0001634047-19-000009.txt : 20191113 0001634047-19-000009.hdr.sgml : 20191113 20191113161947 ACCESSION NUMBER: 0001634047-19-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191113 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: 191214230 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 09-30-2019 09-30-2019 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 11-13-2019 4 702 1144805 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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INC COM 806407102 393 6184 SH DFND 3 6184 0 0 HERSHEY CO COM 427866108 62 403 SH DFND 1 403 0 0 HERSHEY CO COM 427866108 1419 9158 SH DFND 3 9158 0 0 HOLLYFRONTIER CORP COM 436106108 33 616 SH DFND 3 616 0 0 HOLLYFRONTIER CORP COM 436106108 95 1769 SH DFND 1 1769 0 0 HOLLYFRONTIER CORP COM 436106108 734 13679 SH DFND 4 13679 0 0 HOLLYSYS AUTOMATION TECHNOLO SHS G45667105 19025 1252489 SH DFND 1 1252489 0 0 HOLOGIC INC COM 436440101 351 6945 SH DFND 3 6945 0 0 HOME DEPOT INC COM 437076102 593 2554 SH DFND 1 2554 0 0 HOME DEPOT INC COM 437076102 409 1763 SH DFND 3 1763 0 0 HONEYWELL INTL INC COM 438516106 354 2090 SH DFND 3 2090 0 0 HONEYWELL INTL INC COM 438516106 15 86 SH DFND 1 86 0 0 HORMEL FOODS CORP COM 440452100 63 1435 SH DFND 1 1435 0 0 HORMEL FOODS CORP COM 440452100 581 13291 SH DFND 3 13291 0 0 HOST HOTELS & RESORTS INC COM 44107P104 51 2941 SH DFND 3 2941 0 0 HOST HOTELS & RESORTS INC COM 44107P104 97 5598 SH DFND 1 5598 0 0 HOST HOTELS & RESORTS INC COM 44107P104 649 37551 SH DFND 4 37551 0 0 HUMANA INC COM 444859102 1081 4230 SH DFND 3 4230 0 0 HUMANA INC COM 444859102 18 72 SH DFND 1 72 0 0 HUNTINGTON BANCSHARES INC COM 446150104 667 46730 SH DFND 4 46730 0 0 HUNTINGTON BANCSHARES INC COM 446150104 493 34562 SH DFND 3 34562 0 0 HUNTINGTON BANCSHARES INC COM 446150104 2 148 SH DFND 1 148 0 0 HUTCHISON CHINA MEDITECH LTD SPONSORED ADR 44842L103 186 10417 SH DFND 1 10417 0 0 IDEX CORP COM 45167R104 511 3121 SH DFND 1 3121 0 0 ILLUMINA INC COM 452327109 13390 44015 SH DFND 1 44015 0 0 INGERSOLL-RAND PLC SHS G47791101 342 2777 SH DFND 3 2777 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 752 8147 SH DFND 3 8147 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 128 883 SH DFND 1 883 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 830 5707 SH DFND 3 5707 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 650 4468 SH DFND 4 4468 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 470 3833 SH DFND 3 3833 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 2 15 SH DFND 1 15 0 0 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10163 SH DFND 3 10163 0 0 LENNOX INTL INC COM 526107107 352 1450 SH DFND 3 1450 0 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 10109 1579597 SH DFND 2 1579597 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 316 3026 SH DFND 3 3026 0 0 LILLY ELI & CO COM 532457108 875 7823 SH DFND 3 7823 0 0 LILLY ELI & CO COM 532457108 16 140 SH DFND 1 140 0 0 LINDE PLC SHS G5494J103 765 3950 SH DFND 3 3950 0 0 LOCKHEED MARTIN CORP COM 539830109 412 1055 SH DFND 3 1055 0 0 LOCKHEED MARTIN CORP COM 539830109 31 79 SH DFND 1 79 0 0 LOEWS CORP COM 540424108 345 6695 SH DFND 3 6695 0 0 LOWES COS INC COM 548661107 258 2344 SH DFND 3 2344 0 0 LOWES COS INC COM 548661107 27 247 SH DFND 1 247 0 0 LULULEMON ATHLETICA INC COM 550021109 727 3776 SH DFND 3 3776 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 694 7759 SH DFND 4 7759 0 0 M & T BK CORP COM 55261F104 506 3204 SH DFND 3 3204 0 0 M & T BK CORP COM 55261F104 3 20 SH DFND 1 20 0 0 MACROGENICS INC COM 556099109 1177 92279 SH DFND 1 92279 0 0 MACYS INC COM 55616P104 97 6248 SH DFND 1 6248 0 0 MACYS INC COM 55616P104 445 28655 SH DFND 4 28655 0 0 MANHATTAN ASSOCS INC COM 562750109 11662 144567 SH DFND 1 144567 0 0 MARATHON PETE CORP COM 56585A102 687 11301 SH DFND 1 11301 0 0 MARATHON PETE CORP COM 56585A102 706 11629 SH DFND 4 11629 0 0 MARKEL CORP COM 570535104 532 450 SH DFND 1 450 0 0 MARKEL CORP COM 570535104 526 445 SH DFND 3 445 0 0 MARKETAXESS HLDGS INC COM 57060D108 1583 4833 SH DFND 3 4833 0 0 MARSH & MCLENNAN COS INC COM 571748102 22 219 SH DFND 1 219 0 0 MARSH & MCLENNAN COS INC COM 571748102 630 6301 SH DFND 3 6301 0 0 MARTIN MARIETTA MATLS INC COM 573284106 592 2159 SH DFND 3 2159 0 0 MASTERCARD INC CL A 57636Q104 539 1984 SH DFND 1 1984 0 0 MATERIALISE NV SPONSORED ADS 57667T100 11683 632172 SH DFND 1 632172 0 0 MAXIMUS INC COM 577933104 517 6691 SH DFND 1 6691 0 0 MCCORMICK & CO INC COM NON VTG 579780206 621 3975 SH DFND 3 3975 0 0 MCCORMICK & CO INC COM NON VTG 579780206 60 383 SH DFND 1 383 0 0 MCDONALDS CORP COM 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COORS BREWING CO CL B 60871R209 95 1658 SH DFND 1 1658 0 0 MONDELEZ INTL INC CL A 609207105 805 14552 SH DFND 3 14552 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 414 7133 SH DFND 3 7133 0 0 MOODYS CORP COM 615369105 493 2405 SH DFND 1 2405 0 0 MORPHOSYS AG SPONSORED ADS 617760202 1557 56690 SH DFND 1 56690 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 4 24 SH DFND 1 24 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 358 2101 SH DFND 3 2101 0 0 NASDAQ INC COM 631103108 2 24 SH DFND 1 24 0 0 NASDAQ INC COM 631103108 435 4380 SH DFND 3 4380 0 0 NATIONAL INSTRS CORP COM 636518102 11681 278189 SH DFND 1 278189 0 0 NEKTAR THERAPEUTICS COM 640268108 756 41519 SH DFND 1 41519 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 663 7358 SH DFND 3 7358 0 0 NEWELL BRANDS INC COM 651229106 574 30689 SH DFND 3 30689 0 0 NEWELL BRANDS INC COM 651229106 97 5168 SH DFND 1 5168 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 4205 110894 SH DFND 3 110894 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 4 117 SH DFND 1 117 0 0 NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 7170 399913 SH DFND 2 399913 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 558 5453 SH DFND 1 5453 0 0 NEXTERA ENERGY INC COM 65339F101 1822 7820 SH DFND 3 7820 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 511 24026 SH DFND 3 24026 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 1 50 SH DFND 1 50 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 598 28157 SH DFND 4 28157 0 0 NIKE INC CL B 654106103 233 2480 SH DFND 3 2480 0 0 NIKE INC CL B 654106103 17 184 SH DFND 1 184 0 0 NISOURCE INC COM 65473P105 2 54 SH DFND 1 54 0 0 NISOURCE INC COM 65473P105 782 26146 SH DFND 3 26146 0 0 NOMAD FOODS LTD USD ORD SHS G6564A105 511 24944 SH DFND 1 24944 0 0 NORDSON CORP COM 655663102 12557 85851 SH DFND 1 85851 0 0 NORTHROP GRUMMAN CORP COM 666807102 24 64 SH DFND 1 64 0 0 NORTHROP GRUMMAN CORP COM 666807102 430 1147 SH DFND 3 1147 0 0 NOVANTA INC COM 67000B104 12215 149478 SH DFND 1 149478 0 0 NRG ENERGY INC COM NEW 629377508 95 2396 SH DFND 1 2396 0 0 NRG ENERGY INC COM NEW 629377508 407 10284 SH DFND 3 10284 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 11153 683829 SH DFND 1 683829 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 3919 403199 SH DFND 2 403199 0 0 NUVEEN PFD & INCM SECURTIES COM 67072C105 11331 1150380 SH DFND 2 1150380 0 0 NVIDIA CORP COM 67066G104 18494 106244 SH DFND 1 106244 0 0 NVR INC COM 62944T105 978 263 SH DFND 3 263 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 536 1345 SH DFND 1 1345 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 598 1500 SH DFND 3 1500 0 0 OCCIDENTAL PETE CORP COM 674599105 496 11162 SH DFND 3 11162 0 0 OCCIDENTAL PETE CORP COM 674599105 93 2086 SH DFND 1 2086 0 0 OMNICELL INC COM 68213N109 11796 163222 SH DFND 1 163222 0 0 OMNICOM GROUP INC COM 681919106 480 6129 SH DFND 3 6129 0 0 OMNICOM GROUP INC COM 681919106 155 1974 SH DFND 1 1974 0 0 ONEOK INC NEW COM 682680103 4 61 SH DFND 1 61 0 0 ONEOK INC NEW COM 682680103 476 6453 SH DFND 3 6453 0 0 OPEN TEXT CORP COM 683715106 539 13205 SH DFND 1 13205 0 0 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