13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-05, with 617 holding rows worth $131,888,000.
- Accession
- 0001616026-14-000004
- Filer
- CIK 1616026
- Filed
- 2014-11-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 617 entries on the cover page, a total value of $131,888,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $131,888,000 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 |
|---|---|---|---|---|---|---|
| Spectra Energy Partners | 84756N109 | COM | 50 | $3,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 103 | $3,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 215 | $3,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 130 | $3,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 62 | $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 | |
| ATWOOD OCEANICS INC | 050095108 | COM | 72 | $3,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 200 | $3,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 2,200 | $3,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 813 | $3,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 200 | $3,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 20 | $3,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 225 | $3,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 124 | $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 | |
| Waste Management, Inc. | 94106L109 | COM | 50 | $2,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 14 | $2,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 42 | $2,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 55 | $2,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 30 | $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 | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 14 | $2,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 46 | $2,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 141 | $2,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 50 | $2,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 728 | $2,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 100 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 52 | $2,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 295 | $2,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 40 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 50 | $2,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 43 | $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 | |
| GOLDCORP INC NEW | 380956409 | COM | 105 | $2,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 133 | $2,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 2,000 | $2,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 300 | $2,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 32 | $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 | |
| ZWEIG FUND INC. | 989834205 | COM | 102 | $2,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 75 | $2,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 150 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 2,000 | $2,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 250 | $1,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 13 | $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 | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 50 | $1,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 12 | $1,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 13 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 313 | $1,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 215 | $1,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 37 | $1,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 30 | $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 | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 125 | $1,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 33 | $1,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 20 | $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 | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 27 | $1,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 31 | $1,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 60 | $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 | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 35 | $1,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 167 | $1,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 146 | $1,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 1,000 | $1,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 32 | $1,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 21 | $1,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 187 | $1,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 45 | $1,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 47 | $1,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 100 | $1,000 | thousands by filing date | |
| 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 | 35 | $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. |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 15 | $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. |
| V2X INC | 92242T101 | COM | 1 | $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 | 10 | $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. |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANTAX INC | 095229100 | COMMON STOCK | 10 | $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. |
| VERITIV CORP | 923454102 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 10 | $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 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARBINGER GROUP INC | 41146A106 | COM | 32 | $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. |
| ZIX CORP | 98974P100 | COM | 75 | $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. |
| DORAL FINL CORP COM | 25811P852 | COM | 50 | $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. |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIVEO CORP | 178787107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-14-000004 | this filing | 2014-11-05 | acceptance time not in the bulk data set |