13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-26, with 690 holding rows worth $417,071,000.
- Accession
- 0001616026-20-000005
- Filer
- CIK 1616026
- Filed
- 2020-10-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 690 entries on the cover page, a total value of $417,071,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $417,071,000 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 |
|---|---|---|---|---|---|---|
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 11 | $4,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 17 | $4,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 400 | $4,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 103 | $4,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 270 | $4,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 158 | $4,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 296 | $4,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 61 | $4,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 50 | $4,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 233 | $4,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 55 | $4,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 380 | $4,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 88 | $4,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 50 | $4,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 160 | $4,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 55 | $4,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 115 | $4,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 640 | $4,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 50 | $4,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 300 | $4,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 100 | $4,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 100 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 300 | $4,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 338 | $4,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 89 | $3,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 49 | $3,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 30 | $3,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 19 | $3,000 | thousands by filing date | |
| ESSENTIAL UTILS INC COM | 29670G102 | Stock | 67 | $3,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 705 | $3,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 83 | $3,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 30 | $3,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 84 | $3,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 32 | $3,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 268 | $3,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 15 | $3,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 32 | $3,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 60 | $3,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 24 | $3,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 50 | $3,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 235 | $3,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 42 | $3,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 171 | $3,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 500 | $3,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 185 | $3,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 522 | $3,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 580 | $3,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 9 | $3,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 100 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 13 | $3,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 29 | $3,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 1,550 | $3,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 30 | $3,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,050 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 138 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 25 | $3,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 500 | $3,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 112 | $3,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 95 | $3,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 400 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 100 | $3,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 300 | $3,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 75 | $3,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 140 | $3,000 | thousands by filing date | |
| GOLDMAN SACHS PHYSICAL GOLD ETF | 715426102 | UNIT | 133 | $3,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 14 | $2,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 100 | $2,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 30 | $2,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 140 | $2,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 20 | $2,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 11 | $2,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 160 | $2,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 10 | $2,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 25 | $2,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 20 | $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 | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 10 | $2,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 125 | $2,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 56 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 35 | $2,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 90 | $2,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 70 | $2,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 71 | $2,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 1,140 | $2,000 | thousands by filing date | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 90 | $2,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 212 | $2,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 15 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 50 | $2,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 85 | $2,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 28 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 40 | $2,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | Y58473102 | SHS | 137 | $2,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 150 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 20 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 12 | $2,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 33 | $2,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 355 | $2,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 200 | $2,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 235 | $1,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 20 | $1,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 18 | $1,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 600 | $1,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 33 | $1,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 18 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 36 | $1,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 16 | $1,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 13 | $1,000 | thousands by filing date | |
| STERIS PLC SHS USD | G8473T100 | Stock | 3 | $1,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100 | $1,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 50 | $1,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 32 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 1,440 | $1,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 59 | $1,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 10 | $1,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 4 | $1,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 18 | $1,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 25 | $1,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 90 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 8 | $1,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 24 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 25 | $1,000 | thousands by filing date | |
| SMITH & WESSON BRANDS INC | 831754106 | COM | 52 | $1,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 50 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 141 | $1,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 80 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 65 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 27 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 17 | $1,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 10 | $1,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 33 | $1,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 50 | $1,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 120 | $1,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 43 | $1,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 15 | $1,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 100 | $1,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 529 | $1,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 162 | $1,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 227 | $1,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 30 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 10 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 15 | $1,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 95 | $1,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 54 | $1,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 60 | $1,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 50 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 24 | $1,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 100 | $1,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 40 | $1,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 129 | $1,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $1,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 62 | $1,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 660 | $1,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 100 | $1,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 520 | $1,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 170 | $1,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 61 | $1,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MACYS INC COM | 55616P104 | Stock | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAPESTRY INC COM | 876030107 | Stock | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 205 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW GOLD INC CDA | 644535106 | COM | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLUOR CORP | 343412102 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OVINTIV INC | 69047Q102 | COM | 34 | $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. |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADIENT PLC | G0084W101 | ORD SHS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KONTOOR BRANDS INC | 50050N103 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GROUPON INC | 399473206 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIAVI SOLUTIONS INC | 925550105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NIKOLA CORP | 654110105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYLAN NV | N59465109 | SHS EURO | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROOKDALE SR LIVING INC | 112463104 | COM | 95 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFMG | 26924G508 | EXCHANGE TRADED | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 307 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RITE AID CORP | 767754872 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMARK HLDGS INC | 75955K102 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25460G872 | DAILY TECHNOLOGY | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHURCHILL CAP CORP III | 17144C112 | *W EXP 03/01/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-20-000005 | this filing | 2020-10-26 | acceptance time not in the bulk data set |