Tradewinds Global Investors, LLC 

CA

  SEC # 1383221

        

Click to view...

Registrant

About

Filings

Files

Relationships

Names

Topics

Web

285  SEC Filings   from  7/9/07  to  11/14/16  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-HR’ — Quarterly Holdings and Combination Report by a Money Manager — Form 13F — for 9/30/16 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Tradewinds Global Investors, LLC

in

the most-recent Filings. all 285 Filings. an “Entity” Search.

Show

Documents with “hits” Documents searched

and

each “hit”. the 1st “hit”.

↓↑Hints

Forms , Documents & Exhibits  in  285 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
11/14/16	OLD		13F-HR		Ownership:		Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management	42
3/11/15	OLD		D		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	3
9/5/14	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	226
7/2/14	OLD		S-4		Registration:		Registration Statements – Securities for Mergers — Form S-4  OLD	6
3/3/10	OLD		APP WD		Registration:		Withdrawal of an Application for an Exemption Order or Other Relief  OLD	1
11/16/09	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	2
11/12/09	OLD		EFFECT		SEC:		SEC Notice of Effectiveness  OLD	1
10/9/09	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	4
8/4/09	OLD		40-APP		Registration:		Applications for Exemption Orders and Other Relief by Investment Companies  OLD	4
					Form-Specific Documents:
11/14/16	OLD		INFO-TABLE		Portfolio Securities Holdings – Info Tables — Form 13F  OLD  — Assets Under Management			15
					General Exhibits:
7/2/14	OLD		EX-23		Consents of Experts and Counsel  OLD			6
3/13/14	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			59
3/13/14	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			5
3/13/14	OLD		EX-10		Material Contracts  OLD			34
3/13/14	OLD		EX-5		Opinions of Counsel re: Legality  OLD			4
3/13/14	OLD		EX-25		Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD			2
3/13/14	OLD		EX-21		Subsidiaries Lists  OLD			2
					Additional Exhibits:
7/2/14	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			13
					Financials:
7/2/14	OLD		EX-12		Statements re: Computations of Ratios  OLD			5
					Graphics:
7/2/14	OLD		GRAPHIC		Photos, Images and Graphs  OLD			28

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

As Of			Quarter (Ended)		Holdings Form 13F				Assets (Millions)		Reporting Manager Manager with whom Investment Discretion is Shared
8/2/17			6/30/17		4	of	1,077		$2		TN	First Mercantile Trust Co.
8/3/16			6/30/16		28	of	11,117		$97			Emerald Acquisition Ltd.
4/29/16			3/31/16		29	of	11,009		$100		WA	Russell Frank Co

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2016		4
2015		5
2014		9
2013		6
2012		65
2011		22
2010		26
2009		76
2008		48
2007		24