13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-02, with 680 holding rows worth $127,890,000.
- Accession
- 0001616026-15-000004
- Filer
- CIK 1616026
- Filed
- 2015-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 680 entries on the cover page, a total value of $127,890,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $127,890,000 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 |
|---|---|---|---|---|---|---|
| COLUMBIA BKG SYS INC | 197236102 | COM | 106 | $3,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 71 | $3,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 90 | $3,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 101 | $3,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 93 | $3,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 6 | $3,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 150 | $3,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 1,008 | $3,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 560 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 85 | $3,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 128 | $3,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 390 | $3,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 589 | $3,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 500 | $3,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 577 | $3,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 67 | $3,000 | thousands by filing date | principal |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 500 | $3,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 94 | $3,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 100 | $3,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 20 | $2,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 50 | $2,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 14 | $2,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 43 | $2,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 58 | $2,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 33 | $2,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 15 | $2,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 36 | $2,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 45 | $2,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 263 | $2,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 55 | $2,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 58 | $2,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 100 | $2,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 14 | $2,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 172 | $2,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 28 | $2,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 122 | $2,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 145 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 15 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 20 | $2,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 170 | $2,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 44 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 46 | $2,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 100 | $2,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 1,095 | $2,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 33 | $2,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 52 | $2,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 37 | $2,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 295 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 20 | $2,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 34 | $2,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 54 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 67 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 100 | $2,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 64 | $2,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 304 | $2,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 252 | $2,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 133 | $2,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 76 | $2,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 130 | $2,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 338 | $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 | |
| STILLWATER MINING CO | 86074Q102 | COM | 200 | $2,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 599 | $2,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 85 | $2,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 30 | $2,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 252 | $2,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 300 | $2,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 75 | $2,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 175 | $2,000 | thousands by filing date | principal |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 20 | $1,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 11 | $1,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 13 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 33 | $1,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 38 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 13 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 15 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 9 | $1,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 14 | $1,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 112 | $1,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 170 | $1,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 26 | $1,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 30 | $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 | |
| GAP INC COM | 364760108 | Stock | 46 | $1,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 350 | $1,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 90 | $1,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 45 | $1,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 15 | $1,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 50 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 313 | $1,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 14 | $1,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 14 | $1,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 67 | $1,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 200 | $1,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 95 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,800 | $1,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 26 | $1,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 24 | $1,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 86 | $1,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 33 | $1,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 23 | $1,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 25 | $1,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 20 | $1,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 87 | $1,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 31 | $1,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 400 | $1,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 25 | $1,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 400 | $1,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 100 | $1,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 16 | $1,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 40 | $1,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 200 | $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 | |
| ATWOOD OCEANICS INC | 050095108 | COM | 72 | $1,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 1,500 | $1,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 34 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 14 | $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 | |
| SOLARCITY CORP | 83416T100 | COM | 32 | $1,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 1,250 | $1,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 1,000 | $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 | 48 | $1,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 102 | $1,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 1,400 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 150 | $1,000 | thousands by filing date | |
| Liberty Media Corp | 531229300 | COMMON STOCK | 28 | $1,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 68 | $1,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 800 | $1,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Communication Services ETF | 92204A884 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METLIFE INC COM | 59156R108 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 440 | $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. |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 2 | $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. |
| TERADATA CORP DEL | 88076W103 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TWITTER INC | 90184L102 | COM | 13 | $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. |
| UNISYS CORP | 909214306 | COMMON STOCK | 24 | $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. |
| HARRIS CORP INC | 413875105 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALYARD HEALTH INC | 40650V100 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 40 | $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. |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 6 | $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. |
| QLT INC | 746927102 | COMMON STOCK | 50 | $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. |
| VIRNETX HLDG CORP | 92823T108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 35 | $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. |
| QLOGIC CORP | 747277101 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPIQ SYSTEMS INC | 26882D109 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD | 92205F106 | Domestic Common | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 22 | $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. |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 4 | $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. |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMY INTL INC NEW | 75971M108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HRG GROUP INC COM | 40434J100 | Stock | 32 | $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. |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-15-000004 | this filing | 2015-11-02 | acceptance time not in the bulk data set |