The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
| | OMB APPROVAL | | OMB Number: | 3235-0006 | | Expires: | Oct 31, 2018 | | Estimated average burden | | hours per response: | 23.8 |
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| Report for the Calendar Year or Quarter Ended: | 09-30-2019 |
| 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: | ICONIQ Capital, LLC |
| Address: | 394 PACIFIC AVE. |
| 2ND FLOOR |
| SAN FRANCISCO, CA 94111 |
| Form 13F File Number: | 028-15353 |
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: | William Steiner |
| Title: | CCO |
| Phone: | 415 967-7763 |
| Signature, Place, and Date of Signing: |
| William Steiner | San Francisco, CA | 11-14-2019 |
| [Signature] | [City, State] | [Date] |
| ICONIQ Capital, LLC is an institutional investment manager subject to Section 13(f) of the Securities Exchange Act of 1934 and the rules promulgated thereunder. ICONIQ Capital, LLC is an affiliate of and under common control with ICONIQ Strategic Partners GP, L.P., ICONIQ Strategic Partners II GP, L.P., ICONIQ Strategic Management, LLC and ICQ Management, LLC. The securities positions reported by ICONIQ Capital, LLC on behalf of ICONIQ Strategic Partners GP, L.P., ICONIQ Strategic Management, LLC, ICONIQ Strategic Partners II GP, L.P., ICQ Management, LLC, and ICONIQ Strategic Partners III GP, L.P., ICONIQ Strategic Partners IV GP, L.P., and ICQ Opportunities GP, L.P.are being reported on behalf of ICONIQ Capital, LLC. Further, ICONIQ Capital, LLC is reporting positions on behalf of itself and other affiliates that are not institutional managers subject to Section 13(f). |
| Report Type (Check only one.): |
| X | 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| | 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| | 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
| Report Summary: |
| Number of Other Included Managers: | 7 | | |
| Form 13F Information Table Entry Total: | 53 |
| Form 13F Information Table Value Total: | 2,473,961 |
| (thousands) |
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| 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. |
| [If there are no entries in this list, state “NONE” and omit the column headings and list entries.] |
| No. | Form 13F File Number | Name |
| 1 | | ICONIQ Strategic Management, LLC |
| 2 | | ICONIQ Strategic Partners GP, L.P. |
| 3 | | ICONIQ Strategic Partners II GP, L.P. |
| 4 | | ICONIQ Strategic Partners III GP, L.P. |
| 5 | | ICONIQ Strategic Partners IV GP, L.P. |
| 6 | | ICQ Management, LLC |
| 7 | | ICQ Opportunities GP, L.P. |
