13F-HR filed by NINE MASTS CAPITAL Ltd
NINE MASTS CAPITAL Ltd filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-13, with 289 holding rows worth $515,601,000.
- Accession
- 0001085146-18-001985
- Filer
- CIK 1569356
- Filed
- 2018-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 289 entries on the cover page, a total value of $515,601,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $515,601,000 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 | 94,000,000 | $95,353,000 | thousands by filing date | principal |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 305,822 | $33,417,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 647,065 | $23,657,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 84,952 | $23,046,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 18,000,000 | $22,024,000 | thousands by filing date | principal |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 1,820,078 | $16,089,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 12,227 | $13,807,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 467,000 | $13,557,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 48,240 | $12,189,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 1,325,570 | $11,811,000 | thousands by filing date | |
| XL GROUP LTD | G98294104 | COM | 179,025 | $10,016,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 418,800 | $8,261,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 163,600 | $7,627,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 185,961 | $7,243,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 185,800 | $7,007,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 26,400 | $6,415,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 666,114 | $5,902,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 202,700 | $5,532,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 5,000,000 | $5,272,000 | thousands by filing date | principal |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 354,400 | $4,979,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 821,144 | $4,674,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 81,831 | $4,476,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 135,907 | $4,402,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 161,670 | $4,231,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 18,939 | $4,177,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 307,271 | $4,081,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 278,600 | $4,065,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 1,916 | $3,884,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 809,023 | $3,722,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 760,438 | $3,692,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 132,100 | $3,526,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 174,554 | $3,392,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 31,597 | $3,357,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 34,209 | $3,227,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 128,014 | $2,981,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 206,500 | $2,889,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 19,288 | $2,814,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 99,500 | $2,786,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 230,800 | $2,774,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 75,212 | $2,718,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 102,500 | $2,366,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 273,644 | $2,246,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 15,219 | $2,172,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 126,200 | $2,154,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 233,400 | $2,075,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 99,737 | $2,060,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 136,400 | $1,986,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 40,615 | $1,925,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 21,153 | $1,904,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 204,100 | $1,896,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 13,607 | $1,784,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 20,934 | $1,779,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 262,156 | $1,754,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 3,900 | $1,682,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 189,900 | $1,673,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 12,149 | $1,648,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 23,491 | $1,638,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 204,310 | $1,587,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 7,541 | $1,576,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 144,600 | $1,511,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 139,700 | $1,454,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 13,794 | $1,386,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 172,300 | $1,370,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 21,031 | $1,341,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 2,700 | $1,336,000 | thousands by filing date | put |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 105,900 | $1,332,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 432 | $1,328,000 | thousands by filing date | put |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 10,100 | $1,306,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 107,500 | $1,299,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 92,600 | $1,287,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 32,100 | $1,194,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 44,000 | $1,023,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 13,169 | $998,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 103,100 | $962,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 343,100 | $954,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 1,250 | $938,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 9,332 | $925,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 90,953 | $878,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 50,600 | $845,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,000 | $840,000 | thousands by filing date | put |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 57,300 | $831,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,500 | $821,000 | thousands by filing date | call |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 37,629 | $770,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 26,520 | $756,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 11,185 | $749,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 10,728 | $744,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 17,025 | $741,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 66,873 | $726,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 144,200 | $725,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 50,500 | $724,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 50,300 | $711,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 62,900 | $703,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 20,117 | $699,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 44,400 | $686,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 50,100 | $670,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 275 | $638,000 | thousands by filing date | put |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 67,300 | $636,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 12,393 | $633,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 1,200 | $632,000 | thousands by filing date | call |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 63,400 | $631,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 38,500 | $619,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 52,300 | $610,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 44,800 | $599,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 40 | $598,000 | thousands by filing date | put |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 106,800 | $593,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 129,500 | $554,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 43,100 | $554,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 49,100 | $549,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 103,800 | $543,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 41,200 | $538,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 5,594 | $535,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 8,289 | $511,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 800 | $508,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 38,680 | $506,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 48,900 | $489,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,437 | $479,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 4,110 | $476,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 1,000 | $463,000 | thousands by filing date | put |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 24,277 | $456,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 8,557 | $451,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 5,500 | $438,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 27,100 | $438,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 24,700 | $432,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 650 | $422,000 | thousands by filing date | put |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 18,000 | $418,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 15,800 | $414,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 14,300 | $413,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 2,350 | $408,000 | thousands by filing date | put |
| SKECHERS U S A INC | 830566105 | CL A | 13,400 | $402,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 6,000 | $400,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 400 | $399,000 | thousands by filing date | put |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 2,650 | $399,000 | thousands by filing date | put |
| CROCS INC COM | 227046109 | Stock | 22,400 | $394,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 13,430 | $385,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 525 | $381,000 | thousands by filing date | put |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 850 | $370,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 400 | $368,000 | thousands by filing date | call |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 31,200 | $363,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 1,704 | $362,000 | thousands by filing date | put |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 62,700 | $360,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 27,500 | $349,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 2,400 | $348,000 | thousands by filing date | put |
| Micron Technology,Inc. | 595112103 | COM | 6,257 | $328,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 375 | $326,000 | thousands by filing date | call |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,150 | $325,000 | thousands by filing date | put |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 800 | $320,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 11,260 | $317,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 961 | $311,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 500 | $310,000 | thousands by filing date | call |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 29,600 | $307,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 3,296 | $297,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 1,000 | $285,000 | thousands by filing date | put |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 21,700 | $277,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 11,800 | $276,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 11,900 | $275,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 20,200 | $252,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 2,000 | $251,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 2,400 | $249,000 | thousands by filing date | put |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 19,900 | $248,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 18,800 | $243,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 19,300 | $243,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 21,000 | $242,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 9,947 | $231,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 400 | $222,000 | thousands by filing date | put |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 16,200 | $221,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 15,300 | $220,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 684 | $218,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 1,300 | $215,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 562 | $213,000 | thousands by filing date | put |
| TRI CONTL CORP | 895436103 | COM | 8,028 | $213,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 450 | $212,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 800 | $212,000 | thousands by filing date | call |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 6,300 | $212,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 1,300 | $211,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 1,000 | $205,000 | thousands by filing date | call |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 9,000 | $203,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 2,000 | $200,000 | thousands by filing date | put |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 150 | $197,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 1,574 | $191,000 | thousands by filing date | put |
| MOMO INC | 60879B107 | ADR | 2,450 | $187,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 15,300 | $185,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 1,000 | $185,000 | thousands by filing date | call |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 17,400 | $179,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 1,100 | $174,000 | thousands by filing date | put |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 9,600 | $162,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 10,400 | $162,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 15,100 | $162,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 3,188 | $156,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 6,600 | $152,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 1,400 | $151,000 | thousands by filing date | put |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 225 | $150,000 | thousands by filing date | put |
| CSX Corporation | 126408103 | COM | 900 | $140,000 | thousands by filing date | put |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 22,700 | $137,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 2,200 | $129,000 | thousands by filing date | put |
| SHUTTERFLY INC | 82568P304 | COM | 500 | $129,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 1,000 | $128,000 | thousands by filing date | put |
| Advanced Micro Devices,Inc. | 007903107 | COM | 2,150 | $123,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 250 | $123,000 | thousands by filing date | call |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 8,800 | $120,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 5,100 | $117,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 7,600 | $109,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 6,300 | $103,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 1,760 | $99,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 4,700 | $98,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 11,200 | $98,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 1,268 | $96,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 750 | $95,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 3,332 | $95,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 15,500 | $95,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 7,100 | $94,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 6,400 | $94,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 76 | $93,000 | thousands by filing date | call |
| UNITED STATES STL CORP NEW | 912909108 | COM | 500 | $91,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 4,100 | $89,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 250 | $88,000 | thousands by filing date | put |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 5,000 | $88,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 4,700 | $87,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 1,000 | $85,000 | thousands by filing date | put |
| SPLUNK INC | 848637104 | COM | 300 | $83,000 | thousands by filing date | put |
| ARCONIC INC | 03965L100 | COM | 4,757 | $81,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 582 | $79,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 4,900 | $79,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 8,500 | $79,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 377 | $78,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 438 | $76,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 1,300 | $75,000 | thousands by filing date | put |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 4,900 | $75,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 10,800 | $75,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 9,100 | $73,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 13,100 | $73,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 250 | $72,000 | thousands by filing date | put |
| PIMCO MUN INCOME FD | 72200R107 | COM | 5,500 | $72,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 5,800 | $72,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 150 | $69,000 | thousands by filing date | call |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 3,200 | $69,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 13,200 | $68,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 75 | $66,000 | thousands by filing date | put |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 1,270 | $64,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 8,200 | $62,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 300 | $60,000 | thousands by filing date | put |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 3,000 | $60,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,000 | $58,000 | thousands by filing date | put |
| Lowes Companies,Inc. | 548661107 | COM | 127 | $57,000 | thousands by filing date | put |
| BLOCK INC CL A | 852234103 | Stock | 1,784 | $54,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 110 | $54,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 800 | $50,000 | thousands by filing date | put |
| FLUOR CORP | 343412102 | COM | 297 | $49,000 | thousands by filing date | call |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 2,809 | $41,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 282 | $38,000 | thousands by filing date | call |
| ARCONIC INC | 03965L100 | COM | 192 | $35,000 | thousands by filing date | put |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 63 | $29,000 | thousands by filing date | call |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 150 | $29,000 | thousands by filing date | call |
| APACHE CORP | 037411105 | COM | 104 | $27,000 | thousands by filing date | call |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,300 | $25,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 282 | $21,000 | thousands by filing date | put |
| BUNGE LTD | G16962105 | COM | 400 | $21,000 | thousands by filing date | call |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 350 | $20,000 | thousands by filing date | call |
| TE CONNECTIVITY LTD | H84989104 | SHS | 37 | $19,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 60 | $18,000 | thousands by filing date | call |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 900 | $18,000 | thousands by filing date | call |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 101 | $16,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 30 | $13,000 | thousands by filing date | put |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 150 | $13,000 | thousands by filing date | put |
| ARCONIC INC | 03965L100 | COM | 192 | $12,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 300 | $11,000 | thousands by filing date | call |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,200 | $11,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 113 | $11,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 11 | $7,000 | thousands by filing date | put |
| Altria Group Inc | 02209S103 | COM | 16 | $6,000 | thousands by filing date | call |
| ROYCE VALUE TRUST | 780910105 | COM | 400 | $6,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 1,000 | $6,000 | thousands by filing date | call |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 8 | $6,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 1,052 | $5,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 354 | $5,000 | thousands by filing date | put |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 72 | $4,000 | thousands by filing date | put |
| Altria Group Inc | 02209S103 | COM | 16 | $3,000 | thousands by filing date | put |
| F5 INC COM | 315616102 | Stock | 18 | $3,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 200 | $3,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 55 | $2,000 | thousands by filing date | put |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 3 | $2,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 1,250 | $1,000 | thousands by filing date | put |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 8 | $1,000 | thousands by filing date | put |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 100 | $1,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 30 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| F5 INC COM | 315616102 | Stock | 9 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 93 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TORTOISE MLP FD INC | 89148B119 | RIGHT 07/18/2018 | 90,603 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-001985 | this filing | 2018-08-13 | acceptance time not in the bulk data set |