Tortoise Investment Management, LLC Q3 2016 Filing

Filed November 9, 2016

Portfolio Value

$294.9M

Holdings

447

Report Date

Q3 2016

Filing Type

13F-HR

All Holdings (447 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	IVVISHARES TR	215,699	$46.9M	15.91%
2	—NUVEEN BUILD AMER BD OPPTNY	929,388	$21.2M	7.19%
3	NANNUVEEN NY DIVID ADVNTG MUN F	869,979	$13.3M	4.52%
4	XJQCXNUVEEN CR STRATEGIES INCM FD	1,449,941	$12.3M	4.17%
5	IEMGISHARES INC	260,287	$11.9M	4.03%
6	SPYSPDR S&P 500 ETF TR	74,142	$10.9M	3.69%	Put
7	VCSHVANGUARD SCOTTSDALE FDS	125,141	$10.1M	3.42%
8	—ABERDEEN ASIA PACIFIC INCOM	1,946,415	$10.0M	3.38%
9	IWBISHARES TR	79,215	$9.5M	3.24%
10	SHYDVANECK VECTORS ETF TR	313,438	$7.9M	2.68%
11	ITOTISHARES TR	131,753	$6.5M	2.21%
12	HYGISHARES TR	62,833	$5.5M	1.86%
13	IXUSISHARES TR	102,103	$5.3M	1.81%
14	SJNKSPDR SER TR	191,201	$5.3M	1.80%
15	—NUVEEN MD PREM INCOME MUN FD	341,036	$4.7M	1.60%
16	AQLTISHARES TR	84,845	$4.7M	1.59%
17	IVEISHARES TR	49,010	$4.7M	1.58%
18	VWOVANGUARD INTL EQUITY INDEX F	110,962	$4.2M	1.42%
19	DONSPDR DOW JONES INDL AVRG ETF	22,799	$4.2M	1.41%
20	IJRISHARES TR	33,134	$4.1M	1.39%
21	IJSISHARES TR	32,956	$4.1M	1.39%
22	SCZISHARES TR	70,653	$3.7M	1.26%
23	SPSBSPDR SERIES TRUST	102,149	$3.1M	1.07%
24	NZFNUVEEN ENHANCED MUN CREDIT O	197,182	$3.1M	1.05%
25	EFAISHARES TR	50,384	$3.0M	1.01%
26	VSSVANGUARD INTL EQUITY INDEX F	28,757	$2.9M	0.97%
27	EEMVISHARES	50,681	$2.7M	0.93%
28	—POWERSHARES ETF TR II	86,123	$2.7M	0.92%
29	BRK/BBERKSHIRE HATHAWAY INC DEL	17,980	$2.6M	0.88%
30	VEAVANGUARD TAX MANAGED INTL FD	52,026	$1.9M	0.66%
31	VTIVANGUARD INDEX FDS	17,126	$1.9M	0.65%
32	VTVVANGUARD INDEX FDS	21,368	$1.9M	0.63%
33	—NUVEEN SELECT TAX FREE INCM	112,371	$1.7M	0.59%
34	SRLNSSGA ACTIVE ETF TR	31,559	$1.5M	0.51%
35	VEUVANGUARD INTL EQUITY INDEX F	30,635	$1.4M	0.47%
36	—POWERSHARES ETF TR II	53,299	$1.3M	0.45%
37	—POWERSHARES ETF TR II	49,900	$1.3M	0.44%
38	NVGNUVEEN ENHANCED AMT FREE MUN	78,053	$1.3M	0.43%
39	DLSWISDOMTREE TR	20,084	$1.2M	0.42%
40	EEMISHARES TR	32,542	$1.2M	0.41%
41	AAPLAPPLE INC	10,628	$1.2M	0.41%
42	NXPNUVEEN SELECT TAX FREE INCM	77,064	$1.2M	0.40%
43	KMIKINDER MORGAN INC DEL	48,806	$1.1M	0.38%
44	—NUVEEN SELECT TAX FREE INCM	77,544	$1.1M	0.38%
45	SCHXSCHWAB STRATEGIC TR	21,788	$1.1M	0.38%
46	IWMISHARES TR	8,950	$1.1M	0.38%
47	XNXNXNUVEEN NY SELECT TAX FREE PR	74,731	$1.1M	0.37%
48	LQDISHARES TR	8,615	$1.1M	0.36%
49	NRKNUVEEN NY AMT FREE MUN INCOM	73,544	$1.0M	0.35%
50	IWDISHARES TR	9,752	$1.0M	0.35%
51	WOODISHARES TR	19,976	$1.0M	0.34%
52	TFISPDR SER TR	19,900	$997K	0.34%
53	—POWERSHARES ETF TRUST II	42,421	$985K	0.33%
54	LBEURL BRANDS INC	13,800	$977K	0.33%
55	UNHUNITEDHEALTH GROUP INC	6,365	$891K	0.30%
56	JLSNUVEEN MTG OPPORTUNITY TERM	33,230	$804K	0.27%
57	NBBNUVEEN BUILD AMER BD FD	33,047	$750K	0.25%
58	DGSWISDOMTREE TR	15,777	$659K	0.22%
59	BRK-BBERKSHIRE HATHAWAY INC DEL	3	$649K	0.22%
60	HYSPIMCO ETF TR	6,432	$640K	0.22%
61	CLCOLGATE PALMOLIVE CO	8,590	$637K	0.22%
62	VXUSVANGUARD STAR FD	13,463	$636K	0.22%
63	VVVANGUARD INDEX FDS	6,263	$621K	0.21%
64	VTVANGUARD INTL EQUITY INDEX F	9,810	$597K	0.20%
65	EWXSPDR INDEX SHS FDS	13,276	$573K	0.19%
66	NXJNUVEEN NJ DIV ADVANTAGE MUN	36,382	$540K	0.18%
67	—VANECK VECTORS ETF TR	16,270	$525K	0.18%
68	IJHISHARES TR	3,379	$523K	0.18%
69	JNJJOHNSON & JOHNSON	4,291	$507K	0.17%
70	PEPPEPSICO INC	4,619	$502K	0.17%
71	IBMINTERNATIONAL BUSINESS MACHS	3,100	$492K	0.17%
72	OEFISHARES TR	4,975	$477K	0.16%
73	MSFTMICROSOFT CORP	8,053	$464K	0.16%
74	MUNIPIMCO ETF TR	8,125	$446K	0.15%
75	WYWEYERHAEUSER CO	13,300	$425K	0.14%
76	VCITVANGUARD SCOTTSDALE FDS	4,710	$422K	0.14%
77	SCHESCHWAB STRATEGIC TR	18,029	$416K	0.14%
78	SCHFSCHWAB STRATEGIC TR	13,745	$396K	0.13%
79	VFLDELAWARE INVT NAT MUNI INC F	27,405	$386K	0.13%
80	SBIWESTERN ASSET INTM MUNI FD I	35,935	$379K	0.13%
81	BTTBLACKROCK MUN 2030 TAR TERM	14,220	$345K	0.12%
82	PGPROCTER AND GAMBLE CO	3,839	$345K	0.12%
83	—NUVEEN ENERGY MLP TOTL RTRNF	24,882	$326K	0.11%
84	HDHOME DEPOT INC	2,534	$326K	0.11%
85	VIGVANGUARD SPECIALIZED PORTFOL	3,879	$326K	0.11%
86	WMTWAL-MART STORES INC	4,157	$300K	0.10%
87	XOMEXXON MOBIL CORP	3,370	$294K	0.10%
88	KOCOCA COLA CO	6,889	$292K	0.10%
89	UNPUNION PAC CORP	2,910	$284K	0.10%
90	XNCMXNUVEEN CAL AMT-FREE MUN INC	17,067	$284K	0.10%
91	ACWXISHARES TR	6,045	$251K	0.09%
92	IWFISHARES TR	2,359	$246K	0.08%
93	SCHCSCHWAB STRATEGIC TR	7,122	$220K	0.07%
94	TAT&T INC	5,142	$209K	0.07%
95	DISDISNEY WALT CO	2,222	$206K	0.07%
96	GEGENERAL ELECTRIC CO	6,867	$203K	0.07%
97	IWCISHARES TR	2,572	$201K	0.07%
98	VOOVANGUARD INDEX FDS	1,013	$201K	0.07%
99	VNQVANGUARD INDEX FDS	2,312	$201K	0.07%
100	—POWERSHARES QQQ TRUST	1,661	$197K	0.07%

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