Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
February 07 2014 - 4:37PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number:
811-03851
Nicholas II, Inc.
(Exact Name of Registrant as Specified in Charter)
700 North Water Street, Milwaukee, Wisconsin 53202
(Address of Principal Executive Offices) (Zip Code)
Jeffrey T. May, Senior Vice President, Secretary and Treasurer
700 North Water Street
Milwaukee, Wisconsin 53202
(Name and Address of Agent for Service)
Registrant's Telephone Number, Including Area Code:
414-272-4650
Date of Fiscal Year End:
09/30/2014
Date of Reporting Period:
12/31/2013
Item 1. Schedule of Investments.
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NICHOLAS II, INC.
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SCHEDULE OF INVESTMENTS (UNAUDITED)
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AS OF December 31, 2013
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SHARES OR
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PRINCIPAL
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AMOUNT
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VALUE
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-
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-----------
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--
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---------
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COMMON STOCKS -- 95.18%
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Consumer Discretionary - Automobiles &
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Components -- 2.25%
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260,000
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Allison Transmission Holdings, Inc.
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$
7,178,600
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70,000
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BorgWarner Inc.
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3,913,700
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65,000
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Harley-Davidson, Inc.
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4,500,600
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------------
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15,592,900
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------------
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Consumer Discretionary - Durables &
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Apparel -- 3.78%
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177,500
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Jarden Corporation *
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10,889,625
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50,000
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Polaris Industries Inc.
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7,282,000
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85,000
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Tupperware Brands Corporation
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8,035,050
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------------
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26,206,675
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------------
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Consumer Discretionary -
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Retailing -- 12.75%
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220,000
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CarMax, Inc. *
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10,344,400
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370,000
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LKQ Corporation *
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12,173,000
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165,000
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Nordstrom, Inc.
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10,197,000
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80,000
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O'Reilly Automotive, Inc. *
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10,296,800
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115,000
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PetSmart, Inc.
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8,366,250
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180,000
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TJX Companies, Inc. (The)
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11,471,400
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130,000
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Tractor Supply Company
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10,085,400
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75,000
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Ulta Salon, Cosmetics & Fragrance, Inc. *
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7,239,000
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140,000
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Williams-Sonoma, Inc.
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8,159,200
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------------
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88,332,450
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------------
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Consumer Discretionary - Services -- 2.35%
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249,999
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InterContinental Hotels Group PLC
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8,357,467
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100,000
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Starwood Hotels & Resorts Worldwide, Inc.
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7,945,000
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------------
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16,302,467
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------------
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Consumer Staples - Food & Staples
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Retailing -- 1.58%
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95,000
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PriceSmart, Inc.
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10,976,300
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------------
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Consumer Staples - Food, Beverage &
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Tobacco -- 2.73%
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100,000
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Beam Inc.
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6,806,000
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35,000
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Mead Johnson Nutrition Company
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2,931,600
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85,000
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Monster Beverage Corporation *
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5,760,450
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150,000
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WhiteWave Foods Company (The) - Class A *
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3,441,000
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------------
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18,939,050
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------------
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Consumer Staples - Household & Personal
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Products -- 0.48%
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50,000
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Church & Dwight Co., Inc.
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3,314,000
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------------
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Energy -- 5.54%
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125,000
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Cameron International Corporation *
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7,441,250
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45,000
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Concho Resources Inc. *
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4,860,000
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50,000
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Continental Resources, Inc. *
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5,626,000
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60,000
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Helmerich & Payne, Inc.
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5,044,800
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122,462
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Kinder Morgan Management, LLC *
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9,265,488
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100,000
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Whiting Petroleum Corporation *
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6,187,000
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------------
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38,424,538
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------------
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Financials - Banks -- 0.64%
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60,000
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Cullen/Frost Bankers, Inc.
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4,465,800
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Page 1
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--
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Financials - Diversified -- 3.78%
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45,000
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Affiliated Managers Group, Inc. *
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9,759,600
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170,000
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Raymond James Financial, Inc.
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8,872,300
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90,000
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T. Rowe Price Group, Inc.
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7,539,300
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------------
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26,171,200
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------------
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Financials - Insurance -- 4.24%
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110,000
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Aon plc
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9,227,900
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215,000
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Marsh & McLennan Companies, Inc.
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10,397,400
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217,000
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Willis Group Holdings PLC
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9,723,770
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------------
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29,349,070
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------------
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Financials - Real Estate -- 0.68%
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180,000
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CBRE Group Inc. *
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4,734,000
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------------
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Health Care - Equipment &
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Services -- 9.45%
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115,000
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AmerisourceBergen Corporation
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8,085,650
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145,000
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Cardinal Health, Inc.
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9,687,450
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90,000
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Cooper Companies, Inc. (The)
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11,145,600
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145,000
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DaVita HealthCare Partners Inc. *
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9,188,650
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205,000
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DENTSPLY International Inc.
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9,938,400
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120,000
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Stryker Corporation
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9,016,800
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90,000
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Teleflex Incorporated
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8,447,400
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------------
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65,509,950
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------------
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Health Care - Pharmaceuticals,
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Biotechnology & Life Sciences -- 5.63%
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50,000
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Jazz Pharmaceuticals public
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limited company *
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6,328,000
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55,000
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Perrigo Company plc
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8,440,300
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24,500
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Regeneron Pharmaceuticals, Inc. *
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6,743,380
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93,920
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Thermo Fisher Scientific Inc.
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10,457,992
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60,000
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Valeant Pharmaceuticals
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International, Inc. *
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7,044,000
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------------
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39,013,672
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------------
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Industrials - Capital Goods -- 12.32%
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197,500
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AMETEK, Inc.
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10,402,325
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135,000
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BE Aerospace, Inc. *
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11,749,050
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206,000
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Fastenal Company
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9,787,060
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150,000
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IDEX Corporation
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11,077,500
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155,000
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Pentair Ltd.
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12,038,850
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95,000
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Snap-on Incorporated
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10,404,400
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50,000
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TransDigm Group Incorporated *
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8,051,000
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160,000
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Westinghouse Air Brake Technologies
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Corporation
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11,883,200
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------------
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85,393,385
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------------
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Industrials - Commercial & Professional
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Services -- 3.73%
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170,000
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ADT Corporation (The)
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6,879,900
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105,000
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IHS Inc. - Class A *
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12,568,500
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55,000
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Stericycle, Inc. *
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6,389,350
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------------
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25,837,750
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------------
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Industrials - Transportation -- 0.91%
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143,000
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Expeditors International of
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Washington, Inc.
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6,327,750
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------------
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Information Technology - Hardware &
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Equipment -- 1.35%
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275,000
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NCR Corporation *
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9,366,500
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------------
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Information Technology - Semiconductors &
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Semiconductor Equipment -- 4.32%
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200,000
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Altera Corporation
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6,506,000
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180,000
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Avago Technologies Limited
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9,520,200
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Page 2
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228,750
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Microchip Technology Incorporated
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10,236,563
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80,000
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Xilinx, Inc.
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3,673,600
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----
-
-------
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29,936,363
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------------
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Information Technology - Software &
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Services -- 14.14%
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110,000
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ANSYS, Inc. *
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9,592,000
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135,000
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Check Point Software Technologies Ltd. *
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8,710,200
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174,499
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Fidelity National Information
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Services, Inc.
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9,367,106
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161,874
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Fiserv, Inc. *
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9,558,660
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105,000
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FleetCor Technologies, Inc. *
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12,302,850
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47,500
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MercadoLibre, Inc.
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5,120,025
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175,000
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MICROS Systems, Inc. *
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10,039,750
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120,000
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Red Hat, Inc. *
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6,724,800
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390,000
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Symantec Corporation
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9,196,200
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145,000
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Teradata Corporation *
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6,596,050
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330,000
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Vantiv, Inc. - Class A *
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10,761,300
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------------
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97,968,941
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------------
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Materials -- 2.53%
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75,000
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Airgas, Inc.
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8,388,750
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135,000
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AptarGroup, Inc.
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9,154,350
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------------
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17,543,100
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------------
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TOTAL COMMON STOCKS
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(cost $349,534,476)
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659,705,861
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------------
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SHORT
-TERM INVESTMENTS -- 4.83%
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Commercial Paper - 4.49%
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$
1,100,000
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CBS Corporation 01/02/14, 0.22%
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1,100,000
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950,000
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Plains All American Pipeline, L.P.
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01/03/14, 0.23%
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949,994
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2,200,000
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Comcast Corporation 01/06/14, 0.23%
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2,199,944
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1,500,000
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Bacardi Corporation 01/08/14, 0.25%
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1,499,937
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1,325,000
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B.A.T. International Finance p.l.c.
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01/10/14, 0.25%
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1,324,926
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1,000,000
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CBS Corporation 01/10/14, 0.23%
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999,949
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2,175,000
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Clorox Company (The) 01/13/14, 0.21%
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2,174,860
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1,350,000
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Prudential plc 01/13/2014, 0.15%
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1,349,938
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1,500,000
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B.A.T. International Finance p.l.c.
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01/14/14, 0.25%
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1,499,875
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2,050,000
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Southern Company (The) 01/15/14, 0.17%
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2,049,874
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1,700,000
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Valspar Corporation (The) 01/15/14, 0.25%
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1,699,847
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769,000
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Valspar Corporation (The) 01/15/14, 0.26%
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768,928
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1,000,000
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Hitachi America Capital, Ltd.
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01/17/14, 0.35%
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999,854
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1,525,000
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VW Credit, Inc. 01/17/14, 0.22%
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1,524,860
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2,200,000
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Nissan Motor Acceptance Corporation
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01/21/14, 0.30%
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2,199,652
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1,850,000
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Bemis Company, Inc. 01/22/14, 0.25%
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1,849,743
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2,000,000
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Valspar Corporation (The) 01/24/14, 0.26%
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1,999,682
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1,500,000
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Pacific Gas and Electric Company
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01/28/14, 0.20%
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1,499,783
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550,000
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Nissan Motor Acceptance Corporation
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01/29/14, 0.27%
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549,889
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625,000
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Prudential plc 02/11/14, 0.16%
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624,889
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2,000,000
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Campbell Soup Company 02/12/14, 0.17%
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1,999,613
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250,000
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Harley-Davidson Financial Services, Inc.
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02/18/14, 0.19%
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249,938
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------------
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31,115,975
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------------
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Variable Rate Security - 0.34%
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2,319,507
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Fidelity Institutional Money Market
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Fund - Class I
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2,319,507
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------------
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TOTAL SHORT-TERM INVESTMENTS
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(cost $33,435,482)
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33,435,482
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------------
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TOTAL INVESTMENTS
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(cost $382,969,958) - 100.01%
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693,141,343
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Page 3
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-------
-
----
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LIABILITIES, NET OF OTHER ASSETS - (0.01)%
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(55,491
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)
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------------
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TOTAL NET ASSETS
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(basis of percentages disclosed
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above) - 100%
|
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$693,085,852
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------------
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------------
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% OF NET ASSETS
* NON-INCOME PRODUCING
As of December 31, 2013, investment cost for federal tax purposes was
$383,095,009 and the tax basis components of unrealized
appreciation/depreciation were as follows:
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|
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Unrealized appreciation
|
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$
311,247,245
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Unrealized depreciation
|
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(1,200,911
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)
|
|
|
------------
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Net unrealized appreciation
|
|
$310,046,334
|
|
|
|
------------
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------------
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For information on the Fund's policies regarding the valuation of
investments and other significant accounting policies, please refer to the
Fund's most recent Semiannual or Annual Report to Shareholders.
Various inputs are used in determining the value of the Fund's investments
relating to Finanacial Accounting Standard No. 157.
The three-tier hierarchy of inputs is summarized in the three broad Levels
listed below.
Level 1 - quoted prices in active markets for identical investments
Level 2 - other significant observable inputs (including quoted prices
for similar investments, interest rates, prepayment speeds,
credit risk, etc.)
Level 3 - significant unobservable inputs (including the Fund’s own
assumptions in determining the fair value of investments)
The inputs or methodology used for valuing securities are not necessarily
an indication of the risk associated with investing in those securities.
The following is a summary of the inputs used as of December 31, 2013 in
valuing the Fund’s investments carried at value:
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Investments
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Valuation Inputs
|
|
in Securities
|
Level 1 -
|
|
|
Common Stocks(1)
|
|
$
659,705,861
|
Variable Rate Security
|
|
2,319,507
|
Level 2 -
|
|
|
Commercial Paper
|
|
31,115,975
|
Level 3 -
|
|
|
None
|
|
--
|
|
|
------------
|
Total
|
|
$693,141,343
|
|
|
------------
|
|
|
------------
|
|
(1) See Schedule above for further detail by industry.
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Page 4
Item 2. Controls and Procedures.
(a) The Fund's principal executive officer and principal financial officer have concluded that the Fund's disclosure controls and procedures are sufficient to ensure that information required to be disclosed by the Fund in this Form N-Q was recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission's rules and forms, based upon such officers' evaluation of these controls and procedures as of a date within 90 days of the filing date of the report.
(b) There were no significant changes or corrective actions with regard to significant deficiencies or material weaknesses in the Fund's internal controls or in other factors that could significantly affect the Fund's internal controls during the last fiscal quarter.
Item 3. Exhibits.
Certifications of Principal Executive Officer and Principal Financial Officer pursuant to Rule 30a-2(a) under the Act, attached hereto as part of EX-99.CERT.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant)
Nicholas II, Inc.
By:
/s/ David O. Nicholas
Name: David O. Nicholas
Title: Principal Executive Officer
Date:
02/07/2014
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By:
/s/ David O. Nicholas
Name: David O. Nicholas
Title: Principal Executive Officer
Date:
02/07/2014
By:
/s/ Jeffrey T. May
Name: Jeffrey T. May
Title: Principal Financial Officer
Date:
02/07/2014
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