13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-03, with 672 holding rows worth $151,673,000.
- Accession
- 0001616026-17-000002
- Filer
- CIK 1616026
- Filed
- 2017-02-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 672 entries on the cover page, a total value of $151,673,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $151,673,000 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 |
|---|---|---|---|---|---|---|
| VENTAS INC COM | 92276F100 | REIT | 55 | $3,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 33 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 80 | $3,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 876 | $3,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 580 | $3,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 33 | $3,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 248 | $3,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 25 | $3,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 93 | $3,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 150 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 247 | $3,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 65 | $3,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 300 | $3,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 74 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 35 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 105 | $3,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 128 | $3,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 40 | $3,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 885 | $3,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 127 | $3,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 64 | $3,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 589 | $3,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 100 | $3,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 1,030 | $3,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 100 | $3,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 200 | $3,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 500 | $3,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 2,000 | $3,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 175 | $3,000 | thousands by filing date | principal |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 40 | $2,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 5 | $2,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 545 | $2,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 50 | $2,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 23 | $2,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 50 | $2,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 25 | $2,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 10 | $2,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 32 | $2,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 55 | $2,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 58 | $2,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 141 | $2,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 39 | $2,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 25 | $2,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 700 | $2,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 60 | $2,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 1,071 | $2,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 287 | $2,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 40 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 45 | $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 | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 75 | $2,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 250 | $2,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 50 | $2,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 14 | $2,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 36 | $2,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 27 | $2,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 295 | $2,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 80 | $2,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 102 | $2,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 560 | $2,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 33 | $2,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 115 | $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 | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 50 | $2,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 750 | $2,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 115 | $2,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 150 | $2,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $2,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 133 | $2,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 50 | $2,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 250 | $2,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 100 | $2,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 500 | $2,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 338 | $2,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 141 | $2,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 559 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $2,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 25 | $2,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 67 | $2,000 | thousands by filing date | principal |
| Seadrill Partners, LLC | Y7545W109 | LTD | 515 | $2,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 875 | $2,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 98 | $2,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 121 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 100 | $2,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 599 | $2,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 102 | $2,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 112 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 125 | $2,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 2,500 | $2,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 127 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 95 | $2,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 77 | $2,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 15 | $1,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 17 | $1,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 81 | $1,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 112 | $1,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 36 | $1,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 16 | $1,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 26 | $1,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 160 | $1,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 30 | $1,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 22 | $1,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 46 | $1,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 20 | $1,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 154 | $1,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 16 | $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 | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 39 | $1,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 34 | $1,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 71 | $1,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 95 | $1,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 86 | $1,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 23 | $1,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 100 | $1,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 20 | $1,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 40 | $1,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 1,000 | $1,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 72 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *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 | |
| WHITING PETE CORP NEW | 966387102 | COM | 70 | $1,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 375 | $1,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 500 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K778 | SEMICONDUCT BEAR | 100 | $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. |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR S&P Homebuilders ETF | 78464A888 | 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 | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 7 | $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. |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROCS INC COM | 227046109 | Stock | 25 | $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. |
| ROYAL GOLD INC | 780287108 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 313 | $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. |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RMR GROUP INC | 74967R106 | CL A | 1 | $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. |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 100 | $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. |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| STERIS PLC | G84720104 | SHS USD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUALITY CARE PPTYS INC | 747545101 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERITIV CORP | 923454102 | COM | 3 | $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. |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 165 | $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. |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMERCEHUB INC | 20084V306 | COM SER C | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMERCEHUB INC | 20084V108 | COM SER A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIVEO CORP CDA | 17878Y108 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 109 | $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. |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 101 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-17-000002 | this filing | 2017-02-03 | acceptance time not in the bulk data set |