Newfound Research LLC

Q1 2021 13F Holdings Report, Stock Holdings

Signature - Title
Thomas B. Rosedale - Chief Executive Officer
Location
Wellesley Hills, MA
Holdings as of
31 Mar 2021
Value $
$43,199,000
Num holdings
127
Filing time
28 Apr 2021, 17:10:41 UTC
Form type
13F-HR
Description
All US holdings of this investor are reported in this report. Top holdings included SPY, MTUM, VFMO, FDMO, and JMOM.
Previous filing
Q4 2020 - 22 Jan 2021
Next filing
Q2 2021 - 19 Jul 2021
SEC
View on sec.gov
Sym Weight Trade Impact Company Class Share Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2021 Q1 compared to 2020 Q4 by default. Changes are calculated vs the previous SEC filing.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Thomas B. Rosedale Chief Executive Officer Wellesley, Massachusetts 26 Apr 2021

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.

Other Included Managers (4):

Num Name Location File Number
1 Thomas B. Rosedale Wellesley Hills, MA 028-17094
2 Corey M. Hoffstein Wellesley Hills, MA 028-17095
3 Sand Hill Cove Management LLC Wellesley Hills, MA 028-17097
4 Newfound Holdings, LLC Wellesley Hills, MA 028-17098