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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
1 VANGUARD SCOTTSDALE FDS 118,341 9,424 7.33%
2 RYDEX ETF TRUST 69,921 8,516 6.62%
3 ISHARES TR 63,840 7,529 5.86%
4 ISHARES TR 107,737 6,555 5.10%
5 SPDR SER TR 185,127 5,352 4.16%
6 VANGUARD INDEX FDS 25,354 4,777 3.72%
7 SELECT SECTOR SPDR TR 66,692 4,560 3.55%
8 RYDEX ETF TRUST 55,622 4,453 3.46%
9 SELECT SECTOR SPDR TR 107,500 4,445 3.46%
10 VANGUARD WORLD FD 41,737 4,361 3.39%
11 SELECT SECTOR SPDR TR 88,697 4,188 3.26%
12 ISHARES RUSSELL 1000 ETF 36,271 4,158 3.23%
13 POWERSHARES ETF TRUST 61,377 4,083 3.18%
14 VANGUARD INDEX FDS 49,473 4,007 3.12%
15 SELECT SECTOR SPDR TR 80,488 3,903 3.04%
16 ISHARES TR 32,172 3,590 2.79%
17 NUVEEN PREFERRED SECURITIES 240,613 2,141 1.67%
18 CVS HEALTH CORP 21,724 2,092 1.63%
19 EATON VANCE LTD DURATION INC 130,467 1,842 1.43%
20 LAM RESEARCH CORP 18,439 1,463 1.14%
21 QUALCOMM INC 19,601 1,457 1.13%
22 CHEVRON CORP NEW 12,797 1,436 1.12%
23 FEDEX CORP 8,250 1,433 1.11%
24 CAPITAL ONE FINL CORP 16,943 1,399 1.09%
25 WHOLE FOODS MKT INC 25,383 1,280 1.00%
26 CELGENE CORP 10,956 1,226 0.95%
27 PULTE GROUP INC 52,352 1,123 0.87%
28 VENTAS INC 15,666 1,123 0.87%
29 CITRIX SYS INC 17,156 1,095 0.85%
30 TYSON FOODS INC 26,560 1,065 0.83%
31 CADENCE DESIGN SYSTEM INC 55,008 1,044 0.81%
32 APPLE INC 8,820 974 0.76%
33 ALLERGAN PLC 3,700 952 0.74%
34 A O SMITH 16,710 943 0.73%
35 RAYMOND JAMES FINANC 15,803 905 0.70%
36 EXPRESS SCRIPTS HLDG CO 10,622 899 0.70%
37 VERIZON COMMUNICATIONS INC 18,807 880 0.68%
38 FASTENAL CO 18,047 858 0.67%
39 AMT 8,325 823 0.64%
40 AMERICAN CAMPUS CMNTYS INC 19,791 819 0.64%
41 BOEING CO 6,182 804 0.63%
42 AES CORP 56,989 785 0.61%
43 AFFILIATED MANAGERS GROUP 3,679 781 0.61%
44 SCHLUMBERGER LTD 8,558 731 0.57%
45 JOHNSON & JOHNSON 6,916 723 0.56%
46 KINDER MORGAN INC DEL 15,779 668 0.52%
47 SPDR SERIES TRUST 12,015 665 0.52%
48 INTL PAPER CO 12,293 657 0.51%
49 Align 11,421 639 0.50%
50 METLIFE INC 11,713 634 0.49%
Page 1 of 2
Restatement filing (0001653168-15-000007) filed in 2015.12.04
#
Name
Shares
Value ($)
%
Options
Notes
1 A O SMITH 16,710 943 0.73%
2 ACE LTD 3,335 383 0.30%
3 AES CORP 56,989 785 0.61%
4 AETNA INC NEW 2,828 251 0.20%
5 AFFILIATED MANAGERS GROUP 3,679 781 0.61%
6 ALLERGAN PLC 3,700 952 0.74%
7 AMERICAN CAMPUS CMNTYS INC 19,791 819 0.64%
8 AMT 8,325 823 0.64%
9 APPLE INC 8,820 974 0.76%
10 APPLIED MATLS INC 12,736 317 0.25%
11 Align 11,421 639 0.50%
12 BOEING CO 6,182 804 0.63%
13 CABELAS INC 6,697 353 0.27%
14 CADENCE DESIGN SYSTEM INC 55,008 1,044 0.81%
15 CAPITAL ONE FINL CORP 16,943 1,399 1.09%
16 CELGENE CORP 10,956 1,226 0.95%
17 CHEVRON CORP NEW 12,797 1,436 1.12%
18 CITRIX SYS INC 17,156 1,095 0.85%
19 CVS HEALTH CORP 21,724 2,092 1.63%
20 EATON VANCE LTD DURATION INC 130,467 1,842 1.43%
21 EATON VANCE SHORT COM 10,910 154 0.12%
22 ENTERPRISE PRODS PARTNERS L 5,740 207 0.16%
23 EXPRESS SCRIPTS HLDG CO 10,622 899 0.70%
24 EXXON MOBIL CORP 2,791 258 0.20%
25 FASTENAL CO 18,047 858 0.67%
26 FEDEX CORP 8,250 1,433 1.11%
27 FLOWERS FOODS INC 28,750 552 0.43%
28 GOLDMAN SACHS GROUP INC 1,048 203 0.16%
29 HORNBECK OFFSHORE SVCS IN 9,371 234 0.18%
30 ILLINOIS TOOL WKS INC 2,338 221 0.17%
31 INFORMATICA CORP 16,170 617 0.48%
32 INTEL CORP 14,664 532 0.41%
33 INTL PAPER CO 12,293 657 0.51%
34 ISHARES RUSSELL 1000 ETF 36,271 4,158 3.23%
35 ISHARES TR 107,737 6,555 5.10%
36 ISHARES TR 2,148 236 0.18%
37 ISHARES TR 63,840 7,529 5.86%
38 ISHARES TR 32,172 3,590 2.79%
39 JOHNSON & JOHNSON 6,916 723 0.56%
40 JPMORGAN CHASE & CO 4,284 268 0.21%
41 KELLOGG CO 3,177 208 0.16%
42 KINDER MORGAN INC DEL 15,779 668 0.52%
43 LAM RESEARCH CORP 18,439 1,463 1.14%
44 METLIFE INC 11,713 634 0.49%
45 MICRON TECHNOLOGY INC 7,764 272 0.21%
46 NCR CORP NEW 18,358 535 0.42%
47 NOBLE CORP PLC 14,619 242 0.19%
48 NORFOLK SOUTHERN CORP 1,879 206 0.16%
49 NUVEEN CR STRATEGIES INCOME FD COM SHS 18,700 164 0.13%
50 NUVEEN PREFERRED SECURITIES 240,613 2,141 1.67%
Page 1 of 2