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13F-HR filed by Tradewinds Capital Management, LLC

Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-11, with 695 holding rows worth $319,417,000.

Accession
0001616026-20-000003
Filed
2020-05-11
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q1 2020

A holdings report, 695 entries on the cover page, a total value of $319,417,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $319,417,000 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 filedCUSIPClassAmountValueValue read asType
ESSENTIAL UTILS INC COM29670G102Stock67$3,000thousands by filing date
RAMBUS INC DEL COM750917106Stock296$3,000thousands by filing date
WABTEC COM929740108Stock61$3,000thousands by filing date
TWILIO INC CL A90138F102Stock33$3,000thousands by filing date
DIGITAL RLTY TR INC COM253868103REIT21$3,000thousands by filing date
ROKU INC COM CL A77543R102Stock40$3,000thousands by filing date
EVERCORE INC CLASS A29977A105Stock55$3,000thousands by filing date
UNITED THERAPEUTICS CORP DEL COM91307C102Stock32$3,000thousands by filing date
PG&E CORP COM69331C108Stock380$3,000thousands by filing date
RADIAN GROUP INC COM750236101Stock235$3,000thousands by filing date
CRISPR THERAPEUTICS AG NAMEN AKTH17182108Stock60$3,000thousands by filing date
ISHARES TR464287796U.S. ENERGY ETF200$3,000thousands by filing date
MPLX LP55336V100COM UNIT REP LTD226$3,000thousands by filing date
PLAINS ALL AMERN PIPELINE L726503105UNIT LTD PARTN500$3,000thousands by filing date
SELECT SECTOR SPDR TR81369Y704INDL50$3,000thousands by filing date
GARRETT MOTION INC366505105COM1,057$3,000thousands by filing date
PAPA JOHNS INTL INC698813102COM50$3,000thousands by filing date
SMUCKER J M CO832696405COM NEW29$3,000thousands by filing date
WYNN RESORTS LTD983134107COM50$3,000thousands by filing date
ROYAL DUTCH SHELL PLC SPN ADR780259107SPON ADR B85$3,000thousands by filing date
SLACK TECHNOLOGIES INC83088V102COM CL A112$3,000thousands by filing date
DB GOLD DOUBLE LONG ETN25154H749DB GOLD DBL LNG100$3,000thousands by filing date
GLOBAL X FDS37950E473GLBL X MLP ETF830$3,000thousands by filing date
MICROBOT MED INC59503A204COM NEW591$3,000thousands by filing date
INVESCO46138J825EXCHANGE TRADED140$3,000thousands by filing date
DENBURY RES INC247916208COM NEW17,235$3,000thousands by filing date
INOVIO PHARMACEUTICALS INC45773H201COM NEW338$3,000thousands by filing date
SILVERCREST METALS INC828363101COM670$3,000thousands by filing date
YAMANA GOLD INC98462Y100COM1,030$3,000thousands by filing date
Empire State Realty Trust, Inc.292104106Class A Common Stock, $0.01 par value per share229$2,000thousands by filing date
Energy Select Sector SPDR Fund81369Y506SHS86$2,000thousands by filing date
Goldman Sachs Group,Inc.38141G104COM13$2,000thousands by filing date
iShares U.S. Aerospace & Defense ETF464288760SHS14$2,000thousands by filing date
TRINITY INDS INC896522109COM100$2,000thousands by filing date
KINROSS GOLD CORP496902404COM545$2,000thousands by filing date
NEWMONT CORP651639106COM49$2,000thousands by filing date
ISHARES TR464288513IBOXX HI YD ETF30$2,000thousands by filing date
BALLARD PWR SYS INC NEW COM058586108Stock270$2,000thousands by filing date
KIMBERLY-CLARK CORP COM494368103Stock19$2,000thousands by filing date
IAMGOLD CORP COM450913108Stock705$2,000thousands by filing date
JOHNSON CTLS INTL PLC SHSG51502105Stock83$2,000thousands by filing date
FRANCO NEV CORP COM351858105Stock17$2,000thousands by filing date
XYLEM INC COM98419M100Stock32$2,000thousands by filing date
BANK NOVA SCOTIA B C COM064149107Stock55$2,000thousands by filing date
NUTRIEN LTD COM67077M108Stock56$2,000thousands by filing date
EXELON CORP COM30161N101Stock58$2,000thousands by filing date
DOCUSIGN INC COM256163106Stock27$2,000thousands by filing date
ISHARES RUSSELL 1000 VALUE ETF464287598ETF24$2,000thousands by filing date
AMBEV SA SPONSORED ADR02319V103ADR1,044$2,000thousands by filing date
DXC TECHNOLOGY CO COM23355L106Stock171$2,000thousands by filing date
HARMONY GOLD MINING CO LTD SPONSORED ADR413216300ADR1,071$2,000thousands by filing date
ENERGY TRANSFER L P29273V100COM UT LTD PTN500$2,000thousands by filing date
PIMCO DYNAMIC INCOME FD72201Y101SHS100$2,000thousands by filing date
INVESCO EXCH TRADED FD TR II46138E354S&P500 LOW VOL35$2,000thousands by filing date
INVESCO EXCHANGE TRADED FD T46137V282S&P500 EQL TEC11$2,000thousands by filing date
GREENBRIER COS INC393657101COM100$2,000thousands by filing date
ISHARES TR464287606S&P MC 400GR ETF13$2,000thousands by filing date
CIA ENERGETICA DE MINAS GERA204409601SP ADR N-V PFD1,095$2,000thousands by filing date
EDITAS MEDICINE INC28106W103COM100$2,000thousands by filing date
ENERGY FUELS INC292671708COM NEW1,550$2,000thousands by filing date
POST HLDGS INC737446104COM30$2,000thousands by filing date
UNDER ARMOUR INC904311206CL C212$2,000thousands by filing date
ISHARES TR464287564SELECT US REIT25$2,000thousands by filing date
TANGER INC875465106COM400$2,000thousands by filing date
MICROVISION INC DEL594960304COM NEW14,063$2,000thousands by filing date
NEW ORIENTAL EDUCATION & TECHN647581107SPON ADR15$2,000thousands by filing date
SIRIUS XM HOLDINGS INC82968B103COM500$2,000thousands by filing date
PERSPECTA INC715347100COM85$2,000thousands by filing date
TRUEBLUE INC89785X101COM150$2,000thousands by filing date
DIREXION SHS TR ETF DAILY S&P OIL & GAS EXP & PROD BULL 2X25460G500ETF143$2,000thousands by filing date
SPROTT ETF TRUST85210B102GOLD MINERS ETF95$2,000thousands by filing date
TABULA RASA HEALTHCARE INC873379101COMMON STOCK30$2,000thousands by filing date
FORTUNA MNG CORP F349915108COM750$2,000thousands by filing date
SPECTRUM PHARMACEUTICALS INC84763A108COM700$2,000thousands by filing date
DIREXION SHS ETF TR25460E844DLY GOLD INDX 3X305$2,000thousands by filing date
DIREXION SHS ETF TR25460E562DAILY TECHNOLOGY300$2,000thousands by filing date
DIREXION DAILY S&P OIL & GAS EXP. & PROD. BEAR 2X SHARES25460E174ETF100$2,000thousands by filing date
CAPITAL ONE FINL CORP14040H105COM20$1,000thousands by filing date
Vanguard High Dividend Yield ETF921946406SHS21$1,000thousands by filing date
FERRARI N VN3167Y103COM6$1,000thousands by filing date
RESTAURANT BRANDS INTL INC COM76131D103Stock30$1,000thousands by filing date
ARCOSA INC COM039653100Stock33$1,000thousands by filing date
GENERAL MTRS CO COM37045V100Stock37$1,000thousands by filing date
ITT INC COM45073V108Stock16$1,000thousands by filing date
SONY GROUP CORP SPONSORED ADR835699307ADR25$1,000thousands by filing date
TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10294821608ADR160$1,000thousands by filing date
CMB.TECH NV SHSB38564108Stock98$1,000thousands by filing date
BERKLEY W R CORP COM084423102Stock25$1,000thousands by filing date
DEVON ENERGY CORP NEW COM25179M103Stock100$1,000thousands by filing date
VODAFONE GROUP PLC SPONSORED ADR92857W308ADR54$1,000thousands by filing date
CENTENE CORP DEL COM15135B101Stock14$1,000thousands by filing date
GRAPHIC PACKAGING HLDG CO COM388689101Stock50$1,000thousands by filing date
SIMON PPTY GROUP INC NEW COM828806109REIT17$1,000thousands by filing date
ULTA BEAUTY INC COM90384S303Stock6$1,000thousands by filing date
GOLD FIELDS LTD SPONSORED ADR38059T106ADR125$1,000thousands by filing date
TOYOTA MOTOR CORP ADS892331307ADR10$1,000thousands by filing date
CINTAS CORP COM172908105Stock4$1,000thousands by filing date
TRANSOCEAN LTD REGISTERED SHSH8817H100Stock1,144$1,000thousands by filing date
PERRIGO CO PLC SHSG97822103Stock18$1,000thousands by filing date
HEALTHPEAK PROPERTIES INC COM42250P103REIT23$1,000thousands by filing date
TELEFONICA S A SPONSORED ADR879382208ADR154$1,000thousands by filing date
OSISKO GOLD ROYALTIES LTD68827L101COM90$1,000thousands by filing date
HECLA MNG CO422704106COM580$1,000thousands by filing date
SSR MINING IN784730103COM91$1,000thousands by filing date
SNAP INC83304A106CL A70$1,000thousands by filing date
ISHARES INC MSCI SPAIN ETF464286764MSCI SPAIN ETF62$1,000thousands by filing date
APOGEE ENTERPRISES INC037598109COM71$1,000thousands by filing date
BREAD FINANCIAL HOLDINGS INC018581108COM26$1,000thousands by filing date
BRIGHTHOUSE FINL INC10922N103COM24$1,000thousands by filing date
JBT MAREL CORPORATION477839104COM12$1,000thousands by filing date
AGNT INC30212W100COM120$1,000thousands by filing date
CRONOS GROUP INC22717L101COM177$1,000thousands by filing date
REDWOOD TRUST INC758075402COM270$1,000thousands by filing date
GLOBAL X FDS37954Y855LITHIUM BTRY ETF27$1,000thousands by filing date
DUKE REALTY CORP264411505COM NEW33$1,000thousands by filing date
GOODYEAR TIRE & RUBBER CO382550101COM120$1,000thousands by filing date
H&E EQUIPMENT SERVICES INC404030108COM51$1,000thousands by filing date
INTELLIA THERAPEUTICS INC45826J105COM100$1,000thousands by filing date
VANECK ETF TRUST92189H300JP MRGAN EM LOC49$1,000thousands by filing date
BIOTELEMETRY INC090672106COM34$1,000thousands by filing date
BLACKROCK CAP INVT CORP092533108COM500$1,000thousands by filing date
OFFICE PPTYS INCOME TR67623C109COM SHS BEN INT53$1,000thousands by filing date
FIDUCIARY CLAYMORE ENGRY INF31647Q106COM475$1,000thousands by filing date
MICRO FOCUS INTL PLC594837403SPON ADR NEW227$1,000thousands by filing date
PACWEST BANCORP DEL695263103COM30$1,000thousands by filing date
PIPER SANDLER COMPANIES724078100COM28$1,000thousands by filing date
PROSHARES TR74347R693PSHS ULTRA TECH10$1,000thousands by filing date
UNIVERSAL INS HLDGS INC91359V107COM53$1,000thousands by filing date
GOLDMAN SACHS MLP ENERGY REN38148G107COM1,406$1,000thousands by filing date
8X8 INC282914100COMMON STOCK65$1,000thousands by filing date
UNITED STATES COMMODITY INDE911717106Common Stock50$1,000thousands by filing date
GOPRO INC38268T103CL A200$1,000thousands by filing date
PROSHARES TR74347B235PSHS SHORT DOW3014$1,000thousands by filing date
PROSHARES TR74347R735PSHS ULT HLTHCRE12$1,000thousands by filing date
ADVISORSHARES00768Y883EXCHANGE TRADED200$1,000thousands by filing date
AURORA CANNABIS INC05156X108COMMON STOCK-FO1,648$1,000thousands by filing date
BROOKFIELD INFRASTRUCT FCLASS A11275Q107FOREIGN CANADIAN33$1,000thousands by filing date
ORGANIGRAM GLOBAL ORD68620P101COM307$1,000thousands by filing date
APHRIA INC03765K104COM355$1,000thousands by filing date
VIRNETX HLDG CORP92823T108COM100$1,000thousands by filing date
FIESTA RESTAURANT GROUP INC31660B101COM200$1,000thousands by filing date
BRIGGS & STRATTON CORP109043109COM800$1,000thousands by filing date
PROSHARES TR ULTSHRT QQQ74347B243CEF31$1,000thousands by filing date
KEYSIGHT TECHNOLOGIES INC COM49338L103Stock1$0thousands by filing dateValue filed as zero, left out of ratios.
MACOM TECH SOLUTIONS HLDGS INC COM55405Y100Stock18$0thousands by filing dateValue filed as zero, left out of ratios.
NORTHERN DYNASTY MINERALS LTD COM NEW66510M204Stock600$0thousands by filing dateValue filed as zero, left out of ratios.
MACYS INC COM55616P104Stock36$0thousands by filing dateValue filed as zero, left out of ratios.
FOX CORP CL A COM35137L105Stock18$0thousands by filing dateValue filed as zero, left out of ratios.
SPECTRUM BRANDS HLDGS INC NEW COM84790A105Stock13$0thousands by filing dateValue filed as zero, left out of ratios.
WHIRLPOOL CORP COM963320106Stock1$0thousands by filing dateValue filed as zero, left out of ratios.
STERIS PLC SHS USDG8473T100Stock3$0thousands by filing dateValue filed as zero, left out of ratios.
URANIUM ENERGY CORP COM916896103Stock440$0thousands by filing dateValue filed as zero, left out of ratios.
TAPESTRY INC COM876030107Stock30$0thousands by filing dateValue filed as zero, left out of ratios.
EXPEDIA GROUP INC COM NEW30212P303Stock1$0thousands by filing dateValue filed as zero, left out of ratios.
CARETRUST REIT INC COM14174T107REIT2$0thousands by filing dateValue filed as zero, left out of ratios.
CROCS INC COM227046109Stock25$0thousands by filing dateValue filed as zero, left out of ratios.
KELLANOVA487836108COM3$0thousands by filing dateValue filed as zero, left out of ratios.
NEW GOLD INC CDA644535106COM126$0thousands by filing dateValue filed as zero, left out of ratios.
FIRST TR EXCHANGE TRADED FD33734X192CLOUD COMPUTING8$0thousands by filing dateValue filed as zero, left out of ratios.
FLUOR CORP343412102COM28$0thousands by filing dateValue filed as zero, left out of ratios.
V2X INC92242T101COM1$0thousands by filing dateValue filed as zero, left out of ratios.
ADIENT PLCG0084W101ORD SHS8$0thousands by filing dateValue filed as zero, left out of ratios.
KONTOOR BRANDS INC50050N103COM9$0thousands by filing dateValue filed as zero, left out of ratios.
PLUG PWR INC72919P202COM NEW80$0thousands by filing dateValue filed as zero, left out of ratios.
INVESCO EXCHANGE TRADED FD T46137V639AI AND NEXT GEN5$0thousands by filing dateValue filed as zero, left out of ratios.
VIAVI SOLUTIONS INC925550105COM1$0thousands by filing dateValue filed as zero, left out of ratios.
GLOBAL X FDS37954Y889S&P 500 CATHOLIC14$0thousands by filing dateValue filed as zero, left out of ratios.
AMBARELLA INCG037AX101SHS10$0thousands by filing dateValue filed as zero, left out of ratios.
II VI INC902104108COM2$0thousands by filing dateValue filed as zero, left out of ratios.
PACIFIC PREMIER BANCORP INC69478X105COM17$0thousands by filing dateValue filed as zero, left out of ratios.
TWITTER INC90184L102COM15$0thousands by filing dateValue filed as zero, left out of ratios.
Mallinckrodt PlcG5785G107SHS3$0thousands by filing dateValue filed as zero, left out of ratios.
LIVE OAK BANCSHARES INC53803X105COM1$0thousands by filing dateValue filed as zero, left out of ratios.
ALLIANZGI CONV INCOME FD018828103COM19$0thousands by filing dateValue filed as zero, left out of ratios.
BED BATH & BEYOND INC075896100COM100$0thousands by filing dateValue filed as zero, left out of ratios.
MYLAN NVN59465109SHS EURO33$0thousands by filing dateValue filed as zero, left out of ratios.
PROSHARES TR74347R669PSHS ULT SEMICDT10$0thousands by filing dateValue filed as zero, left out of ratios.
FIRST TR EXCHANGE-TRADED FD33733E500NAS CLNEDG GREEN15$0thousands by filing dateValue filed as zero, left out of ratios.
BROOKDALE SR LIVING INC112463104COM95$0thousands by filing dateValue filed as zero, left out of ratios.
EQUINOX GOLD CORP29446Y502COM70$0thousands by filing dateValue filed as zero, left out of ratios.
CHESEPEAKE ENERGY CORP165167107COM1,475$0thousands by filing dateValue filed as zero, left out of ratios.
FRONTIER COMMUNICATIONS CORP35906A306COM NEW36$0thousands by filing dateValue filed as zero, left out of ratios.
OBSIDIAN ENERGY LTD674482203COM14$0thousands by filing dateValue filed as zero, left out of ratios.
DIEBOLD NXDF INC253651103COM129$0thousands by filing dateValue filed as zero, left out of ratios.
INSEEGO CORP45782B104COMMON STOCK62$0thousands by filing dateValue filed as zero, left out of ratios.
GROUPON INC399473107COMMON STOCK200$0thousands by filing dateValue filed as zero, left out of ratios.
ETFMG26924G508EXCHANGE TRADED23$0thousands by filing dateValue filed as zero, left out of ratios.
RITE AID CORP767754872COM25$0thousands by filing dateValue filed as zero, left out of ratios.
DOUYU INTL HLDGS LTD25985W105SPONSORED ADS7$0thousands by filing dateValue filed as zero, left out of ratios.
GREAT PANTHER MINING39115V101COM660$0thousands by filing dateValue filed as zero, left out of ratios.
EKSO BIONICS HLDGS INC282644301COM60$0thousands by filing dateValue filed as zero, left out of ratios.
MCEWEN MNG INC58039P107COM520$0thousands by filing dateValue filed as zero, left out of ratios.
REALNETWORKS INC75605L708COM50$0thousands by filing dateValue filed as zero, left out of ratios.
Axonics88875G101COM40$0thousands by filing dateValue filed as zero, left out of ratios.
SUPERIOR ENERGY SVCS INC868157306COM NEW56$0thousands by filing dateValue filed as zero, left out of ratios.

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001616026-20-000003this filing2020-05-11acceptance time not in the bulk data set