081103 115 2652 SH DFND 1 2652 0 0 PFIZER INC COM 717081103 627 14467 SH DFND 4 14467 0 0 PFIZER INC COM 717081103 1387 32013 SH DFND 3 32013 0 0 PG&E CORP COM 69331C108 987 43071 SH DFND 3 43071 0 0 PG&E CORP COM 69331C108 101 4421 SH DFND 1 4421 0 0 PGIM GLOBAL HIGH YIELD FD IN COM 69346J106 9219 637968 SH DFND 2 637968 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 9101 622099 SH DFND 2 622099 0 0 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DFND 3 4466 0 0 RAVEN INDS INC COM 754212108 13337 371700 SH DFND 1 371700 0 0 RAYTHEON CO COM NEW 755111507 376 2162 SH DFND 3 2162 0 0 RAYTHEON CO COM NEW 755111507 4 21 SH DFND 1 21 0 0 REALPAGE INC COM 75606N109 549 9337 SH DFND 1 9337 0 0 RED HAT INC COM 756577102 691 3679 SH DFND 3 3679 0 0 REGENERON PHARMACEUTICALS COM 75886F107 1489 4756 SH DFND 1 4756 0 0 REGENERON PHARMACEUTICALS COM 75886F107 104 332 SH DFND 3 332 0 0 REGIONS FINL CORP NEW COM 7591EP100 431 28854 SH DFND 3 28854 0 0 REGIONS FINL CORP NEW COM 7591EP100 1 76 SH DFND 1 76 0 0 REINSURANCE GRP OF AMERICA I COM NEW 759351604 420 2691 SH DFND 3 2691 0 0 RENAISSANCERE HOLDINGS LTD COM G7496G103 211 1186 SH DFND 3 1186 0 0 REPUBLIC SVCS INC COM 760759100 2 24 SH DFND 1 24 0 0 REPUBLIC SVCS INC COM 760759100 623 7196 SH DFND 3 7196 0 0 RESMED INC COM 761152107 478 3920 SH DFND 3 3920 0 0 ROCKWELL AUTOMATION INC COM 773903109 20856 127305 SH DFND 1 127305 0 0 ROKU INC COM CL A 77543R102 330 3642 SH DFND 3 3642 0 0 ROSS 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0 SNAP INC CL A 83304A106 779 54474 SH DFND 3 54474 0 0 SNAP ON INC COM 833034101 379 2288 SH DFND 3 2288 0 0 SOUTHERN CO COM 842587107 723 13082 SH DFND 3 13082 0 0 SOUTHERN CO COM 842587107 18 333 SH DFND 1 333 0 0 SOUTHWEST AIRLS CO COM 844741108 428 8430 SH DFND 3 8430 0 0 SOUTHWEST AIRLS CO COM 844741108 167 3292 SH DFND 1 3292 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 43461 148332 SH DFND 1 148332 0 0 STARBUCKS CORP COM 855244109 838 10000 SH DFND 3 10000 0 0 STARBUCKS CORP COM 855244109 22 264 SH DFND 1 264 0 0 STERIS PLC SHS USD G8473T100 391 2627 SH DFND 3 2627 0 0 STRATASYS LTD SHS M85548101 16392 558118 SH DFND 1 558118 0 0 STRYKER CORP COM 863667101 20 97 SH DFND 1 97 0 0 STRYKER CORP COM 863667101 458 2229 SH DFND 3 2229 0 0 SUNTRUST BKS INC COM 867914103 369 5864 SH DFND 3 5864 0 0 SUNTRUST BKS INC COM 867914103 60 959 SH DFND 1 959 0 0 SYMANTEC CORP COM 871503108 1017 46719 SH DFND 3 46719 0 0 SYMANTEC CORP COM 871503108 1 49 SH DFND 1 49 0 0 SYNCHRONY FINL COM 87165B103 479 13815 SH DFND 3 13815 0 0 SYNCHRONY FINL COM 87165B103 97 2797 SH DFND 1 2797 0 0 SYSCO CORP COM 871829107 720 10185 SH DFND 3 10185 0 0 T MOBILE US INC COM 872590104 428 5770 SH DFND 3 5770 0 0 T MOBILE US INC COM 872590104 19 256 SH DFND 1 256 0 0 TARGET CORP COM 87612E106 98 1136 SH DFND 1 1136 0 0 TARGET CORP COM 87612E106 574 6622 SH DFND 3 6622 0 0 TELEDYNE TECHNOLOGIES INC COM 879360105 13908 50785 SH DFND 1 50785 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 6534 639298 SH DFND 2 639298 0 0 TERADYNE INC COM 880770102 13538 282578 SH DFND 1 282578 0 0 TERADYNE INC COM 880770102 33 696 SH DFND 3 696 0 0 TESLA INC COM 88160R101 746 3339 SH DFND 3 3339 0 0 TJX COS INC NEW COM 872540109 644 12181 SH DFND 3 12181 0 0 TJX COS INC NEW COM 872540109 5 93 SH DFND 1 93 0 0 TORTOISE ENERGY INFRA CORP COM 89147L100 4499 199495 SH DFND 2 199495 0 0 TORTOISE MIDSTRM ENERGY FD I COM 89148B101 7956 589765 SH DFND 2 589765 0 0 TRACTOR SUPPLY CO COM 892356106 418 3845 SH DFND 3 3845 0 0 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