Institution Information
Reportee Signature Date Report period Total Entries Total AUM($)
DOW CHEMICAL CO /DE/ 11-08-2019 09-30-2019 17 448,298,000
Institutional Holdings
Issuer Class Position Value Shares Portfolio Percentage (%) Previous Percentage (%) Shares Delta Shares Delta(%) Date Reported
ISHARES TR MIN VOL USA ETF Liquidated $0 0 38.50 35.76 0 0.00 09-30-2019
INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 2 $134,377,000 2,320,850 29.97 38.97 -2,252,983 -49.26 09-30-2019
ISHARES TR MSCI MIN VOL ETF 3 $129,759,000 2,024,319 28.94 2,024,319 +Inf 09-30-2019
AGROFRESH SOLUTIONS COM 4 $55,233,000 21,001,151 12.32 4.91 0 0.00 09-30-2019
FORTRESS TRANS INFRST INVS L COM REP LTD LIAB 5 $28,056,000 1,851,907 6.26 4.33 0 0.00 09-30-2019
SELECT SECTOR SPDR TR SBI INT-UTILS 6 $25,751,000 397,764 5.74 5.18 -163,302 -29.11 09-30-2019
SELECT SECTOR SPDR TR SBI CONS STPLS 7 $15,671,000 255,151 3.50 0.85 161,039 171.11 09-30-2019
LYFT INC CL A COM 8 $11,635,000 284,903 2.60 284,903 +Inf 09-30-2019
SELECT SECTOR SPDR TR TECHNOLOGY 9 $11,372,000 141,215 2.54 1.33 31,100 28.24 09-30-2019
PFENEX INC COM 10 $10,731,000 1,271,428 2.39 1.85 -500,000 -28.23 09-30-2019
SELECT SECTOR SPDR TR RL EST SEL SEC 11 $10,128,000 257,444 2.26 1.52 -9,091 -3.41 09-30-2019
SELECT SECTOR SPDR TR ENERGY Liquidated $3,990,000 67,395 0.89 0.13 67,395 +Inf 09-30-2019
SELECT SECTOR SPDR TR SBI MATERIALS 13 $3,291,000 56,545 0.73 0.46 5,464 10.70 09-30-2019
SELECT SECTOR SPDR TR SBI INT-FINL 14 $3,063,000 109,398 0.68 0.69 -52,055 -32.24 09-30-2019
SELECT SECTOR SPDR TR SBI INT-INDS 15 $3,049,000 39,278 0.68 0.47 452 1.16 09-30-2019
SELECT SECTOR SPDR TR SBI CONS DISCR 16 $1,524,000 12,627 0.34 0.47 -12,586 -49.92 09-30-2019
SELECT SECTOR SPDR TR SBI HEALTHCARE 17 $651,000 7,218 0.15 0.46 -25,032 -77.62 09-30-2019
ANTERO RES CORP COM Liquidated $0 0 0.02 11,580 +Inf 06-30-2019
TETRAPHASE PHARMACEUTICALS I COM Liquidated $0 0 0.00 0.01 0 0.00 09-30-2019
AGROFRESH SOLUTIONS WARRANTS 20 $17,000 3,000,000 0.00 0.01 0 0.00 09-30-2019
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