Douglas C. Lane & Associates, Inc.

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CIK 1004248

13F portfolio (2015-Q4)

$3.7B

Positions

227

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2015-Q3. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2015-Q4)

Holdings

223

Top 5

11.7%

Top 10

20.5%

Effective N

85.8

HHI

0.012

This quarter

12 new · 0 exit →

By sector

Unclassified25.8%

Information Technology14.6%

Industrials11.8%

Financials11.4%

Consumer Discretionary9.1%

Health Care8.7%

Materials5.1%

Communication Services4.2%

Other9.4%

By market cap

Large ($10–200B)46.3%

Unknown29.4%

Mega (>$200B)20.0%

Mid ($2–10B)2.9%

Small ($300M–2B)0.9%

Micro (<$300M)0.5%

By region

North America71.3%

Other25.8%

Europe2.9%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	25.82%	69
Airlines	7.33%	5
Pharmaceuticals & Biotechnology	6.44%	17
Technology Hardware & Equipment	5.61%	7
Commercial Services & Supplies	5.13%	7
Automobiles & Components	5.10%	4
Banks	4.72%	9
Software & IT Services	4.01%	5
Equity Real Estate Investment Trusts (REITs)	3.19%	6
Software	2.88%	5
Oil, Gas & Consumable Fuels	2.53%	5
Metals & Mining	2.47%	3
Insurance	2.45%	7
Beverages	2.41%	4
Chemicals	2.26%	7
Life Sciences Tools & Services	2.22%	1
Hotels, Restaurants & Leisure	1.87%	4
Electrical Equipment & Components	1.78%	2
Communications Equipment	1.58%	1
Machinery	1.50%	7
Semiconductors & Semiconductor Equipment	1.41%	4
Specialty Retail	1.26%	6
Transportation Infrastructure	1.22%	2
Food Products	1.12%	6
Textiles, Apparel & Luxury Goods	0.82%	1
Aerospace & Defense	0.58%	3
Diversified Telecommunication Services	0.55%	4
Media & Entertainment	0.52%	2
Entertainment	0.43%	1
Construction Materials	0.32%	2
Health Care Equipment & Supplies	0.21%	3
Road & Rail	0.09%	2
Tobacco	0.06%	2
Utilities	0.03%	4
Food & Staples Retailing	0.02%	1
Paper & Forest Products	0.02%	1
Capital Markets	0.01%	2
Distributors	0.01%	1
Professional Services	0.01%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	DAL	DELTA AIR LINES, INC.	Industrials	3.10%
2	UAL	United Airlines Holdings, Inc.	Industrials	2.32%
3	ILMN	ILLUMINA, INC.	Health Care	2.22%
4	V	VISA INC.	Financials	2.10%
5	MSFT	MICROSOFT CORP	Information Technology	1.94%
6	GM	General Motors Co	Consumer Discretionary	1.93%
7		DELPHI AUTOMOTIVE PLC	Unclassified	1.82%
8	GE	GENERAL ELECTRIC CO	Information Technology	1.71%
9	CSCO	CISCO SYSTEMS, INC.	Information Technology	1.70%
10	MA	Mastercard Inc	Financials	1.63%

155/223 names classified · sector 74.2% of weight · industry 74.2% · mkt cap 70.6%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 11 quarters

Information TechnologyGE, QCOM, CSCO, MSFT, EMR · other

IndustrialsDAL, UAL, LUV, EXPD, MMM · other

Health CareILMN, AMGN, NVS, MRK, IMA · other

Consumer DiscretionaryGM, BWA, F, YUM, VC · other

FinancialsV, MA, JPM, MET, SYF · other

MaterialsAA, ECL, GLW, APD, PG · other

Real EstateEQIX, VTR, AMT, PLD, LAMR · other

Consumer StaplesPEP, DEO, KO, MDLZ, MKC · other

Communication ServicesDIS, VZ, LUMN, GOOG, GOOGL · other

EnergyVLO, SLB, MPC, CVX, XOM · other

UtilitiesDUK, EPD, NEE, KMI, ED · other

UnclassifiedHARMAN INTL INDS INC, QIAGEN NV, DELPHI AUTOMOTIVE PLC, GOOGLE INC, JOHNSON CTLS INC · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 74.2% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2015-Q4), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (143 classified)Douglas C. Lane & Associates, Inc. centroid (Mid Core)

Information TechnologyIndustrialsFinancialsConsumer DiscretionaryHealth CareMaterialsCommunication ServicesReal EstateEnergyConsumer StaplesUtilities

Style box summary for Douglas C. Lane & Associates, Inc.: centroid Mid Core. Heaviest cells: Large Value 14.1%, Large Growth 13.5%, Large Core 11.5%.

Classified: 70.0% of book weight (143/161 names) · unclassified 30.0%: , DEO, NVS, NSRGY, SSYS, TGNA, NVO, HAIN, SNY, FRCB +8 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 227 positions (2015-Q4) · largest first · Δ vs 2015-Q3

#	Security	Shares	Value	Weight	Δ QoQ
1	DALDELTA AIR LINES INC	2,259,269	$115M	3.1%	TRIM −6%
2	UALUNITED AIRLS HLDGS INC	1,493,128	$86M	2.3%	TRIM −7%
3	ILMNILLUMINA INC	426,806	$82M	2.2%	ADD 6%
4	VVISA INC	1,002,192	$78M	2.1%	TRIM −2%
5	MSFTMICROSOFT CORP	1,289,497	$72M	1.9%	HOLD
6	GMGENERAL MTRS CO	2,100,848	$71M	1.9%	HOLD
7	DELPHI AUTOMOTIVE PLC	784,532	$67M	1.8%	HOLD
8	GEGENERAL ELECTRIC CO	2,022,389	$63M	1.7%	TRIM −32%
9	CSCOCISCO SYS INC	2,306,725	$63M	1.7%	HOLD
10	MAMASTERCARD INCORPORATED	617,877	$60M	1.6%	HOLD
11	EQIXEQUINIX INC	198,609	$60M	1.6%	HOLD
12	BWABORGWARNER INC	1,376,648	$60M	1.6%	ADD 9%
13	AAALCOA INC	6,028,099	$59M	1.6%	ADD 6%
14	QCOMQUALCOMM INC	1,164,503	$58M	1.6%	ADD 4%
15	FFORD MTR CO	3,999,544	$56M	1.5%	HOLD
16	AMGNAMGEN INC	346,380	$56M	1.5%	HOLD
17	HARMAN INTL INDS INC	582,476	$55M	1.5%	HOLD
18	TMOTHERMO FISHER SCIENTIFIC INC	386,565	$55M	1.5%	HOLD
19	YUMYUM BRANDS INC	746,760	$55M	1.5%	ADD 3%
20	DHRDANAHER CORP DEL	573,321	$53M	1.4%	HOLD
21	QIAGEN NV	1,918,338	$53M	1.4%	HOLD
22	GOOGALPHABET INC	67,164	$51M	1.4%	NEW
23	METMETLIFE INC	1,051,264	$51M	1.4%	ADD 13%
24	LUVSOUTHWEST AIRLS CO	1,151,648	$50M	1.3%	TRIM −15%
25	CERNER CORP	804,705	$48M	1.3%	ADD 7%
26	AIR LEASE CORP	1,422,777	$48M	1.3%	HOLD
27	VRSKVERISK ANALYTICS INC	601,868	$46M	1.3%	HOLD
28	DEODIAGEO PLC	421,485	$46M	1.2%	HOLD
29	NVSNOVARTIS AG	530,725	$46M	1.2%	HOLD
30	SYFSYNCHRONY FINANCIAL	1,487,262	$45M	1.2%	ADD 216%
31	NSRGYNESTLE S A SPONSORED ADR	561,325	$42M	1.1%	HOLD
32	VLOVALERO ENERGY CORP	555,141	$39M	1.1%	TRIM −3%
33	STERICYCLE INC	323,026	$39M	1.1%	HOLD
34	CELGENE CORP	322,963	$39M	1.0%	HOLD
35	DENTSPLY INTL INC NEW	616,712	$38M	1.0%	HOLD
36	PEPPEPSICO INC	369,841	$37M	1.0%	HOLD
37	ECLECOLAB INC	322,590	$37M	1.0%	HOLD
38	AXPAMERICAN EXPRESS CO	525,114	$37M	1.0%	ADD 18%
39	Hudson's Bay Co	2,672,425	$35M	0.9%	ADD 34%
40	INTCINTEL CORP	974,125	$34M	0.9%	TRIM −3%
41	GOOGLALPHABET INC	42,976	$33M	0.9%	NEW
42	PRUPRUDENTIAL FINL INC	406,216	$33M	0.9%	ADD 14%
43	USBUS BANCORP	760,589	$32M	0.9%	ADD 32%
44	GLWCORNING INC	1,672,522	$31M	0.8%	HOLD
45	VFCV F CORP	483,659	$30M	0.8%	ADD 40%
46	MMACYS INC	853,889	$30M	0.8%	ADD 177%
47	BKUBANKUNITED INC	811,523	$29M	0.8%	ADD 12%
48	XPOXPO INC	1,071,914	$29M	0.8%	ADD 22%
49	HOLLYFRONTIER CORP	731,006	$29M	0.8%	TRIM −10%
50	DUNKIN BRANDS GROUP INC	682,453	$29M	0.8%	ADD 3%
51	MPCMARATHON PETE CORP	552,169	$29M	0.8%	HOLD
52	PRAXAIR INC	276,932	$28M	0.8%	HOLD
53	BMYBRISTOL-MYERS SQUIBB CO	407,029	$28M	0.8%	HOLD
54	MRKMERCK & CO INC	514,876	$27M	0.7%	TRIM −5%
55	SSYSSTRATASYS LTD	1,157,619	$27M	0.7%	ADD 19%
56	JPMJPMORGAN CHASE & CO	411,216	$27M	0.7%	TRIM −3%
57	DIGITALGLOBE INC	1,731,555	$27M	0.7%	ADD 36%
58	IHS CL A	228,535	$27M	0.7%	TRIM −5%
59	TGNATEGNA INC	928,720	$24M	0.6%	TRIM −5%
60	ACNACCENTURE PLC IRELAND	220,747	$23M	0.6%	TRIM −3%
61	ADVISORY BRD CO	464,514	$23M	0.6%	ADD 3%
62	APDAIR PRODS & CHEMS INC	175,089	$23M	0.6%	TRIM −3%
63	BB&T CORP	599,364	$23M	0.6%	ADD 43%
64	NORDSTROM INC	443,657	$22M	0.6%	ADD 150%
65	THOMSON REUTERS CORP	582,557	$22M	0.6%	TRIM −7%
66	MANHMANHATTAN ASSOCIATES INC	312,522	$21M	0.6%	HOLD
67	HONHONEYWELL INTL INC	195,584	$20M	0.5%	HOLD
68	AMTAMERICAN TOWER CORP	207,764	$20M	0.5%	TRIM −21%
69	NVONOVO-NORDISK A S	342,392	$20M	0.5%	TRIM −5%
70	YAHOO INC	591,412	$20M	0.5%	HOLD
71	CMCSACOMCAST CORP NEW	342,156	$19M	0.5%	ADD 477%
72	NIELSEN HLDGS PLC	409,571	$19M	0.5%	TRIM −4%
73	HAINHAIN CELESTIAL GROUP INC	466,830	$19M	0.5%	ADD 19%
74	VYXNCR VOYIX CORPORATION	744,925	$18M	0.5%	TRIM −43%
75	VERIFONE SYS INC	648,434	$18M	0.5%	TRIM −32%
76	ETNEATON CORP PLC	348,980	$18M	0.5%	TRIM −13%
77	BLACKSTONE GROUP LP	613,357	$18M	0.5%	HOLD
78	PYPLPAYPAL HLDGS INC	490,413	$18M	0.5%	TRIM −2%
79	AALAMERICAN AIRLS GROUP INC	413,870	$18M	0.5%	HOLD
80	ZTSZOETIS INC	364,943	$17M	0.5%	HOLD
81	WHOLE FOODS MKT INC	518,390	$17M	0.5%	ADD 9%
82	ITWILLINOIS TOOL WKS INC	184,795	$17M	0.5%	TRIM −2%
83	VTRVENTAS INC	285,812	$16M	0.4%	TRIM −20%
84	DISDISNEY WALT CO	152,849	$16M	0.4%	TRIM −7%
85	EXPDEXPEDITORS INTL WASH INC	353,458	$16M	0.4%	TRIM −2%
86	SNYSANOFI SA	347,699	$15M	0.4%	TRIM −10%
87	PREMIER INC	409,325	$14M	0.4%	ADD 11%
88	METAMETA PLATFORMS INC	137,931	$14M	0.4%	HOLD
89	SJMSMUCKER J M CO	113,890	$14M	0.4%	HOLD
90	LEVEL 3 COMMUNICATIONS INC	255,017	$14M	0.4%	HOLD
91	SBUXSTARBUCKS CORP	227,680	$14M	0.4%	TRIM −2%
92	FASTFASTENAL CO	325,029	$13M	0.4%	TRIM −2%
93	UNILEVER N V	289,640	$13M	0.3%	TRIM −8%
94	CLCOLGATE PALMOLIVE CO	187,698	$13M	0.3%	TRIM −3%
95	SLBSCHLUMBERGER LTD	170,423	$12M	0.3%	TRIM −3%
96	AVBAVALONBAY CMNTYS INC	64,540	$12M	0.3%	TRIM −23%
97	SWKSTANLEY BLACK & DECKER INC	109,553	$12M	0.3%	TRIM −6%
98	VMCVULCAN MATLS CO	119,211	$11M	0.3%	HOLD
99	VZVERIZON COMMUNICATIONS INC	243,022	$11M	0.3%	TRIM −7%
100	MCHPMICROCHIP TECHNOLOGY INC.	225,742	$11M	0.3%	TRIM −70%
101	LUXOTTICA GROUP S P A	157,501	$10M	0.3%	TRIM −25%
102	AAPLAPPLE INC	89,845	$9M	0.3%	TRIM −6%
103	EBAYEBAY INC.	323,709	$9M	0.2%	TRIM −26%
104	JNJJOHNSON & JOHNSON	86,162	$9M	0.2%	HOLD
105	TD AMERITRADE HLDG CORP	254,785	$9M	0.2%	ADD 42%
106	PRGOPERRIGO CO PLC	53,716	$8M	0.2%	ADD 7%
107	CVXCHEVRON CORP NEW	84,265	$8M	0.2%	ADD 3%
108	ADBEADOBE INC	79,796	$7M	0.2%	HOLD
109	FRCBFIRST REP BK SAN FRANCISCO C	111,643	$7M	0.2%	NEW
110	PNRPENTAIR PLC	145,243	$7M	0.2%	TRIM −24%
111	DANOYDANONE SPONSORED ADR ISIN US23636T1007	529,576	$7M	0.2%	TRIM −13%
112	NVDANVIDIA CORPORATION	216,198	$7M	0.2%	NEW
113	MMM3M CO	45,062	$7M	0.2%	TRIM −17%
114	LAMRLAMAR ADVERTISING CO	113,111	$7M	0.2%	TRIM −37%
115	IBMINTERNATIONAL BUSINESS MACHS	48,086	$7M	0.2%	TRIM −8%
116	CORE LABORATORIES N V	59,735	$6M	0.2%	TRIM −19%
117	GANNETT SPINCO INC	391,724	$6M	0.2%	TRIM −8%
118	DDD3-D SYS CORP DEL	715,043	$6M	0.2%	ADD 29%
119	MDLZMONDELEZ INTL INC	135,311	$6M	0.2%	TRIM −27%
120	XOMEXXON MOBIL CORP	76,931	$6M	0.2%	HOLD
121	DISCOVERY COMMUNICATIONS	234,678	$6M	0.2%	ADD 21%
122	ELLAUDER ESTEE COS INC	63,994	$6M	0.2%	HOLD
123	KOCOCA COLA CO	128,986	$6M	0.2%	TRIM −14%
124	PGPROCTER AND GAMBLE CO	62,125	$5M	0.1%	TRIM −9%
125	ABTABBOTT LABS	109,399	$5M	0.1%	TRIM −25%
126	VODVODAFONE GROUP PLC	143,067	$5M	0.1%	TRIM −8%
127	AIGAMERICAN INTL GROUP INC	72,843	$5M	0.1%	HOLD
128	FDXFEDEX CORP	24,741	$4M	0.1%	TRIM −2%
129	PRECISION CASTPARTS CORP	13,602	$3M	0.1%	TRIM −12%
130	TUTELUS CORPORATION	113,090	$3M	0.1%	TRIM −14%
131	ADPAUTOMATIC DATA PROCESSING IN	35,434	$3M	0.1%	HOLD
132	UNITED TECHNOLOGIES CORP	30,848	$3M	0.1%	TRIM −7%
133	PFEPFIZER INC	90,361	$3M	0.1%	TRIM −6%
134	PLDPROLOGIS INC.	67,258	$3M	0.1%	TRIM −37%
135	UPSUNITED PARCEL SERVICE INC	29,829	$3M	0.1%	HOLD
136	L BRANDS INC	28,351	$3M	0.1%	TRIM −6%
137	EMREMERSON ELEC CO	54,920	$3M	0.1%	TRIM −33%
138	ISTAR INC	214,935	$3M	0.1%	TRIM −5%
139	WFCWELLS FARGO CO NEW	44,679	$2M	0.1%	TRIM −5%
140	HPQHP INC	188,069	$2M	0.1%	NEW
141	REXNORD CORP	108,515	$2M	0.1%	NEW
142	DOW CHEM CO	30,289	$2M	0.0%	TRIM −10%
143	MKCMCCORMICK & CO INC	18,210	$2M	0.0%	TRIM −5%
144	TAT&T INC	44,122	$2M	0.0%	TRIM −12%
145	BRK.BBERKSHIRE HATHAWAY INC DEL	10,388	$1M	0.0%	ADD 9%
146	ABBVABBVIE INC	22,757	$1M	0.0%	TRIM −7%
147	CRSCARPENTER TECHNOLOGY CORP	44,210	$1M	0.0%	TRIM −48%
148	COSTCOSTCO WHSL CORP NEW	8,231	$1M	0.0%	HOLD
149	GILDGILEAD SCIENCES INC	12,725	$1M	0.0%	TRIM −6%
150	MOALTRIA GROUP INC	20,223	$1M	0.0%	TRIM −16%
151	PMPHILIP MORRIS INTL INC	13,232	$1M	0.0%	ADD 5%
152	HDHOME DEPOT INC	8,160	$1M	0.0%	ADD 3%
153	CBCHUBB CORP	8,064	$1M	0.0%	HOLD
154	HUBBHUBBELL INC	10,403	$1M	0.0%	NEW
155	URIUNITED RENTALS INC	14,213	$1M	0.0%	ADD 25%
156	VCVISTEON CORP	8,035	$920,000	0.0%	TRIM −65%
157	WMWASTE MGMT INC DEL	16,830	$898,000	0.0%	TRIM −49%
158	CVSCVS HEALTH CORP	9,152	$895,000	0.0%	ADD 5%
159	EXPRESS SCRIPTS HLDG CO	9,534	$833,000	0.0%	TRIM −13%
160	AMZNAMAZON COM INC	1,123	$759,000	0.0%	TRIM −2%
161	KMBKIMBERLY-CLARK CORP	5,800	$738,000	0.0%	HOLD
162	DISCOVERY INC	27,020	$721,000	0.0%	ADD 7%
163	LLYELI LILLY & CO	7,790	$656,000	0.0%	TRIM −28%
164	TDGTRANSDIGM GROUP INC	2,873	$656,000	0.0%	TRIM −6%
165	CATCATERPILLAR INC	9,580	$651,000	0.0%	TRIM −6%
166	APACHE CORP	13,690	$609,000	0.0%	TRIM −7%
167	BACBANK AMERICA CORP	35,881	$604,000	0.0%	TRIM −13%
168	MLMMARTIN MARIETTA MATLS INC	4,177	$570,000	0.0%	TRIM −30%
169	TIME WARNER INC	8,808	$570,000	0.0%	ADD 5%
170	CCITIGROUP INC	10,487	$543,000	0.0%	TRIM −8%
171	MCDMCDONALDS CORP	4,442	$525,000	0.0%	TRIM −5%
172	UNHUNITEDHEALTH GROUP INC	4,439	$522,000	0.0%	HOLD
173	BDXBECTON DICKINSON & CO	3,322	$512,000	0.0%	ADD 3%
174	BABOEING CO	3,321	$480,000	0.0%	TRIM −8%
175	NKENIKE INC	7,500	$469,000	0.0%	ADD 97%
176	KHCKRAFT HEINZ CO	6,148	$447,000	0.0%	TRIM −4%
177	ZBHZIMMER BIOMET HOLDINGS INC	4,359	$447,000	0.0%	TRIM −6%
178	MNSTMONSTER BEVERAGE CORP NEW	2,885	$430,000	0.0%	TRIM −9%
179	ORCLORACLE CORP	11,339	$414,000	0.0%	TRIM −25%
180	LINEAR TECHNOLOGY CORP	9,210	$391,000	0.0%	TRIM −43%
181	REYNOLDS AMERICAN INC	8,394	$387,000	0.0%	TRIM −25%
182	MRSHMARSH & MCLENNAN COS INC	6,809	$378,000	0.0%	HOLD
183	NEENEXTERA ENERGY INC	3,592	$373,000	0.0%	ADD 5%
184	COACH INC	11,360	$372,000	0.0%	TRIM −75%
185	HSYHERSHEY CO	4,115	$367,000	0.0%	TRIM −6%
186	TGTTARGET CORP	4,992	$362,000	0.0%	TRIM −8%
187	DU PONT E I DE NEMOURS & CO	4,972	$331,000	0.0%	TRIM −22%
188	LIBERTY GLOBAL PLC	8,100	$330,000	0.0%	TRIM −18%
189	E M C CORP MASS	12,563	$323,000	0.0%	TRIM −12%
190	UNPUNION PAC CORP	3,990	$312,000	0.0%	ADD 22%
191	UNILEVER PLC	7,220	$311,000	0.0%	TRIM −5%
192	GWWWW GRAINGER INC	1,520	$308,000	0.0%	TRIM −13%
193	WABCO HLDGS INC	2,900	$297,000	0.0%	TRIM −15%
194	BIIBBIOGEN INC	960	$294,000	0.0%	TRIM −18%
195	CLXCLOROX CO DEL	2,202	$279,000	0.0%	ADD 22%
196	CARE CAP PPTYS INC	8,861	$271,000	0.0%	TRIM −56%
197	DEDEERE & CO	3,499	$267,000	0.0%	TRIM −8%
198	SCHWSCHWAB CHARLES CORP	7,982	$263,000	0.0%	HOLD
199	EDCONSOLIDATED EDISON INC	4,034	$259,000	0.0%	TRIM −37%
200	EPDENTERPRISE PRODS PARTNERS L	9,648	$247,000	0.0%	TRIM −8%

showing the top 200 by weight

☆Douglas C. Lane & Associates, Inc.