13F-HR filed by DRW Securities, LLC
DRW Securities, LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-15, with 166 holding rows worth $1,305,992,000.
- Accession
- 0001481986-13-000008
- Filer
- CIK 1481986
- Filed
- 2013-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 166 entries on the cover page, a total value of $1,305,992,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,305,992,000 with VALUE read as thousands by filing date, 13F file number 028-13722. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerDRW Investments, LLC
- included managerDRW Commodities, LLC
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 3,808,600 | $639,883,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 1,646,500 | $276,628,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 141,300 | $74,871,000 | thousands by filing date | put |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 382,666 | $42,181,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 893,900 | $36,435,000 | thousands by filing date | put |
| RMG Networks Hldgs | 74966K102 | COM | 2,354,650 | $18,790,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 24,700 | $13,088,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 1,006,237 | $12,992,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 68,125 | $7,851,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14,408 | $7,634,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 59,013 | $6,569,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 154,900 | $6,314,000 | thousands by filing date | call |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 46,271 | $5,701,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 56,742 | $5,378,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 70,000 | $5,269,000 | thousands by filing date | put |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 71,835 | $4,590,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 42,958 | $4,171,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 38,960 | $4,147,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 110,783 | $3,972,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 43,771 | $3,875,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 89,797 | $3,861,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 43,738 | $3,823,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 106,005 | $3,699,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 47,359 | $3,646,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 41,492 | $3,521,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 399,000 | $3,427,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 108,891 | $3,163,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 36,559 | $3,033,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 38,682 | $3,007,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 28,000 | $2,985,000 | thousands by filing date | call |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 36,047 | $2,949,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 133,811 | $2,621,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 17,972 | $2,585,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 21,026 | $2,395,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 24,971 | $2,338,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 80,100 | $2,189,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 43,145 | $1,976,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 17,276 | $1,955,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 26,603 | $1,947,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 28,000 | $1,924,000 | thousands by filing date | call |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 34,027 | $1,772,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 180,000 | $1,746,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 23,889 | $1,665,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 169,000 | $1,572,000 | thousands by filing date | call |
| ARES CAPITAL CORP | 04010L103 | COM | 88,000 | $1,549,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 24,000 | $1,537,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 517,613 | $1,496,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 82,000 | $1,492,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 20,000 | $1,475,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 20,000 | $1,475,000 | thousands by filing date | put |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 17,400 | $1,443,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 17,758 | $1,438,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 13,147 | $1,431,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 19,600 | $1,347,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 10,652 | $1,329,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 15,553 | $1,244,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 19,133 | $1,145,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 11,040 | $1,134,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 20,271 | $1,134,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 80,500 | $1,107,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 15,123 | $1,009,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 33,730 | $965,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 24,657 | $957,000 | thousands by filing date | |
| MGC | 921910873 | COM | 15,566 | $938,000 | thousands by filing date | |
| PROSHARES TR | 74348A103 | PSHS ULTSHT INDL | 60,524 | $921,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 13,488 | $916,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 6,104 | $882,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 18,625 | $792,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 8,400 | $781,000 | thousands by filing date | call |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 11,636 | $743,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 57,100 | $737,000 | thousands by filing date | call |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 149,100 | $735,000 | thousands by filing date | |
| ELAN PLC | 284131208 | ADR | 45,000 | $726,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 8,787 | $717,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 6,296 | $664,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 10,000 | $661,000 | thousands by filing date | call |
| ISHARES TR | 464288620 | SHS | 5,895 | $640,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 6,619 | $637,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 20,503 | $636,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 8,644 | $631,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 18,613 | $619,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 2,500 | $615,000 | thousands by filing date | put |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 5,454 | $609,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 11,526 | $607,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 21,574 | $582,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 11,304 | $572,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 8,390 | $568,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 4,946 | $564,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 11,967 | $545,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 10,781 | $535,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 6,334 | $516,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 9,663 | $512,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 44,063 | $501,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 4,682 | $499,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 60,300 | $497,000 | thousands by filing date | call |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 41,230 | $482,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 23,611 | $463,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 23,130 | $441,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 15,700 | $421,000 | thousands by filing date | call |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 15,400 | $413,000 | thousands by filing date | put |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 11,759 | $405,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 6,368 | $388,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 31,272 | $375,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 5,901 | $374,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 4,603 | $362,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 10,873 | $355,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 4,074 | $343,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 13,664 | $337,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,789 | $322,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 9,120 | $322,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 190,000 | $321,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,500 | $320,000 | thousands by filing date | call |
| iShares TIPS Bond ETF | 464287176 | SHS | 2,775 | $315,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 2,473 | $313,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 9,511 | $300,000 | thousands by filing date | |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 15,800 | $300,000 | thousands by filing date | call |
| BROADCOM CORP | 111320107 | CL A | 10,750 | $291,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 26,000 | $288,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 5,718 | $287,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T613 | VELSHS DLY SHTRM | 24,496 | $277,000 | thousands by filing date | |
| PROSHARES TR | 74347R537 | PSHS ULT1000 GRW | 2,701 | $269,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 6,996 | $268,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 23,849 | $263,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 30,000 | $258,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 3,310 | $255,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 5,220 | $254,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 3,292 | $249,000 | thousands by filing date | |
| PROSHARES TR | 74347X104 | UL RUS3000 ETF | 3,311 | $247,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 5,779 | $237,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 11,195 | $237,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 80,012 | $236,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 3,429 | $234,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 11,000 | $229,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 12,299 | $229,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 5,050 | $220,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 4,174 | $217,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 2,565 | $202,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 14,943 | $197,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 111,000 | $194,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 13,345 | $167,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 12,404 | $159,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 11,993 | $154,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 12,044 | $151,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 11,000 | $141,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 10,476 | $136,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 10,000 | $132,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 59,822 | $129,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 53,206 | $129,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 10,000 | $125,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 40,000 | $117,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 35,000 | $114,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 20,000 | $103,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 10,000 | $100,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 39,660 | $100,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 70,000 | $98,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 18,005 | $92,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 20,002 | $85,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 37,640 | $84,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,000 | $78,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 41,250 | $70,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 25,000 | $56,000 | thousands by filing date | call |
| DENDREON CORP | 24823Q107 | COM | 18,272 | $51,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 12,000 | $50,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 71,000 | $47,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 32,500 | $46,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 10,214 | $25,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001481986-13-000008 | this filing | 2013-11-15 | acceptance time not in the bulk data set |