13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-09-09, with 643 holding rows worth $122,095,000.
- Accession
- 0001616026-14-000002
- Filer
- CIK 1616026
- Filed
- 2014-09-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 643 entries on the cover page, a total value of $122,095,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $122,095,000 with VALUE read as thousands by filing date, 13F file number 028-16264. 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 |
|---|---|---|---|---|---|---|
| iShares U.S. Technology ETF | 464287721 | SHS | 30 | $3,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10 | $3,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 79 | $3,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 296 | $3,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 120 | $3,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 69 | $3,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 50 | $3,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 40 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 50 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 22 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 26 | $3,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 101 | $3,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 39 | $3,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 56 | $3,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 100 | $3,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 100 | $3,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 400 | $3,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 31 | $3,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 57 | $3,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 106 | $3,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 100 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 30 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 75 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 100 | $3,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 600 | $3,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 105 | $3,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 215 | $3,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 127 | $3,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 130 | $3,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 300 | $3,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 62 | $3,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 30 | $3,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 200 | $3,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 143 | $3,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 200 | $3,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 400 | $3,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $3,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 150 | $3,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 400 | $3,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 375 | $3,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 50 | $3,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 200 | $3,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 108 | $3,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 38 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 20 | $2,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 20 | $2,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 41 | $2,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 14 | $2,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 600 | $2,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 87 | $2,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 42 | $2,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 45 | $2,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 102 | $2,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 100 | $2,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 46 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 100 | $2,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 71 | $2,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 141 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 51 | $2,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 35 | $2,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 6 | $2,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 35 | $2,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 35 | $2,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,000 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 37 | $2,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 64 | $2,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 147 | $2,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 100 | $2,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 100 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 2,000 | $2,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 167 | $2,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 121 | $2,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 15 | $2,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 450 | $2,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 150 | $2,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 315 | $2,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 14 | $1,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 12 | $1,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 13 | $1,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 14 | $1,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 12 | $1,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 32 | $1,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 141 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 440 | $1,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 15 | $1,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 12 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 29 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 313 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 114 | $1,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 215 | $1,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 10 | $1,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 30 | $1,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 45 | $1,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 118 | $1,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 24 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,800 | $1,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 33 | $1,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 26 | $1,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 20 | $1,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 133 | $1,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 28 | $1,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 142 | $1,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 13 | $1,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 31 | $1,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 108 | $1,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 16 | $1,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 100 | $1,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 165 | $1,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 25 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 35 | $1,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 200 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 35 | $1,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 146 | $1,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 32 | $1,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 19 | $1,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 45 | $1,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 20 | $1,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 47 | $1,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 33 | $1,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 1,000 | $1,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 100 | $1,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXELIXIS INC COM | 30161Q104 | Stock | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CINTAS CORP COM | 172908105 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN UN CO COM | 959802109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STARZ | 85571Q102 | COM SER A | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARMONIC INC | 413160102 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKBERRY LTD COM | 09228F103 | Stock | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANTAX INC | 095229100 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STERIS CORP | 859152100 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPIQ SYSTEMS INC | 26882D109 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-14-000002 | this filing | 2014-09-09 | acceptance time not in the bulk data set |