0001144204-11-062442.txt : 20111109 0001144204-11-062442.hdr.sgml : 20111109 20111109141642 ACCESSION NUMBER: 0001144204-11-062442 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111109 DATE AS OF CHANGE: 20111109 EFFECTIVENESS DATE: 20111109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Global X Management CO LLC CENTRAL INDEX KEY: 0001432354 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14399 FILM NUMBER: 111190964 BUSINESS ADDRESS: STREET 1: Dechert LLP STREET 2: 1775 I Street NW CITY: Washington STATE: DC ZIP: 20006 MAIL ADDRESS: STREET 1: Dechert LLP STREET 2: 1775 I Street NW CITY: Washington STATE: DC ZIP: 20006 13F-HR 1 v239851_13f.txt UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Global X Management Company LLC Address: 399 Park Avenue, 32nd Floor New York, NY 10022 Form 13F File Number: 028-14399 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Bruno del Ama Title: CEO Phone: (212) 644-6440 Signature, Place, and Date of Signing: /s/ Bruno del Ama New York, NY November 9, 2011 ----------------- ------------ ---------------- Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 306 Form 13F Information Table Value Total: $454,799 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE

FORM 13F INFORMATION TABLE Voting Authority Value Shares/ Sh/ Put/ Invstmt Other ---------------------- Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None ---------------------------- ---------------- --------- -------- ---------- --- ---- ------- --------- ----- ------- ---- A123 SYS INC COM 03739T108 3782 1099298 SH SOLE 1099298 0 0 ADECOAGRO S A COM L00849106 8 889 SH SOLE 889 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 2315 2292327 SH SOLE 2292327 0 0 AGCO CORP COM 001084102 100 2882 SH SOLE 2882 0 0 AGRIUM INC COM 008916108 1462 21964 SH SOLE 21964 0 0 ALCOA INC COM 013817101 331 34601 SH SOLE 34601 0 0 ALEXCO RESOURCE CORP COM 01535P106 4581 675721 SH SOLE 675721 0 0 ALLIED NEVADA GOLD CORP COM 019344100 193 5388 SH SOLE 5388 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 5 510 SH SOLE 510 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 226 505722 SH SOLE 505722 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 44 1988 SH SOLE 1988 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 323 11932 SH SOLE 11932 0 0 ANDERSONS INC COM 034164103 21 628 SH SOLE 628 0 0 ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 234 5660 SH SOLE 5660 0 0 ANNALY CAP MGMT INC COM 035710409 331 19890 SH SOLE 19890 0 0 ANWORTH MORTGAGE ASSET CP COM 037347101 340 49941 SH SOLE 49941 0 0 APACHE CORP COM 037411105 104 1300 SH SOLE 1300 0 0 APOLLO INVT CORP COM 03761U106 256 34019 SH SOLE 34019 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 111 4486 SH SOLE 4486 0 0 ARES CAP CORP COM 04010L103 299 21736 SH SOLE 21736 0 0 ASIAINFO-LINKAGE INC COM 04518A104 58 7904 SH SOLE 7904 0 0 ATLANTIC PWR CORP COM NEW 04878Q863 334 23614 SH SOLE 23614 0 0 AUGUSTA RES CORP COM NEW 050912203 385 125388 SH SOLE 125388 0 0 AURIZON MINES LTD COM 05155P106 66 12866 SH SOLE 12866 0 0 AUTOLIV INC COM 052800109 42 866 SH SOLE 866 0 0 AVALON RARE METALS INC COM 053470100 2279 862111 SH SOLE 862111 0 0 BAIDU INC SPON ADR REP A 056752108 301 2813 SH SOLE 2813 0 0 BANCO BRADESCO S A SP ADR PFD NEW 059460303 704 47586 SH SOLE 47586 0 0 BANCO DE CHILE SPONSORED ADR 059520106 176 2517 SH SOLE 2517 0 0 BANCO MACRO SA SPON ADR B 05961W105 168 8412 SH SOLE 8412 0 0 BANCO SANTANDER BRASIL S A ADS REP 1 UNIT 05967A107 286 39068 SH SOLE 39068 0 0 BANCO SANTANDER CHILE NEW SP ADR REP COM 05965X109 116 1575 SH SOLE 1575 0 0 BANCOLOMBIA S A SPON ADR PREF 05968L102 19608 352037 SH SOLE 352037 0 0 BBVA BANCO FRANCES S A SPONSORED ADR 07329M100 66 11963 SH SOLE 11963 0 0 BERRY PETE CO CL A 085789105 94 2670 SH SOLE 2670 0 0 BGC PARTNERS INC CL A 05541T101 290 48031 SH SOLE 48031 0 0 BLACKROCK KELSO CAPITAL CORP COM 092533108 277 37964 SH SOLE 37964 0 0 BORGWARNER INC COM 099724106 63 1040 SH SOLE 1040 0 0 BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 1530 87272 SH SOLE 87272 0 0 BRIGHAM EXPLORATION CO COM 109178103 113 4455 SH SOLE 4455 0 0 CALGON CARBON CORP COM 129603106 43 2946 SH SOLE 2946 0 0 CAMECO CORP COM 13321L108 34626 1885726 SH SOLE 1885726 0 0 CAMELOT INFORMATION SYS INC ADS RP ORD SHS 13322V105 20 7578 SH SOLE 7578 0 0 CAMPBELL SOUP CO COM 134429109 58 1794 SH SOLE 1794 0 0 CANADIAN NAT RES LTD COM 136385101 105 3578 SH SOLE 3578 0 0 CAPSTEAD MTG CORP COM NO PAR 14067E506 319 27645 SH SOLE 27645 0 0 CASELLA WASTE SYS INC CL A 147448104 27 5143 SH SOLE 5143 0 0 CENOVUS ENERGY INC COM 15135U109 116 3755.414 SH SOLE 3755.414 0 0 CENTRAIS ELETRICAS BRASILEIR SPON ADR PFD B 15234Q108 8 718 SH SOLE 718 0 0 CENTRAIS ELETRICAS BRASILEIR SPONSORED ADR 15234Q207 8 968 SH SOLE 968 0 0 CENTURY ALUM CO COM 156431108 167 18648 SH SOLE 18648 0 0 CF INDS HLDGS INC COM 125269100 1632 13229 SH SOLE 13229 0 0 CHIMERA INVT CORP COM 16934Q109 275 99216 SH SOLE 99216 0 0 CHINA BAK BATTERY INC COM 16936Y100 1024 1279763 SH SOLE 1279763 0 0 CHINA GREEN AGRICULTURE INC COM 16943W105 17 3490 SH SOLE 3490 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 26 738 SH SOLE 738 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 427 176674 SH SOLE 176674 0 0 CHINA MARINE FOOD GROUP LTD COM 16943R106 13 7137 SH SOLE 7137 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 126 2589 SH SOLE 2589 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 409 41325 SH SOLE 41325 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 50 524 SH SOLE 524 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 707 716475 SH SOLE 716475 0 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 30 486 SH SOLE 486 0 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 410 643409 SH SOLE 643409 0 0 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 18 901 SH SOLE 901 0 0 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 387 185371 SH SOLE 185371 0 0 CHUNGHWA TELECOM CO LTD SPON ADR NEW11 17133Q502 44 1340 SH SOLE 1340 0 0 CLEAN HARBORS INC COM 184496107 95 1854 SH SOLE 1854 0 0 CNH GLOBAL N V SHS NEW N20935206 26 976 SH SOLE 976 0 0 CNINSURE INC SPONSORED ADR 18976M103 14 2070 SH SOLE 2070 0 0 CNOOC LTD SPONSORED ADR 126132109 36 222 SH SOLE 222 0 0 CNOOC LTD SPONSORED ADR 126132109 486 291215 SH SOLE 291215 0 0 COEUR D ALENE MINES CORP IDA COM NEW 192108504 14842 692268 SH SOLE 692268 0 0 COMMONWEALTH REIT COM SH BEN INT 203233101 274 14442 SH SOLE 14442 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 2026 65821 SH SOLE 65821 0 0 COMPANHIA DE BEBIDAS DAS AME SPONSORED ADR 20441W104 6 228 SH SOLE 228 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 1471 47979 SH SOLE 47979 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 498 10755 SH SOLE 10755 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 1086 73178 SH SOLE 73178 0 0 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 445 24427 SH SOLE 24427 0 0 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 9 1110 SH SOLE 1110 0 0 COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 55 1061 SH SOLE 1061 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 410 10867 SH SOLE 10867 0 0 CONAGRA FOODS INC COM 205887102 103 4236 SH SOLE 4236 0 0 CONCHO RES INC COM 20605P101 104 1465 SH SOLE 1465 0 0 CONOCOPHILLIPS COM 20825C104 126 1995 SH SOLE 1995 0 0 CONSOLIDATED COMM HLDGS INC COM 209034107 349 19316 SH SOLE 19316 0 0 CONTINENTAL RESOURCES INC COM 212015101 113 2335 SH SOLE 2335 0 0 CORN PRODS INTL INC COM 219023108 128 3274 SH SOLE 3274 0 0 CORPBANCA SPONSORED ADR 21987A209 49 2520 SH SOLE 2520 0 0 COSAN LTD SHS A G25343107 1067 112628 SH SOLE 112628 0 0 CPFL ENERGIA S A SPONSORED ADR 126153105 1085 48975 SH SOLE 48975 0 0 CREDICORP LTD COM G2519Y108 172 1868 SH SOLE 1868 0 0 CRESUD S A C I F Y A SPONSORED ADR 226406106 91 8390 SH SOLE 8390 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 245 7627 SH SOLE 7627 0 0 DARLING INTL INC COM 237266101 50 3990 SH SOLE 3990 0 0 DEERE & CO COM 244199105 107 1663 SH SOLE 1663 0 0 DENBURY RES INC COM NEW 247916208 96 8367 SH SOLE 8367 0 0 DENISON MINES CORP COM 248356107 6044 5653997 SH SOLE 5653997 0 0 DESARROLLADORA HOMEX S A DE SPONSORED ADR 25030W100 7 521 SH SOLE 521 0 0 DEVON ENERGY CORP NEW COM 25179M103 110 1979 SH SOLE 1979 0 0 DUOYAN GLOBAL WTR INC SPONSORED ADR 266043108 4 3967 SH SOLE 3967 0 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 18 3030 SH SOLE 3030 0 0 ECOPETROL S A SPONSORED ADS 279158109 19135 474944 SH SOLE 474944 0 0 ELDORADO GOLD CORP NEW COM 284902103 199 11568 SH SOLE 11568 0 0 EMBOTELLADORA ANDINA S A SPON ADR B 29081P303 32 1319 SH SOLE 1319 0 0 EMBRAER S A SP ADR REP 4 COM 29082A107 894 35221 SH SOLE 35221 0 0 EMPRESA DIST Y COMERCIAL NOR SPON ADR 29244A102 15 2466 SH SOLE 2466 0 0 EMPRESA NACIONAL DE ELCTRCID SPONSORED ADR 29244T101 264 6097 SH SOLE 6097 0 0 EMPRESAS ICA S A DE CV SPONS ADR NEW 292448206 15 3466 SH SOLE 3466 0 0 ENDEAVOUR SILVER CORP COM 29258Y103 8793 979193 SH SOLE 979193 0 0 ENER1 INC COM NEW 29267A203 252 1837468 SH SOLE 1837468 0 0 ENERGYSOLUTIONS INC COM 292756202 39 11153 SH SOLE 11153 0 0 ENERSIS S A SPONSORED ADR 29274F104 207 12226 SH SOLE 12226 0 0 ERICSSON L M TEL CO ADR B SEK 10 294821608 1901 199036 SH SOLE 199036 0 0 EXETER RES CORP COM 301835104 1015 277058 SH SOLE 277058 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 2707 676808 SH SOLE 676808 0 0 F M C CORP COM NEW 302491303 17794 257285 SH SOLE 257285 0 0 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 271 35806 SH SOLE 35806 0 0 FIFTH STREET FINANCE CORP COM 31678A103 281 30159 SH SOLE 30159 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 15777 1033839 SH SOLE 1033839 0 0 FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 4101 244266 SH SOLE 244266 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 21 318 SH SOLE 318 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 351 36309 SH SOLE 36309 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1742 57223 SH SOLE 57223 0 0 FRESH DEL MONTE PRODUCE INC ORD G36738105 33 1421 SH SOLE 1421 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 275 44942 SH SOLE 44942 0 0 GAFISA S A SPONS ADR 362607301 783 135741 SH SOLE 135741 0 0 GENERAL MLS INC COM 370334104 146 3786 SH SOLE 3786 0 0 GENERAL MTRS CO COM 37045V100 120 5951 SH SOLE 5951 0 0 GENERAL STEEL HOLDINGS INC COM 370853103 11 9338 SH SOLE 9338 0 0 GENTEX CORP COM 371901109 32 1340 SH SOLE 1340 0 0 GENUINE PARTS CO COM 372460105 76 1496 SH SOLE 1496 0 0 GERDAU S A SPONSORED ADR 373737105 25 3446 SH SOLE 3446 0 0 GETTY RLTY CORP NEW COM 374297109 212 14684 SH SOLE 14684 0 0 GIANT INTERACTIVE GROUP INC ADR 374511103 204 61292 SH SOLE 61292 0 0 GOL LINHAS AEREAS INTLG S A SP ADR REP PFD 38045R107 726 130569 SH SOLE 130569 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 211 13780 SH SOLE 13780 0 0 GOLD RESOURCE CORP COM 38068T105 66 3934 SH SOLE 3934 0 0 GOLDCORP INC NEW COM 380956409 135 2962 SH SOLE 2962 0 0 GOLDEN MINERALS CO COM 381119106 2458 330402 SH SOLE 330402 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 24 2342 SH SOLE 2342 0 0 GPO AEROPORTUARIO DEL PAC SA SPON ADR B 400506101 33 986 SH SOLE 986 0 0 GREAT BASIN GOLD LTD COM 390124105 63 37078 SH SOLE 37078 0 0 GREAT PANTHER SILVER LTD COM 39115V101 3655 1456282 SH SOLE 1456282 0 0 GRUPO AEROPORTUARIO DEL SURE SPON ADR SER B 40051E202 35 702 SH SOLE 702 0 0 GRUPO FINANCIERO GALICIA S A SP ADR 10 SH B 399909100 133 16061 SH SOLE 16061 0 0 GULF RESOURCES INC COM PAR $0.0005 40251W309 7 3171 SH SOLE 3171 0 0 HANWHA SOLARONE CO LTD SPONSORED ADR 41135V103 17 7020 SH SOLE 7020 0 0 HARBIN ELECTRIC INC COM 41145W109 52 2503 SH SOLE 2503 0 0 HARMONY GOLD MNG LTD SPONSORED ADR 413216300 202 17209 SH SOLE 17209 0 0 HATTERAS FINL CORP COM 41902R103 316 12554 SH SOLE 12554 0 0 HDFC BANK LTD ADR REPS 3 SHS 40415F101 36 1240 SH SOLE 1240 0 0 HECLA MNG CO COM 422704106 12349 2303963 SH SOLE 2303963 0 0 HEINZ H J CO COM 423074103 141 2798 SH SOLE 2798 0 0 HERSHEY CO COM 427866108 102 1714 SH SOLE 1714 0 0 HOME INNS & HOTELS MGMT INC SPON ADR 43713W107 2820 109433 SH SOLE 109433 0 0 HONDA MOTOR LTD AMERN SHS 438128308 244 8386 SH SOLE 8386 0 0 HORMEL FOODS CORP COM 440452100 38 1414 SH SOLE 1414 0 0 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 336 15807 SH SOLE 15807 0 0 HUDBAY MINERALS INC COM 443628102 1831 196371 SH SOLE 196371 0 0 ICICI BK LTD ADR 45104G104 14 408 SH SOLE 408 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 57 1110 SH SOLE 1110 0 0 INTERNATIONAL TOWER HILL MIN COM 46050R102 1025 201405 SH SOLE 201405 0 0 INTREPID POTASH INC COM 46121Y102 1517 60998 SH SOLE 60998 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 232 16384 SH SOLE 16384 0 0 INVESTORS REAL ESTATE TR SH BEN INT 461730103 280 38920 SH SOLE 38920 0 0 IRSA INVERSIONES Y REP S A GLOBL DEP RCPT 450047204 56 6453 SH SOLE 6453 0 0 ITAU UNIBANCO BANCO HLDG SA SPON ADR REP PFD 465562106 641 41316 SH SOLE 41316 0 0 IVANHOE MINES LTD COM 46579N103 1621 118327 SH SOLE 118327 0 0 JA SOLAR HOLDINGS LTD-ADR SPON ADR 466090107 29 16064 SH SOLE 16064 0 0 JINKOSOLAR HOLDING ADR SPONSORED ADR 47759T100 9 1845 SH SOLE 1845 0 0 JOHNSON CTLS INC COM 478366107 172 6506 SH SOLE 6506 0 0 KAISER ALUMINUM CORP COM PAR $0.01 483007704 192 4331 SH SOLE 4331 0 0 KB FINANCIAL GROUP INC SPONSORED ADR 48241A105 37 1132 SH SOLE 1132 0 0 KEEGAN RES INC COM 487275109 964 191281 SH SOLE 191281 0 0 KELLOGG CO COM 487836108 136 2556 SH SOLE 2556 0 0 KINROSS GOLD CORP COM NO PAR 496902404 194 13049 SH SOLE 13049 0 0 KOREA ELECTRIC PWR SPONSORED ADR 500631106 15 1742 SH SOLE 1742 0 0 KRAFT FOODS INC CL A 50075N104 142 4238 SH SOLE 4238 0 0 LAN AIRLINES S A SPONSORED ADR 501723100 225 10892 SH SOLE 10892 0 0 LDK SOLAR CO LTD SPONSORED ADR 50183L107 43 13862 SH SOLE 13862 0 0 LINDSAY CORP COM 535555106 24 448 SH SOLE 448 0 0 MAG SILVER CORP COM 55903Q104 4311 549883 SH SOLE 549883 0 0 MCCORMICK & CO INC COM NON VTG 579780206 57 1234 SH SOLE 1234 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 276 30851 SH SOLE 30851 0 0 MERCADOLIBRE INC COM 58733R102 259 4810 SH SOLE 4810 0 0 METALICO INC COM 591176102 26 6574 SH SOLE 6574 0 0 MFA FINANCIAL INC COM 55272X102 314 44712 SH SOLE 44712 0 0 MINEFINDERS LTD COM 602900102 13438 965367 SH SOLE 965367 0 0 MINES MGMT INC COM 603432105 478 293298 SH SOLE 293298 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 7 560 SH SOLE 560 0 0 MONSANTO CO NEW COM 61166W101 122 2040 SH SOLE 2040 0 0 MOSAIC CO NEW COM 61945C103 1284 26214 SH SOLE 26214 0 0 NETEASE COM INC SPONSORED ADR 64110W102 285 7457 SH SOLE 7457 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 6224 270948 SH SOLE 270948 0 0 NEXEN INC COM 65334H102 97 6263.059 SH SOLE 6263.059 0 0 NOBLE ENERGY INC COM 655044105 108 1531 SH SOLE 1531 0 0 NOKIA CORP SPONSORED ADR 654902204 1401 247505 SH SOLE 247505 0 0 NORANDA ALUM HLDG CORP COM 65542W107 98 11704 SH SOLE 11704 0 0 NORTEL INVERSORA S A SPON ADR PFD B 656567401 152 6559 SH SOLE 6559 0 0 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 564 105256 SH SOLE 105256 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 124 6380 SH SOLE 6380 0 0 NOVAGOLD RES INC COM NEW 66987E206 992 153744 SH SOLE 153744 0 0 NOVO-NORDISK A S ADR 670100205 2994 30088 SH SOLE 30088 0 0 OMEGA HEALTHCARE INVS INC COM 681936100 289 18131 SH SOLE 18131 0 0 P T TELEKOMUNIKASI INDONESIA SPONSORED ADR 715684106 569 17214 SH SOLE 17214 0 0 PAMPA ENERGIA S A SPONS ADR LVL I 697660207 151 11725 SH SOLE 11725 0 0 PAN AMERICAN SILVER CORP COM 697900108 27847 1040215 SH SOLE 1040215 0 0 PDL BIOPHARMA INC COM 69329Y104 330 59373 SH SOLE 59373 0 0 PENNANTPARK INVT CORP COM 708062104 270 30300 SH SOLE 30300 0 0 PERFECT WORLD CO LTD SPON ADR REP B 71372U104 79 7041 SH SOLE 7041 0 0 PETROBRAS ARGENTINA S A SPONS ADR 71646J109 124 9007 SH SOLE 9007 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 627 504521 SH SOLE 504521 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 74 616 SH SOLE 616 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 135 6529 SH SOLE 6529 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 126 5603 SH SOLE 5603 0 0 PHILIPPINE LONG DISTANCE TEL SPONSORED ADR 718252604 125 2526 SH SOLE 2526 0 0 PIONEER NAT RES CO COM 723787107 114 1738 SH SOLE 1738 0 0 POLYMET MINING CORP COM 731916102 230 186739 SH SOLE 186739 0 0 POSCO SPONSORED ADR 693483109 61 802 SH SOLE 802 0 0 POTASH CORP SASK INC COM 73755L107 1490 34312.775 SH SOLE 34312.775 0 0 PROGRESSIVE WASTE SOLUTIONS COM 74339G101 60 2925 SH SOLE 2925 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 270 32062 SH SOLE 32062 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 99 6082 SH SOLE 6082 0 0 QUEST RARE MINERALS LTD COM 74836T101 53 23587 SH SOLE 23587 0 0 RALCORP HLDGS INC NEW COM 751028101 43 556 SH SOLE 556 0 0 RANDGOLD RES LTD ADR 752344309 210 2170 SH SOLE 2170 0 0 RANGE RES CORP COM 75281A109 119 2036 SH SOLE 2036 0 0 RENESOLA LTD SPONS ADR 75971T103 14 8260 SH SOLE 8260 0 0 REPUBLIC SVCS INC COM 760759100 177 6314 SH SOLE 6314 0 0 REVETT MINERALS INC COM NEW 761505205 1025 264490 SH SOLE 264490 0 0 ROCKWOOD HLDGS INC COM 774415103 8288 245999 SH SOLE 245999 0 0 RUBICON MINERALS CORP COM 780911103 1285 368876 SH SOLE 368876 0 0 SARA LEE CORP COM 803111103 100 6122 SH SOLE 6122 0 0 SASOL LTD SPONSORED ADR 803866300 38 926 SH SOLE 926 0 0 SCOTTS MIRACLE GRO CO CL A 810186106 1342 30097 SH SOLE 30097 0 0 SEABRIDGE GOLD INC COM 811916105 1241 55202 SH SOLE 55202 0 0 SHANDA INTERACTIVE ENTMT LTD SPONSORED ADR 81941Q203 223 7563 SH SOLE 7563 0 0 SHINHAN FINANCIAL GROUP CO L SPN ADR RESTRD 824596100 38 561 SH SOLE 561 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 262 20191 SH SOLE 20191 0 0 SILVER STD RES INC COM 82823L106 11666 635770 SH SOLE 635770 0 0 SILVER WHEATON CORP COM 828336107 39893 1354587 SH SOLE 1354587 0 0 SILVERCORP METALS INC COM 82835P103 12676 1602488 SH SOLE 1602488 0 0 SM ENERGY CO COM 78454L100 106 1751 SH SOLE 1751 0 0 SMITHFIELD FOODS INC COM 832248108 29 1486 SH SOLE 1486 0 0 SMUCKER J M CO COM NEW 832696405 85 1160 SH SOLE 1160 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 23368 488770 SH SOLE 488770 0 0 SOHU COM INC COM 83408W103 169 3498 SH SOLE 3498 0 0 SOLAR CAP LTD COM 83413U100 297 14769 SH SOLE 14769 0 0 SOUTHERN COPPER CORP COM 84265V105 2395 95828 SH SOLE 95828 0 0 SPREADTRUM COMMUNICATIONS IN ADR 849415203 146 8147 SH SOLE 8147 0 0 STARWOOD PPTY TR INC COM 85571B105 307 17892 SH SOLE 17892 0 0 STATOIL ASA SPONSORED ADR 85771P102 11143 514911 SH SOLE 514911 0 0 STATOIL ASA SPONSORED ADR 85771P102 1817 84295 SH SOLE 84295 0 0 STERICYCLE INC COM 858912108 180 2235 SH SOLE 2235 0 0 STERLITE INDS INDIA LTD ADS 859737207 12 1338 SH SOLE 1338 0 0 SUNCOR ENERGY INC NEW COM 867224107 107 4207.35 SH SOLE 4207.35 0 0 SUNTECH PWR HLDGS CO LTD ADR 86800C104 40 17228 SH SOLE 17228 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 82 7144 SH SOLE 7144 0 0 TAM SA SP ADR REP PFD 87484D103 1338 85889 SH SOLE 85889 0 0 TASEKO MINES LTD COM 876511106 704 276255 SH SOLE 276255 0 0 TATA MTRS LTD SPONSORED ADR 876568502 81 5245 SH SOLE 5245 0 0 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 526 55173 SH SOLE 55173 0 0 TELECOM ARGENTINA S A SPON ADR REP B 879273209 177 9527 SH SOLE 9527 0 0 TELEFONOS DE MEXICO S A B SPON ADR ORD L 879403780 5 358 SH SOLE 358 0 0 TENARIS S A SPONSORED ADR 88031M109 704 27671 SH SOLE 27671 0 0 TERRA NITROGEN CO L P COM UNIT 881005201 959 6641 SH SOLE 6641 0 0 TESLA MTRS INC COM 88160R101 8 342 SH SOLE 342 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 550 8054 SH SOLE 8054 0 0 TRANSPORTADORA DE GAS SUR SPON ADR B 893870204 27 8683 SH SOLE 8683 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 46 7593 SH SOLE 7593 0 0 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 33 1000 SH SOLE 1000 0 0 TURKCELL ILETISIM HIZMETLERI SPON ADR NEW 900111204 1 114 SH SOLE 114 0 0 TWO HBRS INVT CORP COM 90187B101 303 34353 SH SOLE 34353 0 0 TYSON FOODS INC CL A 902494103 54 3082 SH SOLE 3082 0 0 ULTRALIFE CORP COM 903899102 1959 392509 SH SOLE 392509 0 0 ULTRAPAR PARTICIPACOES S A SP ADR REP PFD 90400P101 1045 66035 SH SOLE 66035 0 0 UNITED ONLINE INC COM 911268100 337 64399 SH SOLE 64399 0 0 UR ENERGY INC COM 91688R108 3436 3818053 SH SOLE 3818053 0 0 URANERZ ENERGY CORP COM 91688T104 3949 2882691 SH SOLE 2882691 0 0 URANIUM ENERGY CORP COM 916896103 8297 3028142 SH SOLE 3028142 0 0 URANIUM RES INC COM PAR $0.001 916901507 4597 6745268 SH SOLE 6745268 0 0 US ECOLOGY INC COM 91732J102 37 2370 SH SOLE 2370 0 0 USEC INC COM 90333E108 5643 3505274 SH SOLE 3505274 0 0 VALE S A ADR 91912E105 49 2158 SH SOLE 2158 0 0 VALE S A ADR REPSTG PFD 91912E204 63 2978 SH SOLE 2978 0 0 VALENCE TECHNOLOGY INC COM 918914102 2854 2743904 SH SOLE 2743904 0 0 VANCEINFO TECHNOLOGIES INC ADR 921564100 50 7465 SH SOLE 7465 0 0 VECTOR GROUP LTD COM 92240M108 361 20986 SH SOLE 20986 0 0 VINA CONCHA Y TORO S A SPONSORED ADR 927191106 43 1166 SH SOLE 1166 0 0 WABCO HLDGS INC COM 92927K102 25 652 SH SOLE 652 0 0 WASTE CONNECTIONS INC COM 941053100 86 2552 SH SOLE 2552 0 0 WASTE MGMT INC DEL COM 94106L109 190 5842 SH SOLE 5842 0 0 WHITING PETE CORP NEW COM 966387102 100 2846 SH SOLE 2846 0 0 WILLIAMS CLAYTON ENERGY INC COM 969490101 100 2344 SH SOLE 2344 0 0 WINDSTREAM CORP COM 97381W104 326 28000 SH SOLE 28000 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 5 512 SH SOLE 512 0 0 YAMANA GOLD INC COM 98462Y100 131 9623 SH SOLE 9623 0 0 YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 187 85016 SH SOLE 85016 0 0 YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 6 302 SH SOLE 302 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 44 14194 SH SOLE 14194 0 0 YONGYE INTL INC COM 98607B106 40 8879 SH SOLE 8879 0 0 YOUKU COM INC SPONSORED ADR 98742U100 2318 141676 SH SOLE 141676 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 390 11407 SH SOLE 11407 0 0 ZHONGPIN INC COM 98952K107 619 81406 SH SOLE 81406 0 0 454,799