InvestorNINE MASTS CAPITAL Ltd
Portfolio Value $ 653,657,000
Current Positions246
Opened Positions5
Closed Positions158


Latest Holdings, Performance, AUM (from 13F, 13D)

NINE MASTS CAPITAL Ltd has disclosed 246 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 653,657,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). NINE MASTS CAPITAL Ltd's top holdings are Alphabet Inc. (NASDAQ:GOOGL) , Sina Corp. Bond (82922RAD5) , Yahoo! Inc. (NASDAQ:YHOO) , Taiwan Semiconductor Manufacturing Co. Ltd. (NYSE:TSM) , and NXP Semiconductors N.V. (NASDAQ:NXPI) . NINE MASTS CAPITAL Ltd's new positions include Sina Corp. Bond (82922RAD5) , NXP Semiconductors N.V. (NASDAQ:NXPI) , Monsanto Co. (NYSE:MON) , Shopify Inc. (NYSE:SHOP) , and KT Corp. (NYSE:KT) .

All NINE MASTS CAPITAL Ltd holdings are listed in the following tables. Data is sourced from 13D/13G, 13F, and N-Q filings. Green rows indicate new positions. Red rows indicate closed positions.

This form was filed on May 14, 2018. Click the link icon to see the full transaction history.

Reporting
Period
Form Security Opt Imputed
Share Price
Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-03-31 13F-HR NKE / Nike, Inc. 66.47 0 10,381 0 690
2018-03-31 13F-HR HSBC / HSBC Holdings Plc Put 140.00 0 500 0 70
2018-03-31 13F-HR BEN / Franklin Resources, Inc. 27,970 0 -100.00 1,212 0 -100.00
2018-03-31 13F-HR BLACKROCK MUN 2030 TAR TERM / COM SHS BEN IN (09257P105) 21.30 12,300 262
2018-03-31 13F-HR VOYA GLBL EQTY DIV & PREM OP / (92912T100) 7.30 17,800 130
2018-03-31 13F-HR WESTERN ASSET EMRG MKT DEBT / (95766A101) 14.53 47,500 690
2018-03-31 13F-HR WRK / Westrock Company Call 9.52 105 1
2018-03-31 13F-HR GOOGL / Alphabet Inc. 1,037.14 148,567 123,457 -16.90 156,500 128,042 -18.18
2018-03-31 13F-HR KHC / Kraft Heinz Company 62.33 30,119 9,738 -67.67 2,342 607 -74.08
2018-03-31 13F-HR KHC / Kraft Heinz Company Put 1,300.00 1,300 100 -92.31 113 130 15.04
2018-03-31 13F-HR EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 7.82 0 84,300 0 659
2018-03-31 13F-HR VIPS / Vipshop Holdings, Inc. 16.62 0 207,625 0 3,451
2018-03-31 13F-HR 82922RAD5 / Sina Corp. Bond 107,598 104,223 -3.14
2018-03-31 13F-HR EL / Estee Lauder Companies, Inc. (THE) Call 1,380.95 0 63 0 87
2018-03-31 13F-HR EL / Estee Lauder Companies, Inc. (THE) Put 9.05 42 442 952.38 11 4 -63.64
2018-03-31 13F-HR GAM / General American Investors Co., Inc. 33.48 0 4,600 0 154
2018-03-31 13F-HR BGY / BlackRock International Growth and Income Trust 6.09 26,400 94,100 256.44 172 573 233.14
2018-03-31 13F-HR NXPI / NXP Semiconductors N.V. 117.00 210,072 5,518 24,578 345.42
2018-03-31 13F-HR SKX / Skechers U.S.A. Inc. 38.90 0 10,000 0 389
2018-03-31 13F-HR AMD / Advanced Micro Devices, Inc. 10.05 9,900 271,017 2,637.55 102 2,724 2,570.59
2018-03-31 13F-HR SPY / SPDR S&P 500 ETF Trust Call 132.00 0 2,500 0 330
2018-03-31 13F-HR TRN / Trinity Industries, Inc. Call 123.33 300 300 0.00 188 37 -80.32
2018-03-31 13F-HR TRN / Trinity Industries, Inc. Put 28.25 606 531 -12.38 23 15 -34.78
2018-03-31 13F-HR WUBA / 58.com Inc. 79.55 0 1,584 0 126
2018-03-31 13F-HR WUBA / 58.com Inc. Put 9.87 1,809 709 -60.81 157 7 -95.54
2018-03-31 13F-HR GRUB / GrubHub Inc. 101.46 763 14,558 1,807.99 55 1,477 2,585.45
2018-03-31 13F-HR GRUB / GrubHub Inc. Put 571.75 74 446 502.70 6 255 4,150.00
2018-03-31 13F-HR 22943FAH3 / Ctrip.com International, Ltd. Bond 8,000,000 8,970 9,273 3.38
2018-03-31 13F-HR TSN / Tyson Foods, Inc. 73.18 0 25,662 0 1,878
2018-03-31 13F-HR TSN / Tyson Foods, Inc. Call 80.00 1,100 600 -45.45 672 48 -92.86
2018-03-31 13F-HR TSN / Tyson Foods, Inc. Put 248.00 2,152 750 -65.15 126 186 47.62
2018-03-31 13F-HR NTES / NetEase, Inc. 280.40 852 40,239 4,622.89 294 11,283 3,737.76
2018-03-31 13F-HR NTES / NetEase, Inc. Put 2,080.00 969 475 -50.98 42 988 2,252.38
2018-03-31 13F-HR NUV / Nuveen Municipal Value Fund, Inc. 9.47 0 177,600 0 1,682
2018-03-31 13F-HR OXY / Occidental Petroleum Corp. 64.96 33 118,945 360,339.39 2 7,727 386,250.00
2018-03-31 13F-HR OXY / Occidental Petroleum Corp. Put 610.34 300 1,450 383.33 0 885
2018-03-31 13F-HR FL / Foot Locker, Inc. 45.54 2,448 25,692 949.51 115 1,170 917.39
2018-03-31 13F-HR FL / Foot Locker, Inc. Call 20.00 400 400 0.00 78 8 -89.74
2018-03-31 13F-HR FL / Foot Locker, Inc. Put 214.29 1,052 672 -36.12 182 144 -20.88
2018-03-31 13F-HR NCV / AGIC Convertible & Income Fund 6.73 55,500 14,700 -73.51 390 99 -74.62
2018-03-31 13F-HR PG / Procter & Gamble Co. (The) 79.22 0 5,100 0 404
2018-03-31 13F-HR INFY / Infosys Limited 17.85 1,663,000 573,651 -65.51 27,245 10,240 -62.42
2018-03-31 13F-HR STX / Seagate Technology PLC 58.55 0 13,031 0 763
2018-03-31 13F-HR STX / Seagate Technology PLC Call 264.17 318 1,200 277.36 60 317 428.33
2018-03-31 13F-HR STX / Seagate Technology PLC Put 164.99 1,000 4,570 357.00 39 754 1,833.33
2018-03-31 13F-HR X / United States Steel Corp. 35.19 0 16,255 0 572
2018-03-31 13F-HR X / United States Steel Corp. Put 118.07 3,550 415 -88.31 63 49 -22.22
2018-03-31 13F-HR CAT / Caterpillar, Inc. Call 270.00 325 700 115.38 744 189 -74.60
2018-03-31 13F-HR CAT / Caterpillar, Inc. Put 187.50 2,200 400 -81.82 119 75 -36.97
2018-03-31 13F-HR ADM / Archer-Daniels-Midland Co. Call 406.25 0 64 0 26
2018-03-31 13F-HR ADM / Archer-Daniels-Midland Co. Put 78.12 0 64 0 5
2018-03-31 13F-HR BDJ / BlackRock Enhanced Equity Dividend Trust 8.72 0 48,600 0 424
2018-03-31 13F-HR YY / YY Inc. 105.27 102,129 6,146 -93.98 5,441 647 -88.11
2018-03-31 13F-HR ZTO / ZTO Express (Cayman) Inc. 14.99 0 70,000 0 1,049
2018-03-31 13F-HR TTM / Tata Motors Ltd. 25.18 858,700 267,366 -68.86 29,187 6,732 -76.93
2018-03-31 13F-HR ALXN / Alexion Pharmaceuticals, Inc. 111.46 18,096 24,977 38.02 2,164 2,784 28.65
2018-03-31 13F-HR ALXN / Alexion Pharmaceuticals, Inc. Put 1,075.56 450 450 0.00 468 484 3.42
2018-03-31 13F-HR IPGP / IPG Photonics Corp. 233.05 5,345 708 -86.75 1,145 165 -85.59
2018-03-31 13F-HR IPGP / IPG Photonics Corp. Put 45.00 350 200 -42.86 126 9 -92.86
2018-03-31 13F-HR KORS / Michael Kors Holdings Ltd. 62.15 0 6,500 0 404
2018-03-31 13F-HR YHOO / Yahoo! Inc. 0 0 34,886
2018-03-31 13F-HR TSM / Taiwan Semiconductor Manufacturing Co. Ltd. 43.76 98,527 784,547 696.28 3,907 34,332 778.73
2018-03-31 13F-HR CTR / ClearBridge Energy MLP Total Return Fund Inc. 9.82 57,600 16,400 -71.53 669 161 -75.93
2018-03-31 13F-HR NVDA / NVIDIA Corp. 229.17 29,000 192 -99.34 5,612 44 -99.22
2018-03-31 13F-HR NVDA / NVIDIA Corp. Put 153.85 2,000 13 -99.35 838 2 -99.76
2018-03-31 13F-HR SJM / Smucker (J.M.) Co. 123.87 4,613 1,542 -66.57 573 191 -66.67
2018-03-31 13F-HR SJM / Smucker (J.M.) Co. Put 16.67 300 300 0.00 41 5 -87.80
2018-03-31 13F-HR FEI / First Trust MLP and Energy Income Fund 12.24 0 63,714 0 780
2018-03-31 13F-HR JQC / Nuveen Credit Strategies Income Fund 7.94 0 178,600 0 1,418
2018-03-31 13F-HR CF / CF Industries Holding, Inc. Put 210.00 100 300 200.00 1 63 6,200.00
2018-03-31 13F-HR MOMO / Momo Inc. Call 759.46 300 370 23.33 1 281 28,000.00
2018-03-31 13F-HR MOMO / Momo Inc. Put 58.95 900 2,850 216.67 417 168 -59.71
2018-03-31 13F-HR JD / JD.com, Inc. 40.49 0 135,400 0 5,482
2018-03-31 13F-HR CBA / ClearBridge American Energy MLP Fund Inc. 6.83 0 13,900 0 95
2018-03-31 13F-HR KANG / iKang Healthcare Group, Inc. 19.95 0 442,552 0 8,829
2018-03-31 13F-HR SPLK / Splunk Inc. 98.37 5,160 15,594 202.21 427 1,534 259.25
2018-03-31 13F-HR SPLK / Splunk Inc. Put 267.21 157 857 445.86 68 229 236.76
2018-03-31 13F-HR UMC / United Microelectronics Corp. 2.64 0 440,626 0 1,163
2018-03-31 13F-HR 22943FAF7 / Ctrip.com International, Ltd. Bond 1.000% 7/0 26,500,000 27,991 18,874 -32.57
2018-03-31 13F-HR XRX / Xerox Corp. 28.72 864 7,660 786.57 25 220 780.00
2018-03-31 13F-HR XRX / Xerox Corp. Call 48.42 86 1,136 1,220.93 10 55 450.00
2018-03-31 13F-HR XRX / Xerox Corp. Put 264.25 86 386 348.84 17 102 500.00
2018-03-31 13F-HR TWX / Time Warner, Inc. 94.58 64,534 85,134 31.92 5,903 8,052 36.41
2018-03-31 13F-HR DPG / Duff & Phelps Global Utility Income Fund Inc. 14.00 16,900 6,000 -64.50 262 84 -67.94
2018-03-31 13F-HR XCEMX / Clearbridge Energy MLP Fund Inc 12.59 0 109,200 0 1,375
2018-03-31 13F-HR WTW / Weight Watchers International, Inc. 63.76 9,677 2,431 -74.88 428 155 -63.79
2018-03-31 13F-HR WTW / Weight Watchers International, Inc. Put 376.34 700 93 -86.71 54 35 -35.19
2018-03-31 13F-HR FPE / First Trust Preferred Securities and Income ETF 19.44 83,100 15,744 -81.05 1,663 306 -81.60
2018-03-31 13F-HR VRX / Valeant Pharmaceuticals International, Inc. 15.91 166 35,695 21,403.01 3 568 18,833.33
2018-03-31 13F-HR VRX / Valeant Pharmaceuticals International, Inc. Put 224.00 1,700 1,000 -41.18 4 224 5,500.00
2018-03-31 13F-HR RHT / Red Hat, Inc. 149.71 1,020 1,356 32.94 123 203 65.04
2018-03-31 13F-HR RHT / Red Hat, Inc. Put 22.50 300 400 33.33 3 9 200.00
2018-03-31 13F-HR BCX / BlackRock Resources & Commodities Strategy Trust 8.88 0 97,300 0 864
2018-03-31 13F-HR CSCO / Cisco Systems, Inc. Call 375.29 0 850 0 319
2018-03-31 13F-HR CSCO / Cisco Systems, Inc. Put 84.71 0 850 0 72
2018-03-31 13F-HR CAF / Morgan Stanley China A Share Fund, Inc. 24.89 19,400 41,300 112.89 454 1,028 126.43
2018-03-31 13F-HR NCZ / AGIC Convertible & Income Fund II 5.96 11,800 10,900 -7.63 73 65 -10.96
2018-03-31 13F-HR LULU / lululemon athletica inc. 87.91 0 91 0 8
2018-03-31 13F-HR LULU / lululemon athletica inc. Put 100.00 0 10 0 1
2018-03-31 13F-HR COST / Costco Wholesale Corp. 188.45 3,400 7,514 121.00 633 1,416 123.70
2018-03-31 13F-HR COST / Costco Wholesale Corp. Put 156.84 100 950 850.00 49 149 204.08
2018-03-31 13F-HR ZLAB / Zai Lab Limited 21.34 64,000 64,000 0.00 1,359 1,366 0.52
2018-03-31 13F-HR GIM / Templeton Global Income Fund 6.41 0 14,200 0 91
2018-03-31 13F-HR IFN / India Fund, Inc. (THE) 24.62 0 23,800 0 586
2018-03-31 13F-HR SMFG / Sumitomo Mitsui Financial Group Inc. 8.39 357,041 12,518 -96.49 3,086 105 -96.60
2018-03-31 13F-HR BA / Boeing Company (The) 327.91 12 7,688 63,966.67 4 2,521 62,925.00
2018-03-31 13F-HR BA / Boeing Company (The) Put 1,813.33 300 150 -50.00 1 272 27,100.00
2018-03-31 13F-HR AWF / AllianceBernstein Global High Income Fund, Inc. 11.89 0 117,900 0 1,402
2018-03-31 13F-HR EDU / New Oriental Education & Technology Group, Inc. 87.54 7,643 3,050 -60.09 718 267 -62.81
2018-03-31 13F-HR EDU / New Oriental Education & Technology Group, Inc. Put 26.67 450 450 0.00 111 12 -89.19
2018-03-31 13F-HR WFC / Wells Fargo & Co. Put 560.00 0 500 0 280
2018-03-31 13F-HR NOAH / Noah Holdings Ltd. 47.22 44,713 32,613 -27.06 2,069 1,540 -25.57
2018-03-31 13F-HR EXAS / EXACT Sciences Corp. 40.34 6,267 19,632 213.26 329 792 140.73
2018-03-31 13F-HR EXAS / EXACT Sciences Corp. Put 515.62 306 256 -16.34 70 132 88.57
2018-03-31 13F-HR SFUN / Fang Holdings Ltd. 5.14 883,191 572,200 -35.21 4,928 2,941 -40.32
2018-03-31 13F-HR NMR / Nomura Holdings, Inc. 5.78 670,345 213,923 -68.09 3,959 1,237 -68.75
2018-03-31 13F-HR WB / Weibo Corporation Put 957.04 1,416 582 -58.90 264 557 110.98
2018-03-31 13F-HR PFE / Pfizer, Inc. 35.44 22,000 5,700 -74.09 797 202 -74.65
2018-03-31 13F-HR FEYE / FireEye, Inc. 16.98 153,318 9,717 -93.66 2,177 165 -92.42
2018-03-31 13F-HR FEYE / FireEye, Inc. Put 23.00 4,000 1,000 -75.00 377 23 -93.90
2018-03-31 13F-HR WM / Waste Management, Inc. 84.04 7,764 4,605 -40.69 670 387 -42.24
2018-03-31 13F-HR WM / Waste Management, Inc. Put 19.80 505 505 0.00 34 10 -70.59
2018-03-31 13F-HR SNE / Sony Corp. 48.34 0 47,478 0 2,295
2018-03-31 13F-HR CHL / China Mobile Ltd. 45.85 48,000 23,881 -50.25 2,434 1,095 -55.01
2018-03-31 13F-HR INTC / Intel Corp. Call 540.00 0 200 0 108
2018-03-31 13F-HR INTC / Intel Corp. Put 130.00 0 200 0 26
2018-03-31 13F-HR EMLC / VanEck Vectors ETF TR 19.60 159,000 261,600 64.53 3,018 5,127 69.88
2018-03-31 13F-HR HQH / Tekla Healthcare Investors 21.53 31,575 25,640 -18.80 712 552 -22.47
2018-03-31 13F-HR MYL / Mylan N.V. 41.18 13,200 52,067 294.45 558 2,144 284.23
2018-03-31 13F-HR MYL / Mylan N.V. Put 227.86 600 1,400 133.33 56 319 469.64
2018-03-31 13F-HR GHY / Prudential Global Short Duration High Yield Fund, Inc. 13.88 0 46,700 0 648
2018-03-31 13F-HR ITUB / Itau Unibanco Holding S.A. 15.61 65,940 14,867 -77.45 857 232 -72.93
2018-03-31 13F-HR ITUB / Itau Unibanco Holding S.A. Put 10.00 2,000 2,000 0.00 140 20 -85.71
2018-03-31 13F-HR AMTD / TD AmeriTrade Holding Corp. Call 220.00 10 800 7,900.00 2 176 8,700.00
2018-03-31 13F-HR AMTD / TD AmeriTrade Holding Corp. Put 37.14 410 350 -14.63 60 13 -78.33
2018-03-31 13F-HR BIDU / Baidu, Inc. 223.18 0 28,000 0 6,249
2018-03-31 13F-HR BGR / BlackRock Energy & Resources Trust 13.22 0 42,891 0 567
2018-03-31 13F-HR AOD / Alpine Total Dynamic Dividend Fund 8.94 0 104,300 0 932
2018-03-31 13F-HR LPL / LG Display Co., Ltd. 12.27 395,826 564,306 42.56 5,544 6,924 24.89
2018-03-31 13F-HR PCY / PowerShares Emerging Markets Sovereign Debt Portfolio 28.18 113,900 11,000 -90.34 3,365 310 -90.79
2018-03-31 13F-HR JOBS / 51job, Inc. 86.04 43,250 52,199 20.69 2,632 4,491 70.63
2018-03-31 13F-HR 22943FAD2 / Ctrip.com International, Ltd. Bond 1.250%10/1 18,000,000 21,263 21,926 3.12
2018-03-31 13F-HR XISDX / Prudential Short Duration High 14.12 0 80,000 0 1,130
2018-03-31 13F-HR PKX / POSCO 76.35 0 29,995 0 2,290
2018-03-31 13F-HR QD / Qudian Inc. 11.70 739,163 2,044,901 176.65 9,269 23,925 158.12
2018-03-31 13F-HR IGR / CBRE Clarion Global Real Estate Income Fund 7.32 0 48,800 0 357
2018-03-31 13F-HR BHP / BHP Billiton Ltd. 43.32 0 97,051 0 4,204
2018-03-31 13F-HR SINA / Sina Corp. 104.27 156,806 124,985 -20.29 15,729 13,032 -17.15
2018-03-31 13F-HR MGI / MoneyGram International, Inc. 8.62 425,417 338,577 -20.41 5,607 2,919 -47.94
2018-03-31 13F-HR FMC / FMC Corp. Put 803 0 -100.00 11 0 -100.00
2018-03-31 13F-HR TSCO / Tractor Supply Co. 26 0 -100.00 2 0 -100.00
2018-03-31 13F-HR MDT / Medtronic plc Put 500 0 -100.00 16 0 -100.00
2018-03-31 13F-HR CIEN / Ciena Corp. Call 709 0 -100.00 6 0 -100.00
2018-03-31 13F-HR CIEN / Ciena Corp. Put 509 0 -100.00 55 0 -100.00
2018-03-31 13F-HR WDC / Western Digital Corp. 1,200 0 -100.00 95 0 -100.00
2018-03-31 13F-HR 22943FAM2 / Ctrip Com Intl Ltd Bond 20,000,000 0 -100.00 20,475 0 -100.00
2018-03-31 13F-HR QQQ / PowerShares QQQ Trust Put 1,100 0 -100.00 411 0 -100.00
2018-03-31 13F-HR ABT / Abbott Laboratories 14,000 0 -100.00 799 0 -100.00
2018-03-31 13F-HR GOOG / Alphabet Inc. Class C Put 500 0 -100.00 1,158 0 -100.00
2018-03-31 13F-HR ABC / AmerisourceBergen Corp. 1,695 0 -100.00 156 0 -100.00
2018-03-31 13F-HR ABC / AmerisourceBergen Corp. Put 300 0 -100.00 11 0 -100.00
2018-03-31 13F-HR AZN / AstraZeneca Plc Call 184 0 -100.00 47 0 -100.00
2018-03-31 13F-HR AZN / AstraZeneca Plc Put 184 0 -100.00 13 0 -100.00
2018-03-31 13F-HR ATHN / athenahealth, Inc. 1,517 0 -100.00 202 0 -100.00
2018-03-31 13F-HR ATHN / athenahealth, Inc. Put 75 0 -100.00 24 0 -100.00
2018-03-31 13F-HR AXTA / Axalta Coating Systems Ltd. 55,000 0 -100.00 1,780 0 -100.00
2018-03-31 13F-HR BITA / Bitauto Holdings Ltd. 196,165 0 -100.00 6,238 0 -100.00
2018-03-31 13F-HR BLACKROCK TAX MUNICPAL BD TR / SHS (09248X100) 5,500 0 -100.00 128 0
2018-03-31 13F-HR BX / Blackstone Group L.P. (The) Call 1,600 0 -100.00 7 0 -100.00
2018-03-31 13F-HR CHRW / C.H. Robinson Worldwide, Inc. 2,577 0 -100.00 230 0 -100.00
2018-03-31 13F-HR CHRW / C.H. Robinson Worldwide, Inc. Put 274 0 -100.00 13 0 -100.00
2018-03-31 13F-HR CAJ / Canon, Inc. 9,200 0 -100.00 343 0 -100.00
2018-03-31 13F-HR CF / CF Industries Holding, Inc. Call 100 0 -100.00 36 0 -100.00
2018-03-31 13F-HR CME / CME Group, Inc. Put 200 0 -100.00 11 0 -100.00
2018-03-31 13F-HR CLM / Cornerstone Strategic Value Fund, Inc. 24,400 0 -100.00 377 0 -100.00
2018-03-31 13F-HR COP / ConocoPhillips 2,170 0 -100.00 119 0 -100.00
2018-03-31 13F-HR COP / ConocoPhillips Put 1,050 0 -100.00 5 0 -100.00
2018-03-31 13F-HR CME / CME Group, Inc. 1,370 0 -100.00 200 0 -100.00
2018-03-31 13F-HR CMI / Cummins, Inc. 62 0 -100.00 11 0 -100.00
2018-03-31 13F-HR DLTR / Dollar Tree, Inc. 4,343 0 -100.00 466 0 -100.00
2018-03-31 13F-HR DLTR / Dollar Tree, Inc. Put 400 0 -100.00 25 0 -100.00
2018-03-31 13F-HR SHYG / iShares 0-5 Year High Yield Corporate Bond ETF 33,300 0 -100.00 1,569 0 -100.00
2018-03-31 13F-HR K / Kellogg Co. Put 50 0 -100.00 7 0 -100.00
2018-03-31 13F-HR K / Kellogg Co. Call 50 0 -100.00 14 0 -100.00
2018-03-31 13F-HR LMT / Lockheed Martin Corp. Call 200 0 -100.00 84 0 -100.00
2018-03-31 13F-HR NTAP / NetApp, Inc. 3,023 0 -100.00 167 0 -100.00
2018-03-31 13F-HR NTAP / NetApp, Inc. Call 88 0 -100.00 10 0 -100.00
2018-03-31 13F-HR NTAP / NetApp, Inc. Put 133 0 -100.00 35 0 -100.00
2018-03-31 13F-HR NYT / New York Times Co. 290,000 0 -100.00 5,365 0 -100.00
2018-03-31 13F-HR PH / Parker-Hannifin Corp. 1,791 0 -100.00 357 0 -100.00
2018-03-31 13F-HR PH / Parker-Hannifin Corp. Put 300 0 -100.00 16 0 -100.00
2018-03-31 13F-HR XPDIX / PIMCO Dynamic Income Fund 9,800 0 -100.00 294 0 -100.00
2018-03-31 13F-HR HYS / PIMCO 0-5 Year High Yield Corporate Bond Index Fund 26,400 0 -100.00 2,653 0 -100.00
2018-03-31 13F-HR QCOM / QUALCOMM Incorporated 9,433 0 -100.00 604 0 -100.00
2018-03-31 13F-HR QCOM / QUALCOMM Incorporated Put 800 0 -100.00 59 0 -100.00
2018-03-31 13F-HR RTN / Raytheon Co. 961 0 -100.00 181 0 -100.00
2018-03-31 13F-HR RTN / Raytheon Co. Put 65 0 -100.00 7 0 -100.00
2018-03-31 13F-HR RDS.A / Royal Dutch Shell Plc Put 129 0 -100.00 3 0 -100.00
2018-03-31 13F-HR RDS.A / Royal Dutch Shell Plc 1,448 0 -100.00 97 0 -100.00
2018-03-31 13F-HR SHW / Sherwin-Williams Co. (The) 637 0 -100.00 261 0 -100.00
2018-03-31 13F-HR SHW / Sherwin-Williams Co. (The) Put 30 0 -100.00 17 0 -100.00
2018-03-31 13F-HR SOHU / Sohu.com, Inc. 198,913 0 -100.00 8,623 0 -100.00
2018-03-31 13F-HR SJNK / SPDR Shrt Trm High Yield Bnd ETF 157,900 0 -100.00 4,352 0 -100.00
2018-03-31 13F-HR STMP / Stamps.com, Inc. 1,842 0 -100.00 346 0 -100.00
2018-03-31 13F-HR STMP / Stamps.com, Inc. Put 150 0 -100.00 28 0 -100.00
2018-03-31 13F-HR AMTD / TD AmeriTrade Holding Corp. 9,721 0 -100.00 497 0 -100.00
2018-03-31 13F-HR TXN / Texas Instruments Inc. 4,517 0 -100.00 472 0 -100.00
2018-03-31 13F-HR TXN / Texas Instruments Inc. Put 500 0 -100.00 26 0 -100.00
2018-03-31 13F-HR TYG / Tortoise Energy Infrastructure Corp. 81,000 0 -100.00 2,355 0 -100.00
2018-03-31 13F-HR NTG / Tortoise MLP Fund, Inc. 56,400 0 -100.00 990 0 -100.00
2018-03-31 13F-HR TWTR / Twitter, Inc. Call 1,009 0 -100.00 912 0 -100.00
2018-03-31 13F-HR UPS / United Parcel Service, Inc. Put 340 0 -100.00 5 0 -100.00
2018-03-31 13F-HR OLED / Universal Display Corp. Put 200 0 -100.00 52 0 -100.00
2018-03-31 13F-HR OLED / Universal Display Corp. 1,985 0 -100.00 343 0 -100.00
2018-03-31 13F-HR ANGL / Market Vectors Fallen Angel High Yield Bond ETF 54,400 0 -100.00 1,629 0 -100.00
2018-03-31 13F-HR WHR / Whirlpool Corp. 914 0 -100.00 154 0 -100.00
2018-03-31 13F-HR WHR / Whirlpool Corp. Put 80 0 -100.00 12 0 -100.00
2018-03-31 13F-HR WYNN / Wynn Resorts Ltd. 1,534 0 -100.00 259 0 -100.00
2018-03-31 13F-HR WYNN / Wynn Resorts Ltd. Put 200 0 -100.00 20 0 -100.00
2018-03-31 13F-HR YELP / Yelp, Inc. 18,472 0 -100.00 775 0 -100.00
2018-03-31 13F-HR TWTR / Twitter, Inc. Put 3,509 0 -100.00 4 0 -100.00
2018-03-31 13F-HR FCAU / Fiat Chrysler Automobiles N.V 8,721 0 -100.00 156 0 -100.00
2018-03-31 13F-HR FCAU / Fiat Chrysler Automobiles N.V Put 500 0 -100.00 9 0 -100.00
2018-03-31 13F-HR EV / Eaton Vance Corp. 8,900 0 -100.00 137 0 -100.00
2018-03-31 13F-HR JNK / SPDR Barclays High Yield Bond ETF 216,000 0 -100.00 7,932 0 -100.00
2018-03-31 13F-HR PVH / PVH Corp. 11 0 -100.00 2 0 -100.00
2018-03-31 13F-HR PVH / PVH Corp. Put 52 0 -100.00 0 0
2018-03-31 13F-HR JPC / Nuveen Preferred Income Opportunities Fund 26,900 0 -100.00 278 0 -100.00
2018-03-31 13F-HR AMGN / Amgen Inc. 9,098 0 -100.00 1,582 0 -100.00
2018-03-31 13F-HR AMGN / Amgen Inc. Put 200 0 -100.00 68 0 -100.00
2018-03-31 13F-HR TIF / Tiffany & Co. 159 0 -100.00 17 0 -100.00
2018-03-31 13F-HR TIF / Tiffany & Co. Put 500 0 -100.00 4 0 -100.00
2018-03-31 13F-HR XETWX / Eaton Vance Tax-Managed Global 69,700 0 -100.00 654 0 -100.00
2018-03-31 13F-HR FMC / FMC Corp. 5,498 0 -100.00 520 0 -100.00
2018-03-31 13F-HR TSCO / Tractor Supply Co. Put 200 0 -100.00 1 0 -100.00
2018-03-31 13F-HR TAP / Molson Coors Brewing Co. 813 0 -100.00 67 0 -100.00
2018-03-31 13F-HR TAP / Molson Coors Brewing Co. Put 15 0 -100.00 2 0 -100.00
2018-03-31 13F-HR CCD / Calamos Dynamic Convertible & Income Fund 17,000 0 -100.00 341 0 -100.00
2018-03-31 13F-HR FAX / Aberdeen Asia-Pacific Prime Income Fund, Inc. 288,400 0 -100.00 1,407 0 -100.00
2018-03-31 13F-HR MUR / Murphy Oil Corp. Call 225 0 -100.00 137 0 -100.00
2018-03-31 13F-HR MUR / Murphy Oil Corp. Put 225 0 -100.00 1 0 -100.00
2018-03-31 13F-HR CMI / Cummins, Inc. Put 400 0 -100.00 2 0 -100.00
2018-03-31 13F-HR MAT / Mattel, Inc. 3,806 0 -100.00 59 0 -100.00
2018-03-31 13F-HR MAT / Mattel, Inc. Call 102 0 -100.00 4 0 -100.00
2018-03-31 13F-HR MAT / Mattel, Inc. Put 102 0 -100.00 20 0 -100.00
2018-03-31 13F-HR FLR / Fluor Corp. Call 186 0 -100.00 265 0 -100.00
2018-03-31 13F-HR FLR / Fluor Corp. Put 998 0 -100.00 2 0 -100.00
2018-03-31 13F-HR YELP / Yelp, Inc. Call 50 0 -100.00 1 0 -100.00
2018-03-31 13F-HR YELP / Yelp, Inc. Put 1,550 0 -100.00 35 0 -100.00
2018-03-31 13F-HR CAH / Cardinal Health, Inc. 28,712 0 -100.00 1,759 0 -100.00
2018-03-31 13F-HR CAH / Cardinal Health, Inc. Put 500 0 -100.00 104 0 -100.00
2018-03-31 13F-HR IWM / iShares Russell 2000 ETF 11,567 0 -100.00 1,764 0 -100.00
2018-03-31 13F-HR IWM / iShares Russell 2000 ETF Call 750 0 -100.00 71 0 -100.00
2018-03-31 13F-HR BEN / Franklin Resources, Inc. Put 1,000 0 -100.00 38 0 -100.00
2018-03-31 13F-HR MCK / McKesson Corp. Call 10 0 -100.00 12 0 -100.00
2018-03-31 13F-HR MCK / McKesson Corp. Put 10 0 -100.00 0 0
2018-03-31 13F-HR RDY / Dr. Reddy's Laboratories Ltd. 44,000 0 -100.00 1,669 0 -100.00
2018-03-31 13F-HR WUBA / 58.com Inc. Call 480 0 -100.00 341 0 -100.00
2018-03-31 13F-HR LMT / Lockheed Martin Corp. Put 400 0 -100.00 31 0 -100.00
2018-03-31 13F-HR NVDA / NVIDIA Corp. Call 50 0 -100.00 120 0 -100.00
2018-03-31 13F-HR BX / Blackstone Group L.P. (The) 49,543 0 -100.00 1,586 0 -100.00
2018-03-31 13F-HR BX / Blackstone Group L.P. (The) Put 1,500 0 -100.00 76 0 -100.00
2018-03-31 13F-HR DE / Deere & Co. 3,373 0 -100.00 528 0 -100.00
2018-03-31 13F-HR DE / Deere & Co. Put 400 0 -100.00 29 0 -100.00
2018-03-31 13F-HR BABA / Alibaba Group Holding Limited Put 1,020 0 -100.00 2 0 -100.00
2018-03-31 13F-HR GE / General Electric Co. 114,100 0 -100.00 1,991 0 -100.00
2018-03-31 13F-HR GE / General Electric Co. Call 1,500 0 -100.00 1 0 -100.00
2018-03-31 13F-HR GE / General Electric Co. Put 1,150 0 -100.00 748 0 -100.00
2018-03-31 13F-HR NEM / Newmont Mining Corp. Call 70 0 -100.00 18 0 -100.00
2018-03-31 13F-HR NEM / Newmont Mining Corp. Put 70 0 -100.00 1 0 -100.00
2018-03-31 13F-HR MOMO / Momo Inc. 49,458 0 -100.00 1,211 0 -100.00
2018-03-31 13F-HR X / United States Steel Corp. Call 350 0 -100.00 188 0 -100.00
2018-03-31 13F-HR JPM / JPMorgan Chase & Co. 36 0 -100.00 4 0 -100.00
2018-03-31 13F-HR JPM / JPMorgan Chase & Co. Put 350 0 -100.00 1 0 -100.00
2018-03-31 13F-HR MTU / Mitsubishi UFJ Financial Group, Inc. 298,314 0 -100.00 2,189 0 -100.00
2018-03-31 13F-HR HYG / iShares iBoxx $ High Yield Corporate Bond ETF 539,000 0 -100.00 47,033 0 -100.00
2018-03-31 13F-HR ETG / Eaton Vance Tax-Advantaged Global Dividend Income Fund 23,500 0 -100.00 407 0 -100.00
2018-03-31 13F-HR MCD / McDonald's Corp. Call 50 0 -100.00 63 0 -100.00
2018-03-31 13F-HR HRB / Block (H.&R.), Inc. 43,937 0 -100.00 1,152 0 -100.00
2018-03-31 13F-HR HRB / Block (H.&R.), Inc. Put 500 0 -100.00 140 0 -100.00
2018-03-31 13F-HR FPF / First Trust Intermediate Duration Preferred & Income Fund 41,600 0 -100.00 1,014 0 -100.00
2018-03-31 13F-HR UPS / United Parcel Service, Inc. 1,953 0 -100.00 233 0 -100.00
2018-03-31 13F-HR URI / United Rentals, Inc. 2,875 0 -100.00 494 0 -100.00
2018-03-31 13F-HR URI / United Rentals, Inc. Put 500 0 -100.00 44 0 -100.00
2018-03-31 13F-HR VFC / V.F. Corp. 10,700 0 -100.00 792 0 -100.00
2018-03-31 13F-HR EMB / iShares JPMorgan USD Emerging Markets Bond Fund 86,800 0 -100.00 10,077 0 -100.00
2018-03-31 13F-HR HMC / Honda Motor Co., Ltd. 22,733 0 -100.00 779 0 -100.00
2018-03-31 13F-HR JPS / Nuveen Preferred Securities Income Fund 19,900 0 -100.00 203 0 -100.00
2018-03-31 13F-HR JMF / Nuveen Energy MLP Total Return Fund 33,200 0 -100.00 378 0 -100.00
2018-03-31 13F-HR BIIB / Biogen Inc. 31 0 -100.00 10 0 -100.00
2018-03-31 13F-HR BIIB / Biogen Inc. Put 300 0 -100.00 10 0 -100.00
2018-03-31 13F-HR HAS / Hasbro, Inc. 5,922 0 -100.00 538 0 -100.00
2018-03-31 13F-HR HAS / Hasbro, Inc. Put 306 0 -100.00 25 0 -100.00
2018-03-31 13F-HR HUN / Huntsman Corp. 285 0 -100.00 9 0 -100.00
2018-03-31 13F-HR HUN / Huntsman Corp. Put 1,528 0 -100.00 4 0 -100.00
2018-03-31 13F-HR TLK / PT Telekomunikasi Indonesia 20,634 0 -100.00 676 0 -100.00
2018-03-31 13F-HR CHU / China Unicom (Hong Kong) Ltd. 128,500 0 -100.00 1,737 0 -100.00
2018-03-31 13F-HR VRSN / VeriSign, Inc. Call 5 0 -100.00 5 0 -100.00
2018-03-31 13F-HR VRSN / VeriSign, Inc. Put 5 0 -100.00 0 0
2018-03-31 13F-HR CHI / Calamos Convertible Opportunities and Income Fund 10,700 0 -100.00 120 0 -100.00
2018-03-31 13F-HR AKRX / Akorn, Inc. 298,404 0 -100.00 9,618 0 -100.00
2018-03-31 13F-HR GGN / GAMCO Global Gold, Natural Resources & Income Trust 479,200 0 -100.00 2,497 0 -100.00
2018-03-31 13F-HR IBN / ICICI Bank Ltd. 1,296,775 0 -100.00 12,779 0 -100.00
2018-03-31 13F-HR EL / Estee Lauder Companies, Inc. (THE) 7,334 0 -100.00 933 0 -100.00
2018-03-31 13F-HR SPY / SPDR S&P 500 ETF Trust 138,770 0 -100.00 37,032 0 -100.00
2018-03-31 13F-HR PG / Procter & Gamble Co. (The) Call 400 0 -100.00 21 0 -100.00
2018-03-31 13F-HR ACN / Accenture plc 153.47 17,762 2,726
2018-03-31 13F-HR ACN / Accenture plc Put 439.44 355 156
2018-03-31 13F-HR AMD / Advanced Micro Devices, Inc. Put 210.89 3,950 833
2018-03-31 13F-HR ALK / Alaska Air Group, Inc. 61.96 69,643 4,315
2018-03-31 13F-HR ALK / Alaska Air Group, Inc. Call 5.00 600 3
2018-03-31 13F-HR ALK / Alaska Air Group, Inc. Put 805.33 750 604
2018-03-31 13F-HR AWP / Alpine Global Premier Properties Fund 6.20 12,900 80
2018-03-31 13F-HR AATDF / AA LTD Put 706.25 320 226
2018-03-31 13F-HR AATDF / AA LTD 23.06 32,227 743
2018-03-31 13F-HR AATDF / AA LTD Call 3.12 320 1
2018-03-31 13F-HR BAC / Bank of America Corp. Put 191.00 1,000 191
2018-03-31 13F-HR BAC / Bank of America Corp. Call 128.51 2,350 302
2018-03-31 13F-HR BBT / BB&T Corp. 50.96 157 8
2018-03-31 13F-HR BBT / BB&T Corp. Put 333.33 3 1
2018-03-31 13F-HR BOE / BlackRock Global Opportunity Equity Trust 11.55 10,300 119
2018-03-31 13F-HR BG / Bunge Ltd. 73.93 34,910 2,581
2018-03-31 13F-HR BG / Bunge Ltd. Put 265.00 600 159
2018-03-31 13F-HR CF / CF Industries Holding, Inc. 37.71 14,798 558
2018-03-31 13F-HR CLX / Clorox Company (The) 133.42 1,589 212
2018-03-31 13F-HR CLX / Clorox Company (The) Put 290.91 55 16
2018-03-31 13F-HR COST / Costco Wholesale Corp. Call 940.00 400 376
2018-03-31 13F-HR CROX / Crocs, Inc. 16.27 25,200 410
2018-03-31 13F-HR CSX / CSX Corp. 55.65 7,242 403
2018-03-31 13F-HR CSX / CSX Corp. Call 293.33 750 220
2018-03-31 13F-HR CSX / CSX Corp. Put 165.38 1,300 215
2018-03-31 13F-HR DOUBLELINE OPPORTUNISTIC CR / (258623107) 21.52 3,300 71
2018-03-31 13F-HR EXPE / Expedia, Inc. 110.40 48,052 5,305
2018-03-31 13F-HR EXPE / Expedia, Inc. Call 1,106.67 75 83
2018-03-31 13F-HR EXPE / Expedia, Inc. Put 647.78 900 583
2018-03-31 13F-HR FFIV / F5 Networks, Inc. 143.26 356 51
2018-03-31 13F-HR FFIV / F5 Networks, Inc. Put 666.67 9 6
2018-03-31 13F-HR FDX / FedEx Corp. 240.13 19,577 4,701
2018-03-31 13F-HR FDX / FedEx Corp. Call 956.67 300 287
2018-03-31 13F-HR FDX / FedEx Corp. Put 1,784.31 408 728
2018-03-31 13F-HR FIF / First Trust Energy Infrastructure Fund 15.00 3,400 51
2018-03-31 13F-HR FFC / Flaherty & Crumrine/Claymore Preferred Securities Income Fund, Inc. 19.07 7,500 143
2018-03-31 13F-HR FLT / FleetCor Technologies, Inc. 202.47 12,051 2,440
2018-03-31 13F-HR FLT / FleetCor Technologies, Inc. Put 470.00 400 188
2018-03-31 13F-HR FLIR / FLIR Systems, Inc. Put 20.00 50 1
2018-03-31 13F-HR FLIR / FLIR Systems, Inc. 49.40 668 33
2018-03-31 13F-HR FPL / First Trust New Opportunities MLP & Energy Fund 9.76 8,300 81
2018-03-31 13F-HR HP / Helmerich & Payne, Inc. 66.57 25,972 1,729
2018-03-31 13F-HR HP / Helmerich & Payne, Inc. Put 291.44 724 211
2018-03-31 13F-HR HPE / Hewlett Packard Enterprise Company 17.45 917 16
2018-03-31 13F-HR HPE / Hewlett Packard Enterprise Company Call 33.33 30 1
2018-03-31 13F-HR HPE / Hewlett Packard Enterprise Company Put 200.00 30 6
2018-03-31 13F-HR IRBT / iRobot Corp. 64.22 11,320 727
2018-03-31 13F-HR IRBT / iRobot Corp. Put 418.01 311 130
2018-03-31 13F-HR TLT / iShares 20+ Year Treasury Bond ETF Call 572.99 274 157
2018-03-31 13F-HR TLT / iShares 20+ Year Treasury Bond ETF Put 151.00 1,000 151
2018-03-31 13F-HR TLT / iShares 20+ Year Treasury Bond ETF 121.94 10,595 1,292
2018-03-31 13F-HR KMF / Kayne Anderson Midstream/ Energy Fund Inc. 11.76 5,100 60
2018-03-31 13F-HR KHC / Kraft Heinz Company Call 5.56 900 5
2018-03-31 13F-HR KR / Kroger Co. Put 127.95 1,102 141
2018-03-31 13F-HR KR / Kroger Co. 23.94 39,056 935
2018-03-31 13F-HR KR / Kroger Co. Call 0.00 50 0
2018-03-31 13F-HR KT / KT Corp. 13.70 467,592 6,406
2018-03-31 13F-HR LB / L Brands, Inc. 38.21 120,395 4,600
2018-03-31 13F-HR LB / L Brands, Inc. Call 7.46 134 1
2018-03-31 13F-HR LB / L Brands, Inc. Put 567.65 1,552 881
2018-03-31 13F-HR MGU / Macquarie Global Infrastructure Total Return Fund Inc. 22.17 2,300 51
2018-03-31 13F-HR MPC / Marathon Petroleum Corp. Call 232.50 800 186
2018-03-31 13F-HR MPC / Marathon Petroleum Corp. Put 25.21 357 9
2018-03-31 13F-HR MON / Monsanto Co. 116.69 73,314 8,555
2018-03-31 13F-HR NKE / Nike, Inc. Put 16.00 500 8
2018-03-31 13F-HR NEA / Nuveen AMT-Free Municipal Income Fund 13.01 19,600 255
2018-03-31 13F-HR NID / Nuveen Intermediate Duration Municipal Term Fund 12.44 4,100 51
2018-03-31 13F-HR NUVEEN NASDAQ 100 DYNAMIC OV / COM SHS (670699107) Put 408.80 15,790 6,455
2018-03-31 13F-HR JRI / Nuveen Real Asset Income and Growth Fund 16.32 3,800 62
2018-03-31 13F-HR PYPL / PayPal Holdings, Inc. 75.88 13,508 1,025
2018-03-31 13F-HR PYPL / PayPal Holdings, Inc. Put 208.00 500 104
2018-03-31 13F-HR PBR / Petroleo Brasileiro SA Petrobras ADR Call 91.25 800 73
2018-03-31 13F-HR PBR / Petroleo Brasileiro SA Petrobras ADR Put 116.25 800 93
2018-03-31 13F-HR PBR / Petroleo Brasileiro SA Petrobras ADR 13.79 1,160 16
2018-03-31 13F-HR VRP / PowerShares Variable Rate Preferred Portfolio 25.14 10,820 272
2018-03-31 13F-HR TROW / Price (T.) Rowe Group, Inc. 107.92 10,248 1,106
2018-03-31 13F-HR TROW / Price (T.) Rowe Group, Inc. Put 166.67 300 50
2018-03-31 13F-HR RL / Ralph Lauren Corp. 111.82 4,060 454
2018-03-31 13F-HR RL / Ralph Lauren Corp. Put 90.00 200 18
2018-03-31 13F-HR SHOP / Shopify Inc. 124.59 52,083 6,489
2018-03-31 13F-HR SHOP / Shopify Inc. Put 1,521.74 1,150 1,750
2018-03-31 13F-HR SWK / Stanley Black & Decker, Inc. 153.18 12,012 1,840
2018-03-31 13F-HR SWK / Stanley Black & Decker, Inc. Put 825.00 160 132
2018-03-31 13F-HR TTM / Tata Motors Ltd. Put 283.00 1,000 283
2018-03-31 13F-HR TEL / TE Connectivity Ltd. Put 324.32 37 12
2018-03-31 13F-HR TEL / TE Connectivity Ltd. 99.53 1,286 128
2018-03-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. 17.09 56,860 972
2018-03-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 58.42 1,609 94
2018-03-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 313.24 1,609 504
2018-03-31 13F-HR TSS / Total System Services, Inc. Put 130.00 200 26
2018-03-31 13F-HR TSS / Total System Services, Inc. 86.32 4,715 407
2018-03-31 13F-HR UA / Under Armour, Inc., Class C Call 245.60 1,250 307
2018-03-31 13F-HR UA / Under Armour, Inc., Class C Put 85.00 2,000 170
2018-03-31 13F-HR UAL / United Continental Holdings, Inc. 69.29 2,742 190
2018-03-31 13F-HR UAL / United Continental Holdings, Inc. Call 414.29 350 145
2018-03-31 13F-HR UAL / United Continental Holdings, Inc. Put 397.80 455 181
2018-03-31 13F-HR VIPS / Vipshop Holdings, Inc. Put 199.13 2,300 458
2018-03-31 13F-HR WFC / Wells Fargo & Co. 52.44 15,562 816
2018-03-31 13F-HR WFC / Wells Fargo & Co. Call 146.00 500 73
2018-03-31 13F-HR EHI / Western Asset Global High Income Fund Inc. 9.38 6,400 60
2018-03-31 13F-HR MMU / Western Asset Managed Municipals Fund, Inc. 12.93 4,100 53
2018-03-31 13F-HR WRK / Westrock Company Put 400.00 5 2
2018-03-31 13F-HR YY / YY Inc. Put 1,521.28 94 143