13F-HR filed by NINE MASTS CAPITAL Ltd
NINE MASTS CAPITAL Ltd filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-15, with 76 holding rows worth $498,102,000.
- Accession
- 0001085146-16-004879
- Filer
- CIK 1569356
- Filed
- 2016-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 76 entries on the cover page, a total value of $498,102,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $498,102,000 with VALUE read as thousands by filing date, 13F file number 028-16783. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 7,464,920 | $49,766,000 | thousands by filing date | |
| SOUFUN HLDGS LTD | 836034AB4 | NOTE 2.000%12/1 | 45,000,000 | $44,719,000 | thousands by filing date | principal |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 1,252,216 | $40,666,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 30,000,000 | $32,663,000 | thousands by filing date | principal |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 919,254 | $28,120,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000,000 | $25,838,000 | thousands by filing date | principal |
| TSL 3.5 06/19 | 89628EAC8 | Bond30E/360P2 U | 24,150,000 | $23,637,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 20,000,000 | $22,575,000 | thousands by filing date | principal |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 467,286 | $17,217,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 2,645,314 | $15,861,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 1,880,709 | $14,327,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,654,891 | $11,680,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 478,690 | $10,498,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 1,813,630 | $9,034,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 255,046 | $8,748,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 625,000 | $8,694,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 688,396 | $8,264,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 209,170 | $7,459,000 | thousands by filing date | |
| YY INC | 98426TAB2 | NOTE 2.250 4/0 | 7,000,000 | $6,934,000 | thousands by filing date | principal |
| LEXMARK INTL NEW | 529771107 | CL A | 164,094 | $6,557,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 102,129 | $5,441,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 202,700 | $5,276,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 136,600 | $5,016,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 40,700 | $5,013,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 59,500 | $5,006,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 44,500 | $5,003,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 61,845 | $4,999,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 42,400 | $4,970,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 173,048 | $4,928,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 90,084 | $4,646,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 67,900 | $4,108,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 96,900 | $3,903,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 39,600 | $3,471,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 45,944 | $3,447,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 143,498 | $3,349,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 38,000 | $3,061,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 97,422 | $2,825,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 55,800 | $2,613,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 164,170 | $2,448,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 98,809 | $2,368,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 38,200 | $2,368,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 100,000 | $2,321,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 228,425 | $1,983,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 121,989 | $1,672,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 64,808 | $1,543,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 116,670 | $1,490,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 55,941 | $1,075,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 80,000 | $1,031,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 18,250 | $957,000 | thousands by filing date | put |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 80,756 | $809,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 200,300 | $735,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 70,700 | $600,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 114,657 | $587,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 4,700 | $583,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 48,104 | $479,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 29,335 | $477,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 37,651 | $407,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 22,400 | $383,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 35,088 | $362,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 19,000 | $353,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 30,350 | $334,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 34,711 | $327,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,020 | $312,000 | thousands by filing date | put |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 21,260 | $280,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 15,520 | $248,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 32,641 | $194,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 28,500 | $182,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 20,883 | $175,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,300 | $173,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 12,596 | $159,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 14,143 | $151,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 18,256 | $79,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 4,241 | $62,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 6,582 | $41,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 1,416 | $21,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 7 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004879 | this filing | 2016-11-15 | acceptance time not in the bulk data set |