PRIMECAP

Q3 2016 13F · by Joel Fried, portfolio manager

As of: Sep 30, 2016
Filed: Nov 14, 2016
US stock: $100.2B · prev $93.9B
Positions: 273 · prev 272
Options notional: $0
Documents: 1· no amendments

Picture96.2% US stock

Full picture · of what this 13F reports is US stock

US stock listed on a US exchange 96.2%
Foreign stock not listed in the US 3.8%
Notes debt, at principal 0.0%
Puts at notional value 0.0%
Calls at notional value 0.0%

Moves246 since the prior filing

+2.4 pp in · −2.5 pp out

New 11 +0.41 pp
Added 56 +1.96 pp
Trimmed 169 −0.94 pp
Exited 10 −1.55 pp

The book

Diversified · behaves like 56 equal-sized positions

Very concentrated
Concentrated
Focused
Diversified

Low turnover · 6.7% a year, about 15.0 years per position

Low
Moderate
High

Top 5 positions20% of US stock

BIIB Biogen Inc. trimmed+0.77 pp trimmed+0.774.9%
LLY Eli Lilly & Co. trimmed−0.30 pp trimmed−0.304.5%
AMGN Amgen Inc trimmed−0.22 pp trimmed−0.224.4%
TXN Texas Instruments Incorporated trimmed−0.19 pp trimmed−0.193.3%
MSFT Microsoft Corp trimmed+0.06 pp trimmed+0.063.3%

Positions273 in this filing · 10 exited


BIIBBiogen Inc.	4.90%	15,693,905	$4.9B	trimmed−2%	+0.77 pp	14 q
LLYEli Lilly & Co.	4.52%	56,449,048	$4.5B	trimmed−2%	−0.30 pp	14 q
AMGNAmgen Inc	4.42%	26,560,551	$4.4B	trimmed−7%	−0.22 pp	14 q
TXNTexas Instruments Incorporated	3.31%	47,293,276	$3.3B	trimmed−10%	−0.19 pp	14 q
MSFTMicrosoft Corp	3.25%	56,519,174	$3.3B	trimmed−3%	+0.06 pp	14 q
ADBEAdobe Inc.	3.04%	28,083,724	$3.0B	trimmed−11%	−0.19 pp	14 q
LUVSouthwest Airlines Co.	2.81%	72,441,062	$2.8B	trimmed−1%	−0.25 pp	14 q
FDXFedEx Corporation	2.76%	15,827,070	$2.8B	trimmed−1%	+0.19 pp	14 q
unresolvedRoche Holding Ag-chf	2.47%	9,982,115	$2.5B	trimmed−1%	−0.36 pp	14 q
GOOGLAlphabet Inc. Class A	1.96%	2,439,888	$2.0B	trimmed−4%	+0.05 pp	5 q
GOOGAlphabet Inc. Class C	1.87%	2,413,345	$1.9B	trimmed−3%	+0.04 pp	11 q
NVDANvidia Corp	1.73%	25,255,555	$1.7B	trimmed−8%	+0.35 pp	14 q
SCHWThe Charles Schwab Corporation	1.66%	52,657,350	$1.7B	trimmed−4%	+0.18 pp	14 q
BABAAlibaba Group Holding Limited	1.62%	15,378,905	$1.6B	trimmed−1%	+0.30 pp	9 q
AALAmerican Airlines Group Inc.	1.62%	44,295,226	$1.6B	added+25%	+0.55 pp	12 q
NVSNovartis AG	1.62%	20,557,433	$1.6B	trimmed−1%	−0.21 pp	14 q
JPMJPMorgan Chase & Co.	1.56%	23,463,307	$1.6B	added+9%	+0.14 pp	7 q
NTAPNetApp, Inc	1.49%	41,794,351	$1.5B	trimmed−2%	+0.37 pp	14 q
SONYSony Group Corporation	1.47%	44,363,650	$1.5B	trimmed−3%	+0.04 pp	14 q
HPEHewlett Packard Enterprise Company	1.27%	56,061,655	$1.3B	added0%	+0.18 pp	4 q
MDTMedtronic plc	1.25%	14,482,669	$1.3B	trimmed−3%	−0.13 pp	7 q
INTCIntel Corp	1.18%	31,432,144	$1.2B	trimmed−2%	+0.06 pp	14 q
unresolvedEads Industrial - Eur	1.17%	19,297,848	$1.2B	added+4%	+0.04 pp	14 q
QCOMQualcomm Inc	1.16%	16,980,554	$1.2B	trimmed−2%	+0.17 pp	14 q
unresolvedMonsanto Co	1.14%	11,172,833	$1.1B	trimmed−2%	−0.11 pp	14 q
LBBath & Body Works, Inc.	1.11%	15,755,136	$1.1B	trimmed−3%	−0.05 pp	14 q
MUMicron Technology, Inc.	1.10%	62,133,100	$1.1B	added+5%	+0.24 pp	14 q
CCLCarnival Corporation Ltd.	1.06%	21,760,205	$1.1B	trimmed−2%	+0.02 pp	14 q
UALUnited Airlines Holdings, Inc.	1.04%	19,842,651	$1.0B	added+1%	+0.18 pp	14 q
KMXCarMax Inc.	1.00%	18,799,750	$1.0B	trimmed−1%	+0.01 pp	14 q
BSXBoston Scientific Corp.	0.99%	41,805,050	$995M	trimmed−2%	−0.07 pp	14 q
HPQHP Inc.	0.96%	61,761,530	$959M	trimmed−2%	+0.12 pp	4 q
ROSTRoss Stores Inc	0.95%	14,850,100	$955M	trimmed−3%	+0.03 pp	14 q
KLACKLA Corporation	0.93%	13,383,496	$933M	added+1%	−0.10 pp	14 q
TJXTJX Companies, Inc. (The)	0.92%	12,280,196	$918M	trimmed−1%	−0.10 pp	14 q
CSCOCisco Systems, Inc. (DE)	0.87%	27,626,190	$876M	trimmed−3%	0.00 pp	14 q
TMOThermo Fisher Scientific, Inc.	0.83%	5,204,870	$828M	trimmed−3%	−0.01 pp	12 q
MRSHMarsh	0.82%	12,230,310	$822M	trimmed−16%	−0.24 pp	14 q
WFCWells Fargo & Co.	0.81%	18,291,827	$810M	trimmed−1%	−0.12 pp	14 q
RCLRoyal Caribbean Group	0.79%	10,544,105	$790M	added+37%	+0.24 pp	14 q
DALDelta Air Lines, Inc.	0.78%	19,918,540	$784M	added+2%	+0.02 pp	14 q
INTUIntuit Inc	0.72%	6,574,150	$723M	trimmed−4%	−0.09 pp	14 q
SGENSeagen Inc.	0.72%	13,420,237	$725M	trimmed−1%	+0.14 pp	14 q
FLEXFlex Ltd.	0.69%	50,913,657	$693M	trimmed−1%	+0.05 pp	14 q
ABTAbbott Laboratories	0.66%	15,720,699	$665M	trimmed−5%	−0.03 pp	14 q
BMRNBioMarin Pharmaceuticals Inc	0.66%	7,108,129	$658M	trimmed−3%	+0.05 pp	14 q
TAT&T Inc.	0.63%	15,540,897	$631M	trimmed−9%	−0.16 pp	5 q
ABMDAbiomed Inc	0.60%	4,708,590	$605M	trimmed−6%	+0.02 pp	14 q
BBBlackBerry Limited	0.60%	75,358,507	$601M	trimmed−2%	+0.05 pp	14 q
AZNNAstrazeneca Plc-spons ADR	0.57%	17,313,325	$569M	added+13%	+0.08 pp	5 q
ERICEricsson	0.57%	79,743,604	$575M	trimmed−2%	−0.10 pp	14 q
CATCaterpillar Inc.	0.55%	6,251,551	$555M	trimmed−3%	+0.03 pp	14 q
HONHoneywell International, Inc.	0.55%	4,732,645	$552M	trimmed−2%	−0.05 pp	14 q
DISThe Walt Disney Company	0.53%	5,709,499	$530M	trimmed−14%	−0.16 pp	14 q
unresolvedQiagen N.V	0.53%	19,473,847	$534M	trimmed−3%	+0.06 pp	14 q
VVISA Inc.	0.50%	6,034,950	$499M	trimmed−12%	−0.04 pp	14 q
ALKAlaska Air Group, Inc.	0.47%	7,216,035	$475M	trimmed−4%	0.00 pp	14 q
DEDeere & Company	0.46%	5,395,719	$461M	trimmed−1%	−0.01 pp	14 q
UNPUnion Pacific Corp.	0.46%	4,720,400	$460M	added+1%	+0.03 pp	14 q
GLWCorning Incorporated	0.44%	18,784,900	$444M	trimmed−2%	+0.02 pp	14 q
UPSUnited Parcel Service, Inc. Class B	0.43%	3,963,213	$433M	added+1%	−0.02 pp	14 q
AIYActivision Blizzard Inc	0.42%	9,448,200	$419M	trimmed−7%	−0.01 pp	14 q
JECJacobs Engineering Group	0.40%	7,695,272	$398M	trimmed−4%	−0.02 pp	14 q
ILMNIllumina Inc	0.38%	2,083,170	$378M	trimmed−3%	+0.06 pp	14 q
unresolvedEllie Mae	0.37%	3,491,050	$368M	trimmed−6%	+0.01 pp	14 q
SLBSLB Limited	0.36%	4,527,153	$356M	trimmed−4%	−0.04 pp	14 q
ETRAE*trade Financial Corp	0.35%	11,886,200	$346M	trimmed−0%	+0.05 pp	8 q
JBLUJetBlue Airways Corp	0.35%	20,075,314	$346M	added0%	0.00 pp	14 q
TRMBTrimble Inc.	0.35%	12,332,302	$352M	trimmed−5%	+0.01 pp	14 q
NKTRNektar Therapeutics	0.34%	20,006,621	$344M	added0%	+0.04 pp	14 q
CVSCvs Health Corporation	0.31%	3,492,690	$311M	trimmed−1%	−0.05 pp	14 q
DFSDiscover Financial Services	0.31%	5,428,500	$307M	added+40%	+0.09 pp	11 q
PGRProgressive Corporation	0.31%	9,883,150	$311M	trimmed−16%	−0.11 pp	9 q
JNJJohnson & Johnson	0.30%	2,519,397	$298M	trimmed−11%	−0.07 pp	14 q
ORCLOracle Corp	0.29%	7,401,875	$291M	trimmed−2%	−0.04 pp	14 q
EBAYeBay Inc	0.28%	8,545,500	$281M	trimmed−2%	+0.06 pp	13 q
ADIAnalog Devices, Inc.	0.27%	4,245,930	$274M	trimmed−2%	+0.01 pp	14 q
unresolvedYahoo Inc	0.27%	6,290,580	$271M	trimmed−0%	+0.02 pp	14 q
PLTPlantronics Inc	0.26%	4,923,150	$256M	held	—	14 q
AMZNAmazon.Com Inc	0.24%	291,238	$244M	held	—	14 q
SFLYShutterfly, Inc.	0.24%	5,377,232	$240M	trimmed−2%	−0.03 pp	14 q
unresolvedSprint Corporation	0.24%	36,333,300	$241M	trimmed−1%	+0.06 pp	9 q
TRCOTribune Media Company Class A	0.24%	6,701,620	$245M	trimmed−4%	−0.05 pp	14 q
unresolvedCree Inc	0.23%	8,883,441	$228M	trimmed−3%	−0.01 pp	14 q
RBARB Global, Inc.	0.23%	6,431,505	$226M	trimmed−9%	−0.02 pp	14 q
ACMAecom	0.22%	7,341,075	$218M	trimmed−3%	−0.04 pp	14 q
AAgilent Technologies Inc.	0.22%	4,681,530	$220M	trimmed−7%	−0.02 pp	14 q
USBU.S. Bancorp	0.22%	5,058,750	$217M	added+2%	+0.01 pp	12 q
ASMLASML Holding NV	0.22%	1,975,688	$216M	trimmed−16%	−0.03 pp	14 q
EOGEOG Resources, Inc.	0.21%	2,219,000	$215M	trimmed−8%	0.00 pp	14 q
PODDInsulet Corporation	0.21%	5,179,572	$212M	trimmed−0%	+0.04 pp	14 q
KEYSKeysight Technologies, Inc.	0.21%	6,729,227	$213M	trimmed−2%	0.00 pp	8 q
TSLATesla, Inc.	0.21%	1,019,590	$208M	trimmed−6%	−0.03 pp	14 q
CMECME Group Inc.	0.20%	1,941,613	$203M	added0%	0.00 pp	14 q
PYPLPayPal Holdings, Inc.	0.20%	4,862,900	$199M	trimmed−27%	−0.06 pp	5 q
unresolvedDell Technologies Inc	0.19%	3,923,316	$188M	new	+0.19 pp	new
unresolvedNeustar Inc	0.19%	7,321,711	$195M	trimmed−2%	0.00 pp	14 q
RVTYRevvity, Inc.	0.19%	3,476,530	$195M	added+1%	0.00 pp	14 q
PXGBXPraxair Inc	0.19%	1,562,670	$189M	trimmed−8%	−0.01 pp	14 q
NCLHNorwegian Cruise Line Holdings Ltd.	0.19%	4,958,675	$187M	added+20%	+0.02 pp	11 q
AMATApplied Materials Inc	0.18%	5,852,355	$176M	trimmed−3%	+0.03 pp	14 q
MRKMerck & Co., Inc.	0.18%	2,964,300	$185M	trimmed−0%	0.00 pp	8 q
BBYD20230930-DK-BUTTERFLY-1 Inc	0.17%	4,055,256	$175M	trimmed−3%	−0.02 pp	14 q
SCORcomScore, Inc.	0.17%	5,567,295	$171M	added+32%	+0.06 pp	14 q
MKTXMarketAxess Holdings Inc.	0.17%	1,003,420	$166M	held	—	14 q
NUANNuance Communications, Inc.	0.17%	11,921,699	$173M	trimmed−8%	−0.05 pp	14 q
RIGTransocean LTD.	0.17%	16,038,007	$171M	trimmed−3%	−0.04 pp	14 q
CSXCSX Corporation	0.15%	4,983,850	$152M	trimmed−1%	+0.01 pp	14 q
ALKSAlkermes Inc. plc	0.15%	3,153,560	$148M	added+26%	+0.03 pp	2 q
BABoeing Company	0.14%	1,075,250	$142M	trimmed−40%	−0.11 pp	14 q
LVSLas Vegas Sands Corp.	0.14%	2,502,481	$144M	held	—	14 q
UTXZRTX Corporation	0.14%	1,407,300	$143M	added+4%	−0.01 pp	12 q
VMWVMware, Inc	0.14%	1,847,012	$135M	trimmed−2%	+0.03 pp	14 q
NTRSNorthern Trust Corp	0.13%	1,961,400	$133M	added+8%	0.00 pp	3 q
XNCRXencor, Inc.	0.13%	5,197,595	$127M	added0%	+0.02 pp	12 q
unresolvedAbaxis	0.12%	2,323,000	$120M	trimmed−0%	0.00 pp	12 q
AAPLApple Inc.	0.12%	1,021,700	$116M	trimmed−1%	+0.01 pp	14 q
unresolvedCepheid	0.12%	2,336,400	$123M	trimmed−4%	+0.04 pp	14 q
CWCurtiss-Wright Corp.	0.12%	1,322,400	$120M	trimmed−4%	0.00 pp	13 q
EAElectronic Arts Inc	0.12%	1,413,850	$121M	trimmed−6%	0.00 pp	14 q
ROKRockwell Automation, Inc.	0.12%	944,860	$116M	trimmed−10%	−0.01 pp	14 q
unresolvedSafran	0.11%	1,600,400	$115M	added+1%	0.00 pp	14 q
DSGXDescartes Systems Group Inc	0.11%	4,890,490	$105M	trimmed−0%	+0.01 pp	14 q
IEXIDEX Corporation	0.11%	1,204,220	$113M	trimmed−6%	0.00 pp	14 q
RMBSRambus Inc	0.11%	8,910,472	$111M	trimmed−3%	−0.01 pp	14 q
PNRPentair plc	0.11%	1,741,400	$112M	trimmed−5%	0.00 pp	10 q
SSYSStratasys Inc (ISRAEL)	0.11%	4,520,300	$109M	added+13%	+0.01 pp	14 q
ENTGEntegris Inc	0.09%	5,099,759	$89M	trimmed−0%	+0.01 pp	14 q
FORMFormFactor Inc.	0.09%	8,423,318	$91M	trimmed−2%	+0.01 pp	14 q
JBLJabil Inc.	0.09%	3,984,475	$87M	trimmed−6%	+0.01 pp	14 q
SW5Southwestern Energy Co	0.09%	6,448,625	$89M	added+14%	+0.01 pp	14 q
CRLCharles River Laboratories International, Inc.	0.08%	909,660	$76M	trimmed−6%	−0.01 pp	14 q
CHGGChegg, Inc.	0.08%	11,228,128	$80M	held	—	11 q
unresolvedDow Chemical Co	0.08%	1,571,275	$81M	trimmed−1%	0.00 pp	14 q
EXKExact Sciences Corp	0.08%	4,491,300	$83M	trimmed−1%	+0.02 pp	10 q
NBLNoble Energy, Inc.	0.08%	2,293,000	$82M	trimmed−0%	−0.01 pp	14 q
POTPotash Corp Of Saskatchewan	0.08%	5,196,800	$85M	trimmed−17%	−0.03 pp	14 q
SNYSanofi	0.08%	2,037,207	$78M	trimmed−8%	−0.02 pp	14 q
WATWaters Corp	0.08%	488,487	$77M	trimmed−22%	−0.01 pp	14 q
CTRACoterra Energy Inc.	0.07%	2,700,900	$70M	trimmed−0%	0.00 pp	14 q
CMCSAComcast Corp	0.07%	1,095,200	$73M	added×3.2	+0.05 pp	5 q
EWEdwards Lifesciences Corp	0.07%	560,000	$68M	held	—	14 q
XOMExxon Mobil Corp	0.07%	775,512	$68M	trimmed−2%	−0.01 pp	14 q
FAROFaro Technologies Inc	0.07%	1,823,000	$66M	added0%	0.00 pp	14 q
GILGildan Activewear Inc.	0.07%	2,603,800	$73M	trimmed−3%	−0.01 pp	10 q
unresolvedLions Gate Entmnt Corp	0.07%	3,485,000	$70M	held	—	2 q
LOWLowe's Companies Inc.	0.07%	929,300	$67M	added+1%	−0.01 pp	3 q
unresolvedNovadaq Technologies Inc	0.07%	5,686,349	$66M	added+5%	+0.01 pp	8 q
VFCV.F. Corporation	0.07%	1,255,400	$70M	trimmed−1%	−0.01 pp	14 q
WDCWestern Digital Corp.	0.07%	1,177,828	$69M	trimmed−9%	0.00 pp	2 q
ABBVAbbvie Inc.	0.06%	953,845	$60M	trimmed−3%	0.00 pp	14 q
ASNAAscena Retail Group Inc	0.06%	9,884,100	$55M	added+1%	−0.01 pp	14 q
EPZMEpizyme, Inc	0.06%	6,525,327	$64M	added0%	−0.01 pp	14 q
NUVANuVasive, Inc.	0.06%	869,000	$58M	trimmed−0%	0.00 pp	14 q
6SSServicesource International	0.06%	12,898,236	$63M	held	—	11 q
unresolvedTronc Inc	0.06%	3,550,868	$60M	trimmed−0%	+0.01 pp	2 q
OLEDUniversal Display Corp	0.06%	1,038,600	$58M	trimmed−9%	−0.02 pp	9 q
ZBHZimmer Biomet Holdings, Inc.	0.06%	452,300	$59M	trimmed−3%	0.00 pp	14 q
JCIJohnson Controls International plc	0.06%	1,229,200	$57M	new	+0.06 pp	new
ARAYAccuray Incorporated	0.05%	7,493,600	$48M	trimmed−12%	0.00 pp	14 q
unresolvedSIEMENS AG-Reg	0.05%	423,500	$50M	new	+0.05 pp	new
ACLSAxcelis Technologies Inc	0.05%	3,485,300	$46M	new	+0.05 pp	new
CECelanese Corporation	0.05%	788,100	$52M	trimmed−5%	−0.01 pp	14 q
CERSCerus Corp	0.05%	7,800,000	$48M	held	—	7 q
unresolvedGlaxosmithkline PLC	0.05%	1,109,085	$48M	trimmed−1%	0.00 pp	14 q
PEPPepsiCo, Inc.	0.05%	450,000	$49M	held	—	14 q
CRMSalesforce, Inc.	0.05%	657,110	$47M	added+97%	+0.02 pp	14 q
TERTeradyne, Inc.	0.05%	2,480,775	$54M	added+6%	0.00 pp	5 q
AXPAmerican Express Company	0.04%	574,700	$37M	held	—	14 q
CHRWC.H. Robinson Worldwide, Inc.	0.04%	606,479	$43M	trimmed−51%	−0.06 pp	14 q
CHTRCharter Comm Inc Del CL A New	0.04%	162,900	$44M	trimmed−4%	0.00 pp	2 q
EXPDExpeditors International of Washington, Inc.	0.04%	694,400	$36M	trimmed−20%	−0.01 pp	14 q
HTZGQHertz Global Holdings Inc	0.04%	1,044,980	$42M	trimmed−79%	−0.02 pp	2 q
KEXKirby Corporation	0.04%	623,845	$39M	trimmed−13%	−0.01 pp	14 q
NOVNOV Inc.	0.04%	1,215,795	$45M	trimmed−7%	−0.01 pp	14 q
NWLNewell Brands Inc.	0.04%	706,760	$37M	trimmed−9%	0.00 pp	11 q
SAVEQSpirit Airlines, Inc.	0.04%	933,624	$40M	trimmed−3%	−0.01 pp	14 q
TXTTextron, Inc.	0.04%	1,035,000	$41M	added+57%	+0.01 pp	2 q
TRVThe Travelers Companies, Inc.	0.04%	331,400	$38M	added+40%	+0.01 pp	2 q
GRMNGarmin Ltd	0.04%	744,500	$36M	trimmed−13%	0.00 pp	5 q
unresolvedDu Pont E I De Nemours & Co	0.03%	476,500	$32M	held	—	14 q
LABStandard BioTools Inc.	0.03%	4,265,332	$34M	added0%	−0.01 pp	14 q
unresolvedGuidance Software Inc	0.03%	4,582,115	$27M	held	—	14 q
HANHawaiian Holdings Inc	0.03%	622,500	$30M	trimmed−2%	0.00 pp	10 q
HUBSHubspot, Inc.	0.03%	516,000	$30M	added0%	+0.01 pp	3 q
IMGNImmunogen Inc	0.03%	9,619,122	$26M	trimmed−5%	0.00 pp	14 q
MARMarriott International Class A	0.03%	387,000	$26M	added+26%	+0.01 pp	5 q
MNTAMomenta Pharmaceuticals, Inc.	0.03%	2,739,900	$32M	added0%	0.00 pp	14 q
NNBRNN Inc	0.03%	1,375,600	$25M	added+26%	+0.01 pp	11 q
NSCNorfolk Southern Corp.	0.03%	289,938	$28M	trimmed−30%	−0.01 pp	14 q
RUBIMagnite, Inc.	0.03%	3,416,926	$28M	trimmed−22%	−0.03 pp	6 q
SYKStryker Corporation	0.03%	228,400	$27M	trimmed−23%	−0.01 pp	14 q
SZYMTerravia Holdings Inc	0.03%	11,595,609	$32M	trimmed−1%	0.00 pp	2 q
TSNTyson Foods, Inc.	0.03%	461,100	$34M	trimmed−65%	−0.06 pp	8 q
AZOAutoZone, Inc.	0.02%	23,775	$18M	trimmed−1%	0.00 pp	3 q
CARAvis Budget Group, Inc.	0.02%	510,100	$17M	added+2%	0.00 pp	6 q
unresolvedBarracuda Networks Inc	0.02%	825,000	$21M	trimmed−8%	+0.01 pp	5 q
BOOTBoot Barn Holdings, Inc.	0.02%	1,771,489	$20M	held	—	7 q
CIRCircor International Inc	0.02%	369,200	$22M	trimmed−1%	0.00 pp	14 q
DBDDiebold Nixdorf, Incorporated	0.02%	770,000	$19M	held	—	14 q
unresolvedHilton Worldwide Hldgs Inc	0.02%	1,040,300	$24M	trimmed−1%	−0.01 pp	6 q
MCYMercury General Corp.	0.02%	281,600	$15M	held	—	14 q
OSISOSI Systems Inc	0.02%	327,000	$21M	added+3%	0.00 pp	3 q
OSUROraSure Technologies Inc	0.02%	2,015,900	$16M	added+1%	+0.01 pp	14 q
PFNXPfenex Inc.	0.02%	2,405,000	$22M	trimmed−1%	0.00 pp	6 q
PEGPublic Service Enterprise Group Incorporated	0.02%	372,379	$16M	held	—	14 q
RSGRepublic Services Inc.	0.02%	392,535	$20M	trimmed−0%	0.00 pp	14 q
TUESTuesday Morning Corp	0.02%	3,917,885	$23M	trimmed−11%	−0.01 pp	14 q
unresolvedDhx Media Cl B	0.01%	1,365,400	$7M	new	+0.01 pp	new
ALGTAllegiant Travel Company	0.01%	41,500	$5M	trimmed−4%	0.00 pp	14 q
ABUSArbutus Biopharma Corporation	0.01%	3,869,800	$13M	added+1%	0.00 pp	5 q
unresolvedBlue Buffalo Pet Prods Inc	0.01%	627,500	$15M	trimmed−22%	−0.01 pp	5 q
CNACNA Financial Corporation	0.01%	418,300	$14M	new	+0.01 pp	new
CBTCabot Corporation	0.01%	125,000	$7M	trimmed−17%	0.00 pp	14 q
CIENCiena Corporation	0.01%	519,170	$11M	trimmed−0%	0.00 pp	14 q
CRAYCray, Inc.	0.01%	341,150	$8M	trimmed−71%	−0.03 pp	9 q
CCKCrown Holdings Inc.	0.01%	102,000	$6M	trimmed−2%	0.00 pp	14 q
96669EURDmrc LLC	0.01%	304,000	$12M	held	—	5 q
unresolvedDyax (Non-tradable) Cont Val R	0.01%	10,482,860	$12M	held	—	3 q
unresolvedEsterline Technologies Corp	0.01%	113,331	$9M	trimmed−8%	0.00 pp	12 q
FFIVF5, Inc.	0.01%	120,275	$15M	trimmed−74%	−0.05 pp	14 q
unresolvedFlex Pharma Inc	0.01%	857,359	$10M	added+8%	0.00 pp	7 q
GEFGreif, Inc.	0.01%	190,400	$9M	held	—	14 q
HRIHerc Holdings Inc.	0.01%	320,092	$11M	new	+0.01 pp	new
IMAXImax Corp	0.01%	415,300	$12M	added0%	0.00 pp	3 q
IRBTiRobot Corporation	0.01%	120,000	$5M	new	+0.01 pp	new
KELKellanova	0.01%	70,000	$5M	held	—	14 q
MGMMgm Resorts International	0.01%	550,000	$14M	new	+0.01 pp	new
MBIIMarrone Bio Innovations, Inc.	0.01%	2,921,000	$5M	trimmed−5%	+0.01 pp	13 q
MAMastercard Incorporated	0.01%	54,100	$6M	trimmed−91%	−0.05 pp	14 q
MATXMatsons, Inc.	0.01%	199,761	$8M	trimmed−13%	0.00 pp	9 q
unresolvedMindbody Cl A	0.01%	581,877	$11M	new	+0.01 pp	new
unresolvedNci Building Systems	0.01%	660,000	$10M	added+8%	0.00 pp	12 q
unresolvedOncomed Pharmaceuticals Inc	0.01%	1,302,700	$15M	added×6.0	+0.01 pp	13 q
JCPJ.C. Penney Company, Inc.	0.01%	849,800	$8M	held	—	5 q
PENPenumbra, Inc.	0.01%	79,100	$6M	trimmed−7%	0.00 pp	5 q
PBR.APetroleo Brasileiro S.A.-Petrobras	0.01%	681,600	$6M	trimmed−2%	+0.01 pp	14 q
RRCRange Resources Corp	0.01%	262,000	$10M	added+87%	0.00 pp	14 q
MATVMativ Holdings, Inc.	0.01%	180,000	$7M	trimmed−34%	0.00 pp	14 q
unresolvedTaser International Inc	0.01%	235,000	$7M	added+3%	0.00 pp	2 q
WHRWhirlpool Corp.	0.01%	79,100	$13M	trimmed−9%	−0.01 pp	14 q
unresolvedAxovant Sciences Ltd	0.01%	740,802	$10M	held	—	6 q
CBChubb Limited	0.01%	60,411	$8M	trimmed−54%	−0.01 pp	3 q
CSTMConstellium SE Class A	0.01%	1,599,200	$12M	trimmed−17%	0.00 pp	8 q
unresolvedMobileye Nv	0.01%	139,031	$6M	trimmed−21%	0.00 pp	9 q
LYBLyondellBasell Industries N.V. Class A	0.01%	84,100	$7M	trimmed−0%	0.00 pp	12 q
ATENA10 Networks Inc	0.00%	35,000	$374,000	held	—	8 q
AANAaron's Inc	0.00%	74,000	$2M	added+64%	0.00 pp	5 q
ADVMAdverum Biotechnologies, Inc.	0.00%	426,300	$2M	added+1%	0.00 pp	2 q
ACDVFAir Canada Inc Vtg & Var	0.00%	150,100	$1M	new	0.00 pp	new
ANETArista Networks	0.00%	8,300	$706,000	trimmed−89%	−0.01 pp	10 q
unresolvedBrocade Communications Sys I	0.00%	334,747	$3M	trimmed−34%	0.00 pp	14 q
unresolvedCabelas Inc. Cl A	0.00%	23,000	$1M	held	—	5 q
CRICarter's Inc.	0.00%	48,270	$4M	added+8%	−0.01 pp	13 q
CERNCerner Corp	0.00%	20,000	$1M	held	—	14 q
unresolvedChicago Bridge & Iron Co N V	0.00%	120,000	$3M	held	—	14 q
CMAComerica Incorporated	0.00%	53,500	$3M	held	—	14 q
VLRSControladora Vuela Compania De Aviacion, S.a.b. De C.v.	0.00%	122,000	$2M	trimmed−33%	0.00 pp	12 q
CVACovanta Holding Corporation	0.00%	170,000	$3M	held	—	4 q
DXTRDextera Surgical Inc.	0.00%	601,350	$1M	held	—	2 q
FRANFrancesca's Holdings Corporation	0.00%	125,300	$2M	held	—	6 q
GEF.BGreif, Inc. Class B	0.00%	37,000	$2M	held	—	14 q
MCDMcDonald's Corporation	0.00%	10,000	$1M	trimmed−95%	−0.03 pp	3 q
unresolvedNimble Storage Inc	0.00%	362,500	$3M	added+20%	0.00 pp	12 q
OLLIOllie's Bargain Outlet Holdings, Inc.	0.00%	141,600	$4M	trimmed−18%	0.00 pp	5 q
PBRPetroleo Brasileiro S.a.-petrobras	0.00%	421,100	$4M	trimmed−2%	0.00 pp	14 q
POSTPost Holdings, Inc.	0.00%	12,000	$926,000	held	—	9 q
unresolvedRex Energy Corporation	0.00%	3,645,000	$2M	held	—	14 q
TDGTransDigm Group Incorporated	0.00%	15,700	$5M	held	—	12 q
TWLOTwilio Inc.	0.00%	3,900	$251,000	trimmed−95%	0.00 pp	2 q
WDAYWorkday, Inc. Class A	0.00%	10,000	$917,000	held	—	14 q
unresolvedEnsco PLC	0.00%	143,340	$1M	held	—	14 q
unresolvedFranks Intl N V	0.00%	180,800	$2M	trimmed−1%	0.00 pp	13 q
unresolvedE M C Corp Mass	—	−32,945,305	—	exited	−0.95 pp	—
unresolvedDreamWorks Animation SKG Inc.	—	−11,374,000	—	exited	−0.49 pp	—
unresolvedFEI Company	—	−478,462	—	exited	−0.05 pp	—
unresolvedAxcelis Technologies Inc	—	−13,874,200	—	exited	−0.04 pp	—
unresolvedTyco Intl PLC	—	−500,000	—	exited	−0.02 pp	—
CCThe Chemours Company	—	−55,000	—	exited	0.00 pp	—
SXTSensient Technology Corporation	—	−30,000	—	exited	0.00 pp	—
SMASmart Technologies Inc - A	—	−396,130	—	exited	0.00 pp	—
TWTRTwitter, Inc.	—	−214,480	—	exited	0.00 pp	—
unresolvedXenoport Inc	—	−74,000	—	exited	0.00 pp	—

Source

Form: 13F-HR
Reading: 12 defects · 41 unresolved
Accession: 0001104659-16-156575
Options: none in this filing
Notes: none in this filing
SEC cross-check: SEC data set not published yet

A row was set aside — invalid CUSIP 004012250
A row was set aside — invalid CUSIP 00BRF12P5
A row was set aside — invalid CUSIP 007110388
A row was set aside — invalid CUSIP 00B058TZ6
A row was set aside — invalid CUSIP 005727973
A security outside the official 13F list — CUSIP 004012250 not on the Official 13(f) List for 2016-09-30
A security outside the official 13F list — CUSIP 005727973 not on the Official 13(f) List for 2016-09-30
A security outside the official 13F list — CUSIP 007110388 not on the Official 13(f) List for 2016-09-30
A security outside the official 13F list — CUSIP 008911877 not on the Official 13(f) List for 2016-09-30
A security outside the official 13F list — CUSIP 00B058TZ6 not on the Official 13(f) List for 2016-09-30
A security outside the official 13F list — CUSIP 00BRF12P5 not on the Official 13(f) List for 2016-09-30
A security outside the official 13F list — CUSIP 267CVR991 not on the Official 13(f) List for 2016-09-30

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