13F-HR filed by NINE MASTS CAPITAL Ltd
NINE MASTS CAPITAL Ltd filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-11, with 179 holding rows worth $840,130,000.
- Accession
- 0001085146-17-001749
- Filer
- CIK 1569356
- Filed
- 2017-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 179 entries on the cover page, a total value of $840,130,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $840,130,000 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 |
|---|---|---|---|---|---|---|
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 96,500,000 | $102,169,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 78,720 | $73,184,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 1,808,684 | $63,232,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 1,037,471 | $56,521,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,120,800 | $44,507,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 35,000,000 | $40,491,000 | thousands by filing date | principal |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 4,483,163 | $40,298,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 30,000,000 | $34,181,000 | thousands by filing date | principal |
| FOX CORP CLASS B | 90130A200 | COM | 1,122,361 | $31,280,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000,000 | $28,313,000 | thousands by filing date | principal |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 810,998 | $27,256,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 20,000,000 | $24,463,000 | thousands by filing date | principal |
| VALE S A | 91912E105 | SPONSORED ADS | 2,415,425 | $21,135,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 9,501,197 | $14,938,000 | thousands by filing date | put |
| AKORN INC | 009728106 | COM | 375,504 | $12,594,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 143,311 | $12,455,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 194,900 | $10,548,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 93,727 | $10,258,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 161,768 | $10,159,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 93,700 | $10,083,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 182,666 | $9,552,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 1,179,995 | $9,181,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 1,004,730 | $8,028,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 425,417 | $7,338,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 17,106 | $7,118,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 185,400 | $7,060,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 55,713 | $6,886,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 106,430 | $6,351,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 406,000 | $6,032,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 37,941 | $5,836,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 841,568 | $5,035,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 775,800 | $4,979,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 311,100 | $4,519,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 118,274 | $4,230,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 63,196 | $3,963,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 169,764 | $3,759,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 32,941 | $3,540,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 15,745 | $3,278,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 21,075 | $3,047,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 77,475 | $3,002,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 110,400 | $2,464,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 15,480 | $2,371,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 25,948 | $2,299,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 16,757 | $1,889,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 33,723 | $1,828,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 6,655 | $1,806,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 116,200 | $1,774,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 20,924 | $1,629,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 6,133 | $1,574,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 26,500 | $1,406,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 14,092 | $1,323,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 3,000 | $1,305,000 | thousands by filing date | put |
| LIBERTY INTERACTIVE LLC | 530610AD6 | NOTE 1.750% 9/1 | 1,000,000 | $1,148,000 | thousands by filing date | principal |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 26,168 | $1,135,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 157,798 | $1,058,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 231,600 | $1,056,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 66,300 | $1,055,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 8,088 | $988,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 300 | $969,000 | thousands by filing date | put |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 111,600 | $961,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,899 | $933,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 61,300 | $911,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 14,346 | $898,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 104,600 | $838,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 75,100 | $823,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 11,200 | $715,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 62,100 | $700,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 2,600 | $691,000 | thousands by filing date | put |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 54,500 | $655,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 89,800 | $646,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 42,000 | $641,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 22,733 | $619,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 700 | $608,000 | thousands by filing date | put |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 14,454 | $598,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 4,158 | $596,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 56,100 | $583,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 6,650 | $583,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 400 | $579,000 | thousands by filing date | call |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 125 | $501,000 | thousands by filing date | put |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 1,000 | $485,000 | thousands by filing date | put |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 7,040 | $431,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,600 | $422,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 2,000 | $419,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 804 | $412,000 | thousands by filing date | put |
| PVH CORPORATION COM | 693656100 | Stock | 3,600 | $412,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 13,900 | $410,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 11,034 | $408,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 11,200 | $406,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 8,500 | $402,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 11,700 | $393,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 2,400 | $393,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 4,500 | $392,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 6,600 | $389,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 2,543 | $360,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 13,291 | $359,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 25,700 | $356,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,500 | $339,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701107 | COM | 900 | $329,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 300 | $319,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 9,554 | $299,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 23,273 | $297,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,400 | $291,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 300 | $264,000 | thousands by filing date | put |
| UNITED RENTALS INC COM | 911363109 | Stock | 800 | $242,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 317 | $238,000 | thousands by filing date | put |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 10,200 | $234,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 3,850 | $230,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 759 | $222,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 750 | $218,000 | thousands by filing date | call |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,979 | $209,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 25,700 | $204,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,600 | $196,000 | thousands by filing date | put |
| Eaton Corp. Plc | G29183103 | COM | 1,700 | $196,000 | thousands by filing date | put |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 3,212 | $191,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,500 | $188,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 559 | $184,000 | thousands by filing date | call |
| CARDINAL HEALTH INC | 14149Y108 | COM | 2,346 | $183,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 13,400 | $180,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 7,323 | $170,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 8,500 | $170,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 500 | $169,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 2,541 | $162,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 700 | $158,000 | thousands by filing date | put |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 12,000 | $142,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 2,114 | $141,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 350 | $138,000 | thousands by filing date | call |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 12,100 | $121,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 100 | $119,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,473 | $118,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 200 | $113,000 | thousands by filing date | put |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 7,200 | $112,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $110,000 | thousands by filing date | put |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 10,100 | $110,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 1,000 | $108,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $107,000 | thousands by filing date | call |
| MOMO INC | 60879B107 | ADR | 345 | $107,000 | thousands by filing date | put |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 7,400 | $106,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 1,000 | $94,000 | thousands by filing date | call |
| MYLAN NV | N59465109 | SHS EURO | 2,405 | $93,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 650 | $89,000 | thousands by filing date | put |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 6,000 | $77,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 4,700 | $76,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 8,300 | $75,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 7,700 | $74,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 1,000 | $73,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,000 | $67,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 800 | $62,000 | thousands by filing date | put |
| INGERSOLL-RAND PLC | G47791101 | SHS | 681 | $62,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 1,000 | $60,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 628 | $57,000 | thousands by filing date | put |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 4,500 | $57,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 260 | $52,000 | thousands by filing date | call |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 415 | $49,000 | thousands by filing date | put |
| LAM RESEARCH CORP | 512807108 | COM | 65 | $48,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 448 | $45,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 203 | $44,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 600 | $36,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 500 | $35,000 | thousands by filing date | put |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 300 | $29,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 50 | $29,000 | thousands by filing date | put |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 300 | $26,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 300 | $23,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 628 | $18,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 100 | $16,000 | thousands by filing date | put |
| EMERSON ELEC CO COM | 291011104 | Stock | 101 | $15,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 300 | $14,000 | thousands by filing date | put |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,020 | $12,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 101 | $12,000 | thousands by filing date | put |
| CARDINAL HEALTH INC | 14149Y108 | COM | 161 | $10,000 | thousands by filing date | put |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 100 | $10,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 100 | $9,000 | thousands by filing date | call |
| MYLAN NV | N59465109 | SHS EURO | 100 | $9,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701107 | COM | 150 | $8,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 34 | $6,000 | thousands by filing date | call |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 45 | $5,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 1,000 | $4,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 203 | $4,000 | thousands by filing date | call |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 260 | $4,000 | thousands by filing date | put |
| INGERSOLL-RAND PLC | G47791101 | SHS | 42 | $4,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-001749 | this filing | 2017-08-11 | acceptance time not in the bulk data set |