13F-HR filed by Moors & Cabot, Inc.
Moors & Cabot, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-22, with 670 holding rows worth $907,730,000.
- Accession
- 0001085146-19-002601
- Filer
- CIK 1607239
- Filed
- 2019-10-22
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 670 entries on the cover page, a total value of $907,730,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $907,730,000 with VALUE read as thousands by filing date, 13F file number 028-16128. 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 |
|---|---|---|---|---|---|---|
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 8,830 | $248,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 8,362 | $248,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 7,989 | $246,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 2,284 | $245,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 750 | $245,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 2,025 | $243,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,500 | $242,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 582 | $241,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 10,332 | $241,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 4,635 | $240,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,168 | $239,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 14,161 | $239,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 2,103 | $238,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 4,846 | $238,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 16,250 | $235,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 14,499 | $234,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 871 | $233,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 1,818 | $233,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 51,268 | $233,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 2,733 | $232,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 12,420 | $231,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 7,343 | $230,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 55,784 | $229,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 4,301 | $229,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 9,500 | $229,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 7,655 | $226,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,066 | $225,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 22,250 | $225,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 6,175 | $223,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 16,950 | $222,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 9,825 | $218,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 1,900 | $215,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 3,635 | $214,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 6,629 | $213,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 2,228 | $213,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 15,500 | $212,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 175,600 | $211,000 | thousands by filing date | call |
| HENRY JACK & ASSOC INC | 426281101 | COM | 1,439 | $211,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 3,942 | $210,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 13,934 | $209,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 1,794 | $208,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,016 | $208,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 4,211 | $207,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,752 | $205,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,387 | $204,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 2,825 | $204,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,806 | $203,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 3,863 | $202,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 10,984 | $201,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 16,413 | $198,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 16,877 | $198,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 29,298 | $197,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 93,309 | $197,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 941 | $193,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 18,000 | $186,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 1,671 | $185,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 19,591 | $182,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 58,732 | $181,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 900,000 | $180,000 | thousands by filing date | call |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 14,256 | $179,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 28,662 | $179,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,227 | $167,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 77,093 | $165,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 10,602 | $165,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 11,432 | $162,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 10,000 | $160,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 250,000 | $155,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 22,382 | $152,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 41,700 | $152,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 15,418 | $151,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 25,699 | $150,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 50,000 | $144,000 | thousands by filing date | put |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 120,553 | $144,000 | thousands by filing date | put |
| WILLIAMS COS INC COM | 969457100 | Stock | 600,000 | $144,000 | thousands by filing date | put |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 193,500 | $144,000 | thousands by filing date | put |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 19,000 | $142,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 12,241 | $133,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 60,000 | $124,000 | thousands by filing date | put |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 60,000 | $124,000 | thousands by filing date | call |
| AMCOR PLC | G0250X107 | ORD | 12,750 | $124,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 11,035 | $124,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 21,975 | $124,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 89,200 | $120,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 97,500 | $114,000 | thousands by filing date | call |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 11,500 | $111,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 10,400 | $108,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,200,000 | $104,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 45,000 | $99,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 10,082 | $99,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 26,250 | $99,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 75,000 | $90,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 10,321 | $90,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 12,100 | $86,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 12,800 | $85,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 26,349 | $84,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 120,000 | $81,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 23,000 | $68,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 87,800 | $62,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 40,000 | $62,000 | thousands by filing date | call |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 140,000 | $62,000 | thousands by filing date | call |
| MOHAWK INDS INC | 608190104 | COM | 50,000 | $62,000 | thousands by filing date | call |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,000 | $60,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 97,678 | $58,000 | thousands by filing date | call |
| STAG INDUSTRIAL INC | 85254J102 | COM | 190,000 | $56,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 13,300 | $55,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 12,900 | $52,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 25,500 | $51,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 25,800 | $51,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 23,130 | $46,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 29,503 | $41,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 72,200 | $40,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 37,200 | $39,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 35,150 | $34,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 17,800 | $31,000 | thousands by filing date | call |
| Southern Company | 842587107 | COM | 50,000 | $31,000 | thousands by filing date | call |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 123,717 | $31,000 | thousands by filing date | call |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 50,400 | $31,000 | thousands by filing date | call |
| MDU RES GROUP INC | 552690109 | COM | 110,000 | $31,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 75,000 | $31,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 750,000 | $31,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 130,000 | $31,000 | thousands by filing date | call |
| SUNTRUST BANKS INC | 867914103 | COM | 45,000 | $31,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 46,800 | $30,000 | thousands by filing date | call |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 10,000 | $30,000 | thousands by filing date | call |
| TJX Companies Inc | 872540109 | COM | 53,200 | $30,000 | thousands by filing date | call |
| United Parcel Service,Inc. Class B | 911312106 | COM | 25,000 | $30,000 | thousands by filing date | call |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 63,800 | $30,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 30,000 | $30,000 | thousands by filing date | call |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 80,000 | $30,000 | thousands by filing date | call |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 40,000 | $30,000 | thousands by filing date | call |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 50,000 | $30,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 7,747 | $29,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 35,000 | $29,000 | thousands by filing date | call |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 10,119 | $29,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 20,000 | $29,000 | thousands by filing date | call |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 16,200 | $29,000 | thousands by filing date | call |
| AbbVie,Inc. | 00287Y109 | COM | 35,000 | $27,000 | thousands by filing date | call |
| iShares U.S. Technology ETF | 464287721 | SHS | 13,000 | $27,000 | thousands by filing date | call |
| Starbucks Corporation | 855244109 | COM | 30,000 | $27,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 12,200 | $27,000 | thousands by filing date | call |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 75,000 | $27,000 | thousands by filing date | call |
| CBRE GROUP INC CL A | 12504L109 | Stock | 50,000 | $27,000 | thousands by filing date | call |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 57,700 | $23,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 10,800 | $20,000 | thousands by filing date | call |
| SMUCKER J M CO | 832696405 | COM NEW | 11,100 | $12,000 | thousands by filing date | call |
| F N B CORP | 302520101 | COM | 400 | $11,000 | thousands by filing date | call |
| BP PLC SPONSORED ADR | 055622104 | ADR | 1,000 | $10,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,000 | $9,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,000 | $8,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 2,000 | $8,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 41 | $7,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 200 | $6,000 | thousands by filing date | call |
| TRANSENTERIX INC | 89366M201 | COM NEW | 10,000 | $6,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 200 | $5,000 | thousands by filing date | call |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 100 | $5,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 10,000 | $4,000 | thousands by filing date | call |
| ENBRIDGE INC COM | 29250N105 | Stock | 400 | $4,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 3,000 | $4,000 | thousands by filing date | call |
| ENCANA CORP | 292505104 | COM | 70,000 | $4,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 12,000 | $4,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $3,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,000 | $2,000 | thousands by filing date | put |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 2,500 | $2,000 | thousands by filing date | call |
| Lockheed Martin Corporation | 539830109 | COM | 1,600 | $2,000 | thousands by filing date | put |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,600 | $2,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 400 | $2,000 | thousands by filing date | put |
| Mondelez International,Inc. Class A | 609207105 | COM | 2,900 | $2,000 | thousands by filing date | call |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 900 | $2,000 | thousands by filing date | call |
| Medtronic Plc | G5960L103 | COM | 300 | $1,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 10,500 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002601 | this filing | 2019-10-22 | acceptance time not in the bulk data set |