Dark
Light
System
Institutional Investment Manager
Ken Stern & Associates, Inc.
Ken Stern & Associates, Inc. (CIK: 0001653168) incorporated in California, located at 3655 Nobel Drive, San Diego, CA. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q4)
Original 13F HR (0001653168-15-000001) filed in 2015.09.28
#
Name
Shares
Value ($)
%
Options
Notes
1 SELECT SECTOR SPDR TR 66,692 45,604,429 26.85%
2 VANGUARD SCOTTSDALE FDS 118,341 9,423,517 5.55%
3 RYDEX ETF TRUST 69,921 8,516,440 5.01%
4 ISHARES TR 63,840 7,529,276 4.43%
5 ISHARES TR 107,737 6,554,701 3.86%
6 SPDR SER TR 185,127 5,352,035 3.15%
7 VANGUARD INDEX FDS 25,354 4,776,694 2.81%
8 RYDEX ETF TRUST 55,622 4,452,547 2.62%
9 SELECT SECTOR SPDR TR 107,500 4,445,106 2.62%
10 VANGUARD WORLD FD 41,737 4,360,682 2.57%
11 SELECT SECTOR SPDR TR 88,697 4,188,272 2.47%
12 ISHARES RUSSELL 1000 ETF 36,271 4,157,745 2.45%
13 POWERSHARES ETF TRUST 61,377 4,083,426 2.40%
14 VANGUARD INDEX FDS 49,473 4,007,282 2.36%
15 SELECT SECTOR SPDR TR 80,488 3,902,863 2.30%
16 ISHARES TR 32,172 3,590,395 2.11%
17 NUVEEN PREFERRED SECURITIES 240,613 2,141,456 1.26%
18 CVS HEALTH CORP 21,724 2,092,238 1.23%
19 EATON VANCE LTD DURATION INC 130,467 1,842,191 1.08%
20 LAM RESEARCH CORP 18,439 1,462,950 0.86%
21 QUALCOMM INC 19,601 1,456,943 0.86%
22 CHEVRON CORP NEW 12,797 1,435,529 0.85%
23 FEDEX CORP 8,250 1,432,712 0.84%
24 CAPITAL ONE FINL CORP 16,943 1,398,645 0.82%
25 WHOLE FOODS MKT INC 25,383 1,279,811 0.75%
26 CELGENE CORP 10,956 1,225,538 0.72%
27 PULTE GROUP INC 52,352 1,123,482 0.66%
28 VENTAS INC 15,666 1,123,252 0.66%
29 CITRIX SYS INC 17,156 1,094,533 0.64%
30 TYSON FOODS INC 26,560 1,064,790 0.63%
31 CADENCE DESIGN SYSTEM INC 55,008 1,043,502 0.61%
32 APPLE INC 8,820 973,602 0.57%
33 ALLERGAN PLC 3,700 952,417 0.56%
34 A O SMITH 16,710 942,611 0.55%
35 RAYMOND JAMES FINANC 15,803 905,327 0.53%
36 EXPRESS SCRIPTS HLDG CO 10,622 899,365 0.53%
37 VERIZON COMMUNICATIONS INC 18,807 879,791 0.52%
38 FASTENAL CO 18,047 858,315 0.51%
39 AMT 8,325 822,958 0.48%
40 AMERICAN CAMPUS CMNTYS INC 19,791 818,543 0.48%
41 BOEING CO 6,182 803,600 0.47%
42 AES CORP 56,989 784,739 0.46%
43 AFFILIATED MANAGERS GROUP 3,679 780,831 0.46%
44 SCHLUMBERGER LTD 8,558 730,975 0.43%
45 JOHNSON & JOHNSON 6,916 723,197 0.43%
46 KINDER MORGAN INC DEL 15,779 667,620 0.39%
47 SPDR SERIES TRUST 12,015 664,791 0.39%
48 INTL PAPER CO 12,293 658,654 0.39%
49 Align 11,421 638,548 0.38%
50 METLIFE INC 11,713 633,534 0.37%
Page 1 of 2
Restatement filing (0001653168-16-000016) filed in 2016.06.10
#
Name
Shares
Value ($)
%
Options
Notes
51 INFORMATICA CORP 16,170 617 0.48%
52 FLOWERS FOODS INC 28,750 552 0.43%
53 NCR CORP NEW 18,358 535 0.42%
54 INTEL CORP 14,664 532 0.41%
55 SPDR SERIES TRUST 11,336 438 0.34%
56 ACE LTD 3,335 383 0.30%
57 CABELAS INC 6,697 353 0.27%
58 APPLIED MATLS INC 12,736 317 0.25%
59 PROCTER AND GAMBLE CO 3,377 308 0.24%
60 MICRON TECHNOLOGY INC 7,764 272 0.21%
61 JPMORGAN CHASE & CO 4,284 268 0.21%
62 EXXON MOBIL CORP 2,791 258 0.20%
63 AETNA INC NEW 2,828 251 0.20%
64 VANGUARD INDEX FDS 2,973 247 0.19%
65 NOBLE CORP PLC 14,619 242 0.19%
66 ISHARES TR 2,148 236 0.18%
67 HORNBECK OFFSHORE SVCS IN 9,371 234 0.18%
68 UNITED PARCEL SERVICE INC 2,017 224 0.17%
69 RAYTHEON CO 2,063 223 0.17%
70 PPL CORP 6,122 222 0.17%
71 PEPSICO INC 2,335 221 0.17%
72 ILLINOIS TOOL WKS INC 2,338 221 0.17%
73 KELLOGG CO 3,177 208 0.16%
74 ENTERPRISE PRODS PARTNERS L 5,740 207 0.16%
75 NORFOLK SOUTHERN CORP 1,879 206 0.16%
76 GOLDMAN SACHS GROUP INC 1,048 203 0.16%
77 NUVEEN CR STRATEGIES INCOME FD COM SHS 18,700 164 0.13%
78 EATON VANCE SHORT COM 10,910 154 0.12%
Page 2 of 2
Restatement filing (0001653168-15-000007) filed in 2015.12.04
#
Name
Shares
Value ($)
%
Options
Notes
51 INFORMATICA CORP 16,170 617 0.48%
52 FLOWERS FOODS INC 28,750 552 0.43%
53 NCR CORP NEW 18,358 535 0.42%
54 INTEL CORP 14,664 532 0.41%
55 SPDR SERIES TRUST 11,336 438 0.34%
56 ACE LTD 3,335 383 0.30%
57 CABELAS INC 6,697 353 0.27%
58 APPLIED MATLS INC 12,736 317 0.25%
59 PROCTER AND GAMBLE CO 3,377 308 0.24%
60 MICRON TECHNOLOGY INC 7,764 272 0.21%
61 JPMORGAN CHASE & CO 4,284 268 0.21%
62 EXXON MOBIL CORP 2,791 258 0.20%
63 AETNA INC NEW 2,828 251 0.20%
64 VANGUARD INDEX FDS 2,973 247 0.19%
65 NOBLE CORP PLC 14,619 242 0.19%
66 ISHARES TR 2,148 236 0.18%
67 HORNBECK OFFSHORE SVCS IN 9,371 234 0.18%
68 UNITED PARCEL SERVICE INC 2,017 224 0.17%
69 RAYTHEON CO 2,063 223 0.17%
70 PPL CORP 6,122 222 0.17%
71 PEPSICO INC 2,335 221 0.17%
72 ILLINOIS TOOL WKS INC 2,338 221 0.17%
73 KELLOGG CO 3,177 208 0.16%
74 ENTERPRISE PRODS PARTNERS L 5,740 207 0.16%
75 NORFOLK SOUTHERN CORP 1,879 206 0.16%
76 GOLDMAN SACHS GROUP INC 1,048 203 0.16%
77 NUVEEN CR STRATEGIES INCOME FD COM SHS 18,700 164 0.13%
78 EATON VANCE SHORT COM 10,910 154 0.12%
Page 2 of 2