InvestorNINE MASTS CAPITAL Ltd
Portfolio Value $ 515,601,000
Current Positions285
Opened Positions5
Closed Positions135


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

NINE MASTS CAPITAL Ltd - Portfolio Value

NINE MASTS CAPITAL Ltd has disclosed 285 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 515,601,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). NINE MASTS CAPITAL Ltd's top holdings are Sina Corp. Bond (82922RAD5) , NXP Semiconductors N.V. (NASDAQ:NXPI) , Taiwan Semiconductor Manufacturing Co. Ltd. (NYSE:TSM) , SPDR S&P 500 ETF Trust (NYSE:SPY) , and Ctrip.com International, Ltd. Bond 1.250%10/1 (22943FAD2) . NINE MASTS CAPITAL Ltd's new positions include Sina Corp. Bond (82922RAD5) , Ctrip.com International, Ltd. Bond 1.250%10/1 (22943FAD2) , XL Group Ltd. (NYSE:XL) , iShares U.S. Preferred Stock ETF (NASDAQ:PFF) , and Ctrip.com International, Ltd. Bond 1.000% 7/0 (22943FAF7) .

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 August 13, 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)
2018-06-30 13F-HR AYI / Acuity Brands, Inc. 115.82 4,110 476
2018-06-30 13F-HR AYI / Acuity Brands, Inc. Put 880.00 75 66
2018-06-30 13F-HR XBGTX / BlackRock Floating Rate Income 13.90 92,600 1,287
2018-06-30 13F-HR BKNG / Booking Holdings Inc. 2,027.14 1,916 3,884
2018-06-30 13F-HR DSE / Duff & Phelps Select Energy MLP Fund Inc. 5.55 106,800 593
2018-06-30 13F-HR PFF / iShares U.S. Preferred Stock ETF 37.71 185,800 7,007
2018-06-30 13F-HR LOW / Lowe's Companies, Inc. 95.64 5,594 535
2018-06-30 13F-HR NUVEEN DOW 30 DYN OVERWRITE / SHS (67075F105) 18.51 4,700 87
2018-06-30 13F-HR SQ / Square, Inc. 61.65 8,289 511
2018-06-30 13F-HR XL / XL Group Ltd. 55.95 179,025 10,016
2018-06-30 13F-HR CSX / CSX Corp. Put 155.56 1,300 900 -30.77 215 140 -34.88
2018-06-30 13F-HR MYL / Mylan N.V. Put 635.00 1,400 800 -42.86 319 508 59.25
2018-06-30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 265.00 1,609 800 -50.28 94 212 125.53
2018-06-30 13F-HR XPSYX / BLACKROCK CREDIT ALLOCATION INC 12.08 0 107,500 0 1,299
2018-06-30 13F-HR SKMTF / SK Telecom Co., Ltd. 23.22 0 18,000 0 418
2018-06-30 13F-HR MGI / MoneyGram International, Inc. 6.69 338,577 262,156 -22.57 2,919 1,754 -39.91
2018-06-30 13F-HR OXY / Occidental Petroleum Corp. Put 1,450 0 -100.00 885 0 -100.00
2018-06-30 13F-HR EXAS / EXACT Sciences Corp. Put 256 0 -100.00 132 0 -100.00
2018-06-30 13F-HR SFUN / Fang Holdings Ltd. 572,200 0 -100.00 2,941 0 -100.00
2018-06-30 13F-HR FEYE / FireEye, Inc. 9,717 0 -100.00 165 0 -100.00
2018-06-30 13F-HR FEYE / FireEye, Inc. Put 1,000 0 -100.00 23 0 -100.00
2018-06-30 13F-HR BOE / BlackRock Global Opportunity Equity Trust 10,300 0 -100.00 119 0 -100.00
2018-06-30 13F-HR CF / CF Industries Holding, Inc. 14,798 0 -100.00 558 0 -100.00
2018-06-30 13F-HR CSX / CSX Corp. Call 750 0 -100.00 220 0 -100.00
2018-06-30 13F-HR EXPE / Expedia, Inc. 48,052 0 -100.00 5,305 0 -100.00
2018-06-30 13F-HR FDX / FedEx Corp. 19,577 0 -100.00 4,701 0 -100.00
2018-06-30 13F-HR FDX / FedEx Corp. Put 408 0 -100.00 728 0 -100.00
2018-06-30 13F-HR AMD / Advanced Micro Devices, Inc. Call 547.33 1,500 821
2018-06-30 13F-HR AGC / Advent Claymore Convertible Securities & Income Fund II 5.57 13,100 73
2018-06-30 13F-HR ALB / Albemarle Corp. 94.33 34,209 3,227
2018-06-30 13F-HR ALB / Albemarle Corp. Put 463.00 1,000 463
2018-06-30 13F-HR MO / Altria Group, Inc. Call 375.00 16 6
2018-06-30 13F-HR MO / Altria Group, Inc. Put 187.50 16 3
2018-06-30 13F-HR APC / Anadarko Petroleum Corp. Call 750.00 8 6
2018-06-30 13F-HR APC / Anadarko Petroleum Corp. Put 125.00 8 1
2018-06-30 13F-HR APA / Apache Corp. Call 259.62 104 27
2018-06-30 13F-HR APA / Apache Corp. Put 14.12 354 5
2018-06-30 13F-HR AFT / Apollo Senior Floating Rate Fund Inc. 16.35 6,300 103
2018-06-30 13F-HR AIF / Apollo Tactical Income Fund Inc. 15.58 10,400 162
2018-06-30 13F-HR ARDC / Ares Dynamic Credit Allocation Fund, Inc. 16.08 38,500 619
2018-06-30 13F-HR ASE TECHNOLOGY HOLDING CO LT / SPONSORED ADS (00215W100) 4.60 809,023 3,722
2018-06-30 13F-HR ADSK / Autodesk, Inc. 131.11 13,607 1,784
2018-06-30 13F-HR ADSK / Autodesk, Inc. Put 379.00 562 213
2018-06-30 13F-HR RL / Ralph Lauren Corp. 4,060 0 -100.00 454 0 -100.00
2018-06-30 13F-HR RL / Ralph Lauren Corp. Put 200 0 -100.00 18 0 -100.00
2018-06-30 13F-HR SWK / Stanley Black & Decker, Inc. 12,012 0 -100.00 1,840 0 -100.00
2018-06-30 13F-HR SWK / Stanley Black & Decker, Inc. Put 160 0 -100.00 132 0 -100.00
2018-06-30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. 56,860 0 -100.00 972 0 -100.00
2018-06-30 13F-HR TSS / Total System Services, Inc. Put 200 0 -100.00 26 0 -100.00
2018-06-30 13F-HR TSS / Total System Services, Inc. 4,715 0 -100.00 407 0 -100.00
2018-06-30 13F-HR UAL / United Continental Holdings, Inc. 2,742 0 -100.00 190 0 -100.00
2018-06-30 13F-HR UAL / United Continental Holdings, Inc. Call 350 0 -100.00 145 0 -100.00
2018-06-30 13F-HR UAL / United Continental Holdings, Inc. Put 455 0 -100.00 181 0 -100.00
2018-06-30 13F-HR WFC / Wells Fargo & Co. 15,562 0 -100.00 816 0 -100.00
2018-06-30 13F-HR BAC / Bank of America Corp. 28.15 11,260 317
2018-06-30 13F-HR MMM / 3M Co. 196.55 0 2,437 0 479
2018-06-30 13F-HR ATHN / athenahealth, Inc. 158.42 0 101 0 16
2018-06-30 13F-HR ATHN / athenahealth, Inc. Put 666.67 0 3 0 2
2018-06-30 13F-HR WUBA / 58.com Inc. 69.35 1,584 10,728 577.27 126 744 490.48
2018-06-30 13F-HR WUBA / 58.com Inc. Put 666.67 709 225 -68.27 7 150 2,042.86
2018-06-30 13F-HR BDJ / BlackRock Enhanced Equity Dividend Trust 9.17 48,600 1,200 -97.53 424 11 -97.41
2018-06-30 13F-HR BAC / Bank of America Corp. Call 126.67 2,350 750 -68.09 302 95 -68.54
2018-06-30 13F-HR AATDF / AA LTD 17.03 32,227 4,757 -85.24 743 81 -89.10
2018-06-30 13F-HR AATDF / AA LTD Call 62.50 320 192 -40.00 1 12 1,100.00
2018-06-30 13F-HR AATDF / AA LTD Put 182.29 320 192 -40.00 226 35 -84.51
2018-06-30 13F-HR AWF / AllianceBernstein Global High Income Fund, Inc. 11.52 117,900 21,000 -82.19 1,402 242 -82.74
2018-06-30 13F-HR BIDU / Baidu, Inc. 242.99 28,000 26,400 -5.71 6,249 6,415 2.66
2018-06-30 13F-HR 22943FAF7 / Ctrip.com International, Ltd. Bond 1.000% 7/0 18,874 5,272 -72.07
2018-06-30 13F-HR 22943FAD2 / Ctrip.com International, Ltd. Bond 1.250%10/1 21,926 22,024 0.45
2018-06-30 13F-HR DOUBLELINE OPPORTUNISTIC CR / (258623107) 20.85 4,700 98
2018-06-30 13F-HR BG / Bunge Ltd. 69.73 34,910 23,491 -32.71 2,581 1,638 -36.54
2018-06-30 13F-HR BG / Bunge Ltd. Put 555.00 600 400 -33.33 159 222 39.62
2018-06-30 13F-HR BA / Boeing Company (The) Call 300.00 0 60 0 18
2018-06-30 13F-HR CLM / Cornerstone Strategic Value Fund, Inc. 14.05 0 354,400 0 4,979
2018-06-30 13F-HR CNS / Cohen & Steers Inc. 12.02 0 230,800 0 2,774
2018-06-30 13F-HR CLX / Clorox Company (The) 135.74 1,589 582 -63.37 212 79 -62.74
2018-06-30 13F-HR RDY / Dr. Reddy's Laboratories Ltd. 32.39 0 135,907 0 4,402
2018-06-30 13F-HR CBA / ClearBridge American Energy MLP Fund Inc. 7.56 13,900 8,200 -41.01 95 62 -34.74
2018-06-30 13F-HR BCX / BlackRock Resources & Commodities Strategy Trust 9.29 97,300 204,100 109.76 864 1,896 119.44
2018-06-30 13F-HR COST / Costco Wholesale Corp. 208.99 7,514 7,541 0.36 1,416 1,576 11.30
2018-06-30 13F-HR COST / Costco Wholesale Corp. Put 471.11 950 450 -52.63 149 212 42.28
2018-06-30 13F-HR CROX / Crocs, Inc. 17.59 25,200 22,400 -11.11 410 394 -3.90
2018-06-30 13F-HR CAT / Caterpillar, Inc. Put 352.00 400 250 -37.50 75 88 17.33
2018-06-30 13F-HR CMG / Chipotle Mexican Grill, Inc. 431.28 0 3,900 0 1,682
2018-06-30 13F-HR CMG / Chipotle Mexican Grill, Inc. Put 1,313.33 0 150 0 197
2018-06-30 13F-HR DLTR / Dollar Tree, Inc. 84.98 0 20,934 0 1,779
2018-06-30 13F-HR DLTR / Dollar Tree, Inc. Put 318.71 0 684 0 218
2018-06-30 13F-HR CSX / CSX Corp. 63.76 7,242 21,031 190.40 403 1,341 232.75
2018-06-30 13F-HR GT / Goodyear Tire & Rubber Co. (The) Put 150.57 2,650 399
2018-06-30 13F-HR GT / Goodyear Tire & Rubber Co. (The) 23.29 128,014 2,981
2018-06-30 13F-HR GT / Goodyear Tire & Rubber Co. (The) Call 20.00 900 18
2018-06-30 13F-HR BTO / Hancock (JOHN) Bank & Thrift Opportunity Fund, Inc. 37.20 32,100 1,194
2018-06-30 13F-HR HPI / John Hancock Preferred Income Fund 21.71 4,100 89
2018-06-30 13F-HR HES / Hess Corp. Call 526.67 1,200 632
2018-06-30 13F-HR HES / Hess Corp. Put 173.62 2,350 408
2018-06-30 13F-HR INCY / Incyte Corp. 66.96 11,185 749
2018-06-30 13F-HR INCY / Incyte Corp. Put 173.52 438 76
2018-06-30 13F-HR INVESCO EXCHNG TRADED FD TR / PFD ETF (46138E511) 14.56 136,400 1,986
2018-06-30 13F-HR INVESCO QQQ TR / UNIT SER 1 (46090E103) Put 494.81 2,700 1,336
2018-06-30 13F-HR VGM / Van Kampen Trust For Investment Grade Municipals 12.41 5,800 72
2018-06-30 13F-HR IRBT / iRobot Corp. Call 1,223.68 76 93
2018-06-30 13F-HR EXPE / Expedia, Inc. Put 57.69 900 1,300 44.44 583 75 -87.14
2018-06-30 13F-HR FL / Foot Locker, Inc. 52.71 25,692 8,557 -66.69 1,170 451 -61.45
2018-06-30 13F-HR INFY / Infosys Limited 19.43 573,651 174,554 -69.57 10,240 3,392 -66.87
2018-06-30 13F-HR FPL / First Trust New Opportunities MLP & Energy Fund 10.37 8,300 29,600 256.63 81 307 279.01
2018-06-30 13F-HR FLR / Fluor Corp. 48.93 0 3,188 0 156
2018-06-30 13F-HR FLR / Fluor Corp. Call 164.98 0 297 0 49
2018-06-30 13F-HR FLR / Fluor Corp. Put 206.90 0 377 0 78
2018-06-30 13F-HR IRBT / iRobot Corp. 75.78 11,320 13,169 16.33 727 998 37.28
2018-06-30 13F-HR HPE / Hewlett Packard Enterprise Company Call 0.00 30 30 0.00 1 0 -100.00
2018-06-30 13F-HR HPE / Hewlett Packard Enterprise Company Put 433.33 30 30 0.00 6 13 116.67
2018-06-30 13F-HR KANG / iKang Healthcare Group, Inc. 20.46 442,552 37,629 -91.50 8,829 770 -91.28
2018-06-30 13F-HR DPG / Duff & Phelps Global Utility Income Fund Inc. 14.38 6,000 15,300 155.00 84 220 161.90
2018-06-30 13F-HR ETY / Eaton Vance Tax-Managed Diversified Income Fund 12.09 0 15,300 0 185
2018-06-30 13F-HR FFIV / F5 Networks, Inc. 166.67 356 18 -94.94 51 3 -94.12
2018-06-30 13F-HR FFIV / F5 Networks, Inc. Put 0.00 9 9 0.00 6 0 -100.00
2018-06-30 13F-HR VVR / Van Kampen Senior Income Trust 4.28 0 129,500 0 554
2018-06-30 13F-HR HTD / John Hancock Tax-Advantaged Dividend Income Fund 23.39 0 11,800 0 276
2018-06-30 13F-HR LOW / Lowe's Companies, Inc. Put 448.82 127 57
2018-06-30 13F-HR TAP / Molson Coors Brewing Co. Call 920.00 400 368
2018-06-30 13F-HR MS / Morgan Stanley 47.40 40,615 1,925
2018-06-30 13F-HR MS / Morgan Stanley Put 162.31 1,300 211
2018-06-30 13F-HR NML / Neuberger Berman MLP Income Fund Inc. 8.75 11,200 98
2018-06-30 13F-HR NRO / Neuberger Berman Real Estate Securities Income Fund, Inc. 5.15 13,200 68
2018-06-30 13F-HR NLSN / Nielsen Holdings PLC Put 86.67 150 13
2018-06-30 13F-HR NLSN / Nielsen Holdings PLC Call 193.33 150 29
2018-06-30 13F-HR NVG / Nuveen Dividend Advantage Municipal Income Fund 14.59 278,600 4,065
2018-06-30 13F-HR NUVEEN CA QUALTY MUN INCOME / (67066Y105) 13.37 44,800 599
2018-06-30 13F-HR NKX / Nuveen Insured California Tax-Free Advantage Municipal Fund 13.64 8,800 120
2018-06-30 13F-HR EL / Estee Lauder Companies, Inc. (THE) Call 460.32 63 63 0.00 87 29 -66.67
2018-06-30 13F-HR TAP / Molson Coors Brewing Co. Put 75.71 0 1,268 0 96
2018-06-30 13F-HR LB / L Brands, Inc. Call 185.00 134 1,000 646.27 1 185 18,400.00
2018-06-30 13F-HR KT / KT Corp. 13.28 467,592 307,271 -34.29 6,406 4,081 -36.29
2018-06-30 13F-HR NTES / NetEase, Inc. 252.67 40,239 48,240 19.88 11,283 12,189 8.03
2018-06-30 13F-HR JD / JD.com, Inc. 38.95 135,400 185,961 37.34 5,482 7,243 32.12
2018-06-30 13F-HR JD / JD.com, Inc. Put 121.35 0 1,574 0 191
2018-06-30 13F-HR MU / Micron Technology, Inc. 52.42 0 6,257 0 328
2018-06-30 13F-HR KYE / Kayne Anderson Energy Total Return Fund, Inc. 9.45 0 67,300 0 636
2018-06-30 13F-HR KR / Kroger Co. 28.51 39,056 3,332 -91.47 935 95 -89.84
2018-06-30 13F-HR KR / Kroger Co. Put 4.75 1,102 1,052 -4.54 141 5 -96.45
2018-06-30 13F-HR MGM / MGM Resorts International 29.03 0 467,000 0 13,557
2018-06-30 13F-HR NKE / Nike, Inc. 79.64 10,381 5,500 -47.02 690 438 -36.52
2018-06-30 13F-HR MOMO / Momo Inc. 43.52 0 17,025 0 741
2018-06-30 13F-HR TLT / iShares 20+ Year Treasury Bond ETF Call 492.00 274 250 -8.76 157 123 -21.66
2018-06-30 13F-HR MTU / Mitsubishi UFJ Financial Group, Inc. 5.69 0 821,144 0 4,674
2018-06-30 13F-HR CAF / Morgan Stanley China A Share Fund, Inc. 23.08 41,300 102,500 148.18 1,028 2,366 130.16
2018-06-30 13F-HR MGU / Macquarie Global Infrastructure Total Return Fund Inc. 22.56 2,300 9,000 291.30 51 203 298.04
2018-06-30 13F-HR KMF / Kayne Anderson Midstream/ Energy Fund Inc. 12.93 5,100 18,800 268.63 60 243 305.00
2018-06-30 13F-HR SHYG / iShares 0-5 Year High Yield Corporate Bond ETF 46.62 0 163,600 0 7,627
2018-06-30 13F-HR MYL / Mylan N.V. 36.14 52,067 75,212 44.45 2,144 2,718 26.77
2018-06-30 13F-HR LPL / LG Display Co., Ltd. 8.21 564,306 273,644 -51.51 6,924 2,246 -67.56
2018-06-30 13F-HR MPEL / Melco Crown Entertainment Ltd. 28.00 0 99,500 0 2,786
2018-06-30 13F-HR JRO / Nuveen Floating Rate Income Opportunity Fund 10.41 139,700 1,454
2018-06-30 13F-HR JGH / Nuveen Global High Income Fund 15.45 44,400 686
2018-06-30 13F-HR NUVEEN NASDAQ 100 DYNAMIC OV / COM SHS (670699107) 26.20 15,800 414
2018-06-30 13F-HR NXJ / Nuveen New Jersey Dividend Advantage Municipal Fund 13.06 41,200 538
2018-06-30 13F-HR JPI / Nuveen Preferred & Income Term Fund 23.11 11,900 275
2018-06-30 13F-HR JRS / Nuveen Real Estate Income Fund 10.00 48,900 489
2018-06-30 13F-HR SPXX / Nuveen S&P 500 Dynamic Overwrite Fund 16.70 50,600 845
2018-06-30 13F-HR PFE / Pfizer, Inc. Call 0.00 800 0
2018-06-30 13F-HR PFE / Pfizer, Inc. Put 400.00 800 320
2018-06-30 13F-HR PGIM GLOBAL SHORT DURATION H / (69346J106) 13.64 16,200 221
2018-06-30 13F-HR PGIM SHORT DURATION HIGH YIE / (69346H100) 15.00 200 3
2018-06-30 13F-HR PCN / PIMCO Corporate & Income Strategy Fund 17.60 5,000 88
2018-06-30 13F-HR PMF / PIMCO Municipal Income Fund 13.09 5,500 72
2018-06-30 13F-HR PHD / Pioneer Floating Rate Trust 11.18 49,100 549
2018-06-30 13F-HR PPT / Putnam Premier Income Trust 5.23 103,800 543
2018-06-30 13F-HR XUTGX / Reaves Utility Income Fund 28.88 14,300 413
2018-06-30 13F-HR SALIENT MIDSTREAM & MLP FD / SH BEN INT (79471V105) 9.95 63,400 631
2018-06-30 13F-HR SFLY / Shutterfly, Inc. Put 258.00 500 129
2018-06-30 13F-HR SFLY / Shutterfly, Inc. 90.01 21,153 1,904
2018-06-30 13F-HR 82922RAD5 / Sina Corp. Bond 104,223 95,353 -8.51
2018-06-30 13F-HR SNAP / Snapchat, Inc. Put 58.64 2,200 129
2018-06-30 13F-HR SNAP / Snapchat, Inc. 13.08 38,680 506
2018-06-30 13F-HR PTY / PIMCO Corporate & Income Opportunity Fund 17.49 0 24,700 0 432
2018-06-30 13F-HR SKX / Skechers U.S.A. Inc. 30.00 10,000 13,400 34.00 389 402 3.34
2018-06-30 13F-HR STX / Seagate Technology PLC 56.25 13,031 1,760 -86.49 763 99 -87.02
2018-06-30 13F-HR STX / Seagate Technology PLC Put 212.44 4,570 1,704 -62.71 754 362 -51.99
2018-06-30 13F-HR PFE / Pfizer, Inc. 8.84 5,700 1,820,078 31,831.19 202 16,089 7,864.85
2018-06-30 13F-HR SHOP / Shopify Inc. 145.89 52,083 19,288 -62.97 6,489 2,814 -56.63
2018-06-30 13F-HR SHOP / Shopify Inc. Put 282.61 1,150 1,150 0.00 1,750 325 -81.43
2018-06-30 13F-HR NID / Nuveen Intermediate Duration Municipal Term Fund 12.46 4,100 19,900 385.37 51 248 386.27
2018-06-30 13F-HR PG / Procter & Gamble Co. (The) Put 158.18 0 1,100 0 174
2018-06-30 13F-HR JPS / Nuveen Preferred Securities Income Fund 8.81 0 189,900 0 1,673
2018-06-30 13F-HR JMF / Nuveen Energy MLP Total Return Fund 10.73 0 15,100 0 162
2018-06-30 13F-HR XRVTX / Royce Value Trust, Inc. 15.00 0 400 0 6
2018-06-30 13F-HR TLK / PT Telekomunikasi Indonesia 26.17 0 161,670 0 4,231
2018-06-30 13F-HR JRI / Nuveen Real Asset Income and Growth Fund 16.16 3,800 27,100 613.16 62 438 606.45
2018-06-30 13F-HR QD / Qudian Inc. 8.86 2,044,901 666,114 -67.43 23,925 5,902 -75.33
2018-06-30 13F-HR SQ / Square, Inc. Put 30.27 1,784 54
2018-06-30 13F-HR EAD / Evergreen Income Advantage Fund 8.02 9,100 73
2018-06-30 13F-HR ERC / Evergreen Multi-Sector Income Fund 12.48 20,200 252
2018-06-30 13F-HR ARR / ARMOUR Residential REIT, Inc. 23.03 6,600 152
2018-06-30 13F-HR ANGL / Market Vectors Fallen Angel High Yield Bond ETF 28.67 0 13,430 0 385
2018-06-30 13F-HR TM / Toyota Motor Corp. 129.31 0 10,100 0 1,306
2018-06-30 13F-HR X / United States Steel Corp. 34.75 16,255 20,117 23.76 572 699 22.20
2018-06-30 13F-HR X / United States Steel Corp. Call 182.00 0 500 0 91
2018-06-30 13F-HR TTM / Tata Motors Ltd. 19.73 267,366 418,800 56.64 6,732 8,261 22.71
2018-06-30 13F-HR TTM / Tata Motors Ltd. Put 840.00 1,000 1,000 0.00 283 840 196.82
2018-06-30 13F-HR SPLK / Splunk Inc. 99.12 15,594 9,332 -40.16 1,534 925 -39.70
2018-06-30 13F-HR SPLK / Splunk Inc. Put 276.67 857 300 -64.99 229 83 -63.76
2018-06-30 13F-HR UPS / United Parcel Service, Inc. 106.24 0 31,597 0 3,357
2018-06-30 13F-HR UPS / United Parcel Service, Inc. Put 725.71 0 525 0 381
2018-06-30 13F-HR WTW / Weight Watchers International, Inc. 97.35 2,431 113 -95.35 155 11 -92.90
2018-06-30 13F-HR WTW / Weight Watchers International, Inc. Put 0.00 93 93 0.00 35 0 -100.00
2018-06-30 13F-HR SJNK / SPDR Shrt Trm High Yield Bnd ETF 27.29 0 202,700 0 5,532
2018-06-30 13F-HR BHS / Bausch Health Companies Put 58.00 1,000 1,000 0.00 224 58 -74.11
2018-06-30 13F-HR TEL / TE Connectivity Ltd. 90.11 1,286 3,296 156.30 128 297 132.03
2018-06-30 13F-HR GIM / Templeton Global Income Fund 6.13 14,200 15,500 9.15 91 95 4.40
2018-06-30 13F-HR SMFG / Sumitomo Mitsui Financial Group Inc. 7.77 12,518 204,310 1,532.13 105 1,587 1,411.43
2018-06-30 13F-HR WFC / Wells Fargo & Co. Put 103.75 500 2,400 380.00 280 249 -11.07
2018-06-30 13F-HR SPY / SPDR S&P 500 ETF Trust 271.28 0 84,952 0 23,046
2018-06-30 13F-HR WB / Weibo Corporation Put 3,074.07 582 432 -25.77 557 1,328 138.42
2018-06-30 13F-HR UA / Under Armour, Inc., Class C Put 0.80 2,000 1,250 -37.50 170 1 -99.41
2018-06-30 13F-HR TYG / Tortoise Energy Infrastructure Corp. 26.69 0 132,100 0 3,526
2018-06-30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 62.50 1,609 800 -50.28 504 50 -90.08
2018-06-30 13F-HR NTG / Tortoise MLP Fund, Inc. 17.07 0 126,200 0 2,154
2018-06-30 13F-HR GOOGL / Alphabet Inc. 1,129.22 123,457 12,227 -90.10 128,042 13,807 -89.22
2018-06-30 13F-HR MMM / 3M Co. Put 490.91 0 110 0 54
2018-06-30 13F-HR JPC / Nuveen Preferred Income Opportunities Fund 9.33 0 103,100 0 962
2018-06-30 13F-HR VIPS / Vipshop Holdings, Inc. 10.86 207,625 66,873 -67.79 3,451 726 -78.96
2018-06-30 13F-HR VIPS / Vipshop Holdings, Inc. Put 100.00 2,300 2,000 -13.04 458 200 -56.33
2018-06-30 13F-HR EL / Estee Lauder Companies, Inc. (THE) 142.72 0 15,219 0 2,172
2018-06-30 13F-HR EL / Estee Lauder Companies, Inc. (THE) Put 997.50 442 400 -9.50 4 399 9,875.00
2018-06-30 13F-HR NXPI / NXP Semiconductors N.V. 109.27 210,072 305,822 45.58 24,578 33,417 35.96
2018-06-30 13F-HR BGY / BlackRock International Growth and Income Trust 5.74 94,100 62,700 -33.37 573 360 -37.17
2018-06-30 13F-HR AMD / Advanced Micro Devices, Inc. Put 57.21 3,950 2,150 -45.57 833 123 -85.23
2018-06-30 13F-HR LB / L Brands, Inc. Put 128.00 1,552 1,000 -35.57 881 128 -85.47
2018-06-30 13F-HR EOS / Eaton Vance Enhanced Equity Income Fund II 16.88 0 9,600 0 162
2018-06-30 13F-HR NTES / NetEase, Inc. Put 2,320.00 475 275 -42.11 988 638 -35.43
2018-06-30 13F-HR EXPE / Expedia, Inc. Call 869.33 75 375 400.00 83 326 292.77
2018-06-30 13F-HR FL / Foot Locker, Inc. Put 85.00 672 1,000 48.81 144 85 -40.97
2018-06-30 13F-HR NCV / AGIC Convertible & Income Fund 6.94 14,700 10,800 -26.53 99 75 -24.24
2018-06-30 13F-HR CLX / Clorox Company (The) Put 36.36 55 55 0.00 16 2 -87.50
2018-06-30 13F-HR STX / Seagate Technology PLC Call 57.14 1,200 350 -70.83 317 20 -93.69
2018-06-30 13F-HR VTA / Invesco Dynamic Credit Opportunities Fund 11.63 0 31,200 0 363
2018-06-30 13F-HR X / United States Steel Corp. Put 165.38 415 1,300 213.25 49 215 338.78
2018-06-30 13F-HR YY / YY Inc. 100.48 6,146 13,794 124.44 647 1,386 114.22
2018-06-30 13F-HR YY / YY Inc. Put 285.00 94 1,000 963.83 143 285 99.30
2018-06-30 13F-HR ZLAB / Zai Lab Limited 23.25 64,000 44,000 -31.25 1,366 1,023 -25.11
2018-06-30 13F-HR MMU / Western Asset Managed Municipals Fund, Inc. 12.69 4,100 27,500 570.73 53 349 558.49
2018-06-30 13F-HR IRBT / iRobot Corp. Put 323.62 311 961 209.00 130 311 139.23
2018-06-30 13F-HR HPE / Hewlett Packard Enterprise Company 14.60 917 2,809 206.32 16 41 156.25
2018-06-30 13F-HR KORS / Michael Kors Holdings Ltd. 66.67 6,500 6,000 -7.69 404 400 -0.99
2018-06-30 13F-HR TSM / Taiwan Semiconductor Manufacturing Co. Ltd. 36.56 784,547 647,065 -17.52 34,332 23,657 -31.09
2018-06-30 13F-HR JQC / Nuveen Credit Strategies Income Fund 7.95 178,600 172,300 -3.53 1,418 1,370 -3.39
2018-06-30 13F-HR BAC / Bank of America Corp. Put 107.86 1,000 1,400 40.00 191 151 -20.94
2018-06-30 13F-HR FDX / FedEx Corp. Call 36.67 300 300 0.00 287 11 -96.17
2018-06-30 13F-HR MOMO / Momo Inc. Put 76.33 2,850 2,450 -14.04 168 187 11.31
2018-06-30 13F-HR TLT / iShares 20+ Year Treasury Bond ETF Put 288.00 1,000 250 -75.00 151 72 -52.32
2018-06-30 13F-HR UMC / United Microelectronics Corp. 2.78 440,626 343,100 -22.13 1,163 954 -17.97
2018-06-30 13F-HR PG / Procter & Gamble Co. (The) Call 620.00 0 500 0 310
2018-06-30 13F-HR XCEMX / Clearbridge Energy MLP Fund Inc 14.14 109,200 50,300 -53.94 1,375 711 -48.29
2018-06-30 13F-HR XRX / Xerox Corp. Call 6.00 1,136 1,000 -11.97 55 6 -89.09
2018-06-30 13F-HR BHS / Bausch Health Companies 23.22 35,695 9,947 -72.13 568 231 -59.33
2018-06-30 13F-HR EOI / Eaton Vance Enhanced Equity Income Fund 15.31 0 4,900 0 75
2018-06-30 13F-HR TEL / TE Connectivity Ltd. Put 513.51 37 37 0.00 12 19 58.33
2018-06-30 13F-HR NCZ / AGIC Convertible & Income Fund II 6.04 10,900 22,700 108.26 65 137 110.77
2018-06-30 13F-HR COST / Costco Wholesale Corp. Call 460.00 400 150 -62.50 376 69 -81.65
2018-06-30 13F-HR WFC / Wells Fargo & Co. Call 205.00 500 1,000 100.00 73 205 180.82
2018-06-30 13F-HR CAT / Caterpillar, Inc. 135.65 0 12,149 0 1,648
2018-06-30 13F-HR NMR / Nomura Holdings, Inc. 4.86 213,923 760,438 255.47 1,237 3,692 198.46
2018-06-30 13F-HR EVV / Eaton Vance Limited Duration Income Fund 12.58 0 105,900 0 1,332
2018-06-30 13F-HR EMO / ClearBridge Energy MLP Opportunity Fund Inc. 10.87 0 2,300 0 25
2018-06-30 13F-HR SNE / Sony Corp. 51.08 47,478 12,393 -73.90 2,295 633 -72.42
2018-06-30 13F-HR UA / Under Armour, Inc., Class C Call 750.40 1,250 1,250 0.00 307 938 205.54
2018-06-30 13F-HR HSBC / HSBC Holdings Plc Put 500 0 -100.00 70 0 -100.00
2018-06-30 13F-HR BLACKROCK MUN 2030 TAR TERM / COM SHS BEN IN (09257P105) 12,300 0 -100.00 262 0
2018-06-30 13F-HR VOYA GLBL EQTY DIV & PREM OP / (92912T100) 17,800 0 -100.00 130 0
2018-06-30 13F-HR WESTERN ASSET EMRG MKT DEBT / (95766A101) 47,500 0 -100.00 690 0
2018-06-30 13F-HR WRK / Westrock Company Call 105 0 -100.00 1 0 -100.00
2018-06-30 13F-HR KHC / Kraft Heinz Company 9,738 0 -100.00 607 0 -100.00
2018-06-30 13F-HR KHC / Kraft Heinz Company Put 100 0 -100.00 130 0 -100.00
2018-06-30 13F-HR EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 84,300 0 -100.00 659 0 -100.00
2018-06-30 13F-HR GAM / General American Investors Co., Inc. 4,600 0 -100.00 154 0 -100.00
2018-06-30 13F-HR AMD / Advanced Micro Devices, Inc. 271,017 0 -100.00 2,724 0 -100.00
2018-06-30 13F-HR SPY / SPDR S&P 500 ETF Trust Call 2,500 0 -100.00 330 0 -100.00
2018-06-30 13F-HR TRN / Trinity Industries, Inc. Call 300 0 -100.00 37 0 -100.00
2018-06-30 13F-HR TRN / Trinity Industries, Inc. Put 531 0 -100.00 15 0 -100.00
2018-06-30 13F-HR GRUB / GrubHub Inc. 14,558 0 -100.00 1,477 0 -100.00
2018-06-30 13F-HR GRUB / GrubHub Inc. Put 446 0 -100.00 255 0 -100.00
2018-06-30 13F-HR TSN / Tyson Foods, Inc. 25,662 0 -100.00 1,878 0 -100.00
2018-06-30 13F-HR TSN / Tyson Foods, Inc. Call 600 0 -100.00 48 0 -100.00
2018-06-30 13F-HR TSN / Tyson Foods, Inc. Put 750 0 -100.00 186 0 -100.00
2018-06-30 13F-HR NUV / Nuveen Municipal Value Fund, Inc. 177,600 0 -100.00 1,682 0 -100.00
2018-06-30 13F-HR OXY / Occidental Petroleum Corp. 118,945 0 -100.00 7,727 0 -100.00
2018-06-30 13F-HR FL / Foot Locker, Inc. Call 400 0 -100.00 8 0 -100.00
2018-06-30 13F-HR PG / Procter & Gamble Co. (The) 5,100 0 -100.00 404 0 -100.00
2018-06-30 13F-HR CAT / Caterpillar, Inc. Call 700 0 -100.00 189 0 -100.00
2018-06-30 13F-HR ADM / Archer-Daniels-Midland Co. Call 64 0 -100.00 26 0 -100.00
2018-06-30 13F-HR ADM / Archer-Daniels-Midland Co. Put 64 0 -100.00 5 0 -100.00
2018-06-30 13F-HR ZTO / ZTO Express (Cayman) Inc. 70,000 0 -100.00 1,049 0 -100.00
2018-06-30 13F-HR ALXN / Alexion Pharmaceuticals, Inc. 24,977 0 -100.00 2,784 0 -100.00
2018-06-30 13F-HR ALXN / Alexion Pharmaceuticals, Inc. Put 450 0 -100.00 484 0 -100.00
2018-06-30 13F-HR IPGP / IPG Photonics Corp. 708 0 -100.00 165 0 -100.00
2018-06-30 13F-HR IPGP / IPG Photonics Corp. Put 200 0 -100.00 9 0 -100.00
2018-06-30 13F-HR CTR / ClearBridge Energy MLP Total Return Fund Inc. 16,400 0 -100.00 161 0 -100.00
2018-06-30 13F-HR NVDA / NVIDIA Corp. 192 0 -100.00 44 0 -100.00
2018-06-30 13F-HR NVDA / NVIDIA Corp. Put 13 0 -100.00 2 0 -100.00
2018-06-30 13F-HR SJM / Smucker (J.M.) Co. 1,542 0 -100.00 191 0 -100.00
2018-06-30 13F-HR SJM / Smucker (J.M.) Co. Put 300 0 -100.00 5 0 -100.00
2018-06-30 13F-HR FEI / First Trust MLP and Energy Income Fund 63,714 0 -100.00 780 0 -100.00
2018-06-30 13F-HR CF / CF Industries Holding, Inc. Put 300 0 -100.00 63 0 -100.00
2018-06-30 13F-HR MOMO / Momo Inc. Call 370 0 -100.00 281 0 -100.00
2018-06-30 13F-HR XRX / Xerox Corp. 7,660 0 -100.00 220 0 -100.00
2018-06-30 13F-HR XRX / Xerox Corp. Put 386 0 -100.00 102 0 -100.00
2018-06-30 13F-HR TWX / Time Warner, Inc. 85,134 0 -100.00 8,052 0 -100.00
2018-06-30 13F-HR FPE / First Trust Preferred Securities and Income ETF 15,744 0 -100.00 306 0 -100.00
2018-06-30 13F-HR RHT / Red Hat, Inc. 1,356 0 -100.00 203 0 -100.00
2018-06-30 13F-HR RHT / Red Hat, Inc. Put 400 0 -100.00 9 0 -100.00
2018-06-30 13F-HR CSCO / Cisco Systems, Inc. Call 850 0 -100.00 319 0 -100.00
2018-06-30 13F-HR CSCO / Cisco Systems, Inc. Put 850 0 -100.00 72 0 -100.00
2018-06-30 13F-HR LULU / lululemon athletica inc. 91 0 -100.00 8 0 -100.00
2018-06-30 13F-HR LULU / lululemon athletica inc. Put 10 0 -100.00 1 0 -100.00
2018-06-30 13F-HR IFN / India Fund, Inc. (THE) 23,800 0 -100.00 586 0 -100.00
2018-06-30 13F-HR BA / Boeing Company (The) 7,688 0 -100.00 2,521 0 -100.00
2018-06-30 13F-HR BA / Boeing Company (The) Put 150 0 -100.00 272 0 -100.00
2018-06-30 13F-HR EDU / New Oriental Education & Technology Group, Inc. 3,050 0 -100.00 267 0 -100.00
2018-06-30 13F-HR EDU / New Oriental Education & Technology Group, Inc. Put 450 0 -100.00 12 0 -100.00
2018-06-30 13F-HR NOAH / Noah Holdings Ltd. 32,613 0 -100.00 1,540 0 -100.00
2018-06-30 13F-HR EXAS / EXACT Sciences Corp. 19,632 0 -100.00 792 0 -100.00
2018-06-30 13F-HR WM / Waste Management, Inc. 4,605 0 -100.00 387 0 -100.00
2018-06-30 13F-HR WM / Waste Management, Inc. Put 505 0 -100.00 10 0 -100.00
2018-06-30 13F-HR CHL / China Mobile Ltd. 23,881 0 -100.00 1,095 0 -100.00
2018-06-30 13F-HR INTC / Intel Corp. Call 200 0 -100.00 108 0 -100.00
2018-06-30 13F-HR INTC / Intel Corp. Put 200 0 -100.00 26 0 -100.00
2018-06-30 13F-HR EMLC / VanEck Vectors ETF TR 261,600 0 -100.00 5,127 0 -100.00
2018-06-30 13F-HR HQH / Tekla Healthcare Investors 25,640 0 -100.00 552 0 -100.00
2018-06-30 13F-HR GHY / Prudential Global Short Duration High Yield Fund, Inc. 46,700 0 -100.00 648 0 -100.00
2018-06-30 13F-HR ITUB / Itau Unibanco Holding S.A. 14,867 0 -100.00 232 0 -100.00
2018-06-30 13F-HR ITUB / Itau Unibanco Holding S.A. Put 2,000 0 -100.00 20 0 -100.00
2018-06-30 13F-HR AMTD / TD AmeriTrade Holding Corp. Call 800 0 -100.00 176 0 -100.00
2018-06-30 13F-HR AMTD / TD AmeriTrade Holding Corp. Put 350 0 -100.00 13 0 -100.00
2018-06-30 13F-HR BGR / BlackRock Energy & Resources Trust 42,891 0 -100.00 567 0 -100.00
2018-06-30 13F-HR AOD / Alpine Total Dynamic Dividend Fund 104,300 0 -100.00 932 0 -100.00
2018-06-30 13F-HR PCY / PowerShares Emerging Markets Sovereign Debt Portfolio 11,000 0 -100.00 310 0 -100.00
2018-06-30 13F-HR JOBS / 51job, Inc. 52,199 0 -100.00 4,491 0 -100.00
2018-06-30 13F-HR XISDX / Prudential Short Duration High 80,000 0 -100.00 1,130 0 -100.00
2018-06-30 13F-HR PKX / POSCO 29,995 0 -100.00 2,290 0 -100.00
2018-06-30 13F-HR IGR / CBRE Clarion Global Real Estate Income Fund 48,800 0 -100.00 357 0 -100.00
2018-06-30 13F-HR BHP / BHP Billiton Ltd. 97,051 0 -100.00 4,204 0 -100.00
2018-06-30 13F-HR SINA / Sina Corp. 124,985 0 -100.00 13,032 0 -100.00
2018-06-30 13F-HR ACN / Accenture plc 17,762 0 -100.00 2,726 0 -100.00
2018-06-30 13F-HR ACN / Accenture plc Put 355 0 -100.00 156 0 -100.00
2018-06-30 13F-HR ALK / Alaska Air Group, Inc. 69,643 0 -100.00 4,315 0 -100.00
2018-06-30 13F-HR ALK / Alaska Air Group, Inc. Call 600 0 -100.00 3 0 -100.00
2018-06-30 13F-HR ALK / Alaska Air Group, Inc. Put 750 0 -100.00 604 0 -100.00
2018-06-30 13F-HR AWP / Alpine Global Premier Properties Fund 12,900 0 -100.00 80 0 -100.00
2018-06-30 13F-HR BBT / BB&T Corp. 157 0 -100.00 8 0 -100.00
2018-06-30 13F-HR BBT / BB&T Corp. Put 3 0 -100.00 1 0 -100.00
2018-06-30 13F-HR FIF / First Trust Energy Infrastructure Fund 3,400 0 -100.00 51 0 -100.00
2018-06-30 13F-HR FFC / Flaherty & Crumrine/Claymore Preferred Securities Income Fund, Inc. 7,500 0 -100.00 143 0 -100.00
2018-06-30 13F-HR FLT / FleetCor Technologies, Inc. 12,051 0 -100.00 2,440 0 -100.00
2018-06-30 13F-HR FLT / FleetCor Technologies, Inc. Put 400 0 -100.00 188 0 -100.00
2018-06-30 13F-HR FLIR / FLIR Systems, Inc. Put 50 0 -100.00 1 0 -100.00
2018-06-30 13F-HR FLIR / FLIR Systems, Inc. 668 0 -100.00 33 0 -100.00
2018-06-30 13F-HR HP / Helmerich & Payne, Inc. 25,972 0 -100.00 1,729 0 -100.00
2018-06-30 13F-HR HP / Helmerich & Payne, Inc. Put 724 0 -100.00 211 0 -100.00
2018-06-30 13F-HR TLT / iShares 20+ Year Treasury Bond ETF 10,595 0 -100.00 1,292 0 -100.00
2018-06-30 13F-HR KHC / Kraft Heinz Company Call 900 0 -100.00 5 0 -100.00
2018-06-30 13F-HR KR / Kroger Co. Call 50 0 -100.00 0 0
2018-06-30 13F-HR LB / L Brands, Inc. 120,395 0 -100.00 4,600 0 -100.00
2018-06-30 13F-HR MPC / Marathon Petroleum Corp. Call 800 0 -100.00 186 0 -100.00
2018-06-30 13F-HR MPC / Marathon Petroleum Corp. Put 357 0 -100.00 9 0 -100.00
2018-06-30 13F-HR MON / Monsanto Co. 73,314 0 -100.00 8,555 0 -100.00
2018-06-30 13F-HR NKE / Nike, Inc. Put 500 0 -100.00 8 0 -100.00
2018-06-30 13F-HR NEA / Nuveen AMT-Free Municipal Income Fund 19,600 0 -100.00 255 0 -100.00
2018-06-30 13F-HR NUVEEN NASDAQ 100 DYNAMIC OV / COM SHS (670699107) Put 15,790 0 -100.00 6,455 0
2018-06-30 13F-HR PYPL / PayPal Holdings, Inc. 13,508 0 -100.00 1,025 0 -100.00
2018-06-30 13F-HR PYPL / PayPal Holdings, Inc. Put 500 0 -100.00 104 0 -100.00
2018-06-30 13F-HR PBR / Petroleo Brasileiro SA Petrobras ADR Call 800 0 -100.00 73 0 -100.00
2018-06-30 13F-HR PBR / Petroleo Brasileiro SA Petrobras ADR Put 800 0 -100.00 93 0 -100.00
2018-06-30 13F-HR PBR / Petroleo Brasileiro SA Petrobras ADR 1,160 0 -100.00 16 0 -100.00
2018-06-30 13F-HR VRP / PowerShares Variable Rate Preferred Portfolio 10,820 0 -100.00 272 0 -100.00
2018-06-30 13F-HR TROW / Price (T.) Rowe Group, Inc. 10,248 0 -100.00 1,106 0 -100.00
2018-06-30 13F-HR TROW / Price (T.) Rowe Group, Inc. Put 300 0 -100.00 50 0 -100.00
2018-06-30 13F-HR EHI / Western Asset Global High Income Fund Inc. 6,400 0 -100.00 60 0 -100.00
2018-06-30 13F-HR WRK / Westrock Company Put 5 0 -100.00 2 0 -100.00
2018-06-30 13F-HR BZUN / Baozun Inc. Put 435.29 850 370
2018-06-30 13F-HR BZUN / Baozun Inc. 54.70 81,831 4,476
2018-06-30 13F-HR BB / Blackberry Limited 9.65 90,953 878
2018-06-30 13F-HR BB / Blackberry Limited Put 125.50 2,000 251
2018-06-30 13F-HR XBHKX / BlackRock Core Bond Trust 12.76 21,700 277
2018-06-30 13F-HR XDSUX / BlackRock Debt Strategies Fd , 11.18 62,900 703
2018-06-30 13F-HR MUC / BlackRock MuniHoldings California Quality Fund, Inc. 13.24 7,100 94
2018-06-30 13F-HR BST / BlackRock Science and Technology Trust 33.65 6,300 212
2018-06-30 13F-HR BUI / BlackRock Utility and Infrastructure Trust 20.00 3,000 60
2018-06-30 13F-HR BKNG / Booking Holdings Inc. Put 14,950.00 40 598
2018-06-30 13F-HR BIF / Boulder Growth & Income Fund, Inc. 10.29 17,400 179
2018-06-30 13F-HR BTI / British American Tobacco p.l.c. Put 55.56 72 4
2018-06-30 13F-HR BTI / British American Tobacco p.l.c. 50.39 1,270 64
2018-06-30 13F-HR BG / Bunge Ltd. Call 52.50 400 21
2018-06-30 13F-HR CENTER COAST BRKFLD MLP ENRG / SHS BEN INT (151461100) 8.89 233,400 2,075
2018-06-30 13F-HR RFI / Cohen & Steers Total Return Realty Fund, Inc. 12.59 19,300 243
2018-06-30 13F-HR COLUMBIA SELIGM PREM TECH GR / (19842X109) 21.56 3,200 69
2018-06-30 13F-HR CRF / Cornerstone Total Return Fund, Inc. 13.99 206,500 2,889
2018-06-30 13F-HR GLW / Corning, Inc. Call 134.75 282 38
2018-06-30 13F-HR GLW / Corning, Inc. Put 74.47 282 21
2018-06-30 13F-HR DQ / Daqo New Energy Corp. 0 0
2018-06-30 13F-HR DSM / Dreyfus Strategic Municipal Bond Fund, Inc. 10.00 100 1
2018-06-30 13F-HR EFT / Eaton Vance Floating-Rate Income Trust 14.50 57,300 831
2018-06-30 13F-HR EFR / Eaton Vance Senior Floating-Rate Fund 14.34 7,600 109
2018-06-30 13F-HR FANH / Fanhua Inc. 28.51 26,520 756
2018-06-30 13F-HR FMO / Fiduciary/Claymore MLP Opportunity Fund 11.66 52,300 610
2018-06-30 13F-HR FIRST TR DYNAMIC EUROPE EQT / COM SHS (33740D107) 16.12 4,900 79
2018-06-30 13F-HR FEN / First Trust Energy Income & Growth Fund 22.94 5,100 117
2018-06-30 13F-HR FIRST TR SR FLG RTE INCM FD / (33733U108) 12.85 43,100 554
2018-06-30 13F-HR FIRST TR SR FLOATING RATE 20 / COM SHS (33740K101) 9.29 8,500 79
2018-06-30 13F-HR GS / Goldman Sachs Group, Inc. (The) Put 649.23 650 422
2018-06-30 13F-HR GS / Goldman Sachs Group, Inc. (The) 220.55 18,939 4,177
2018-06-30 13F-HR MU / Micron Technology, Inc. Put 200.00 300 60
2018-06-30 13F-HR JFR / Nuveen Floating Rate Income Fund 10.45 144,600 1,511
2018-06-30 13F-HR NUVEEN MUNICIPAL CREDIT INC / COM SH BEN INT (67070X101) 14.34 50,500 724
2018-06-30 13F-HR SINA / Sina Corp. Put 636.36 11 7
2018-06-30 13F-HR SUNLANDS ONLINE ED GROUP / ADS (86740P108) 8.91 1,325,570 11,811
2018-06-30 13F-HR SYMC / Symantec Corp. 20.65 99,737 2,060
2018-06-30 13F-HR SYMC / Symantec Corp. Put 145.00 2,400 348
2018-06-30 13F-HR HQL / Tekla Life Sciences Investors 18.78 24,277 456
2018-06-30 13F-HR EMF / Templeton Emerging Markets Fund 14.69 6,400 94
2018-06-30 13F-HR TORTOISE MLP FD INC / RIGHT 07/18/2018 (89148B119) 0.00 90,603 0
2018-06-30 13F-HR TY / Tri-Continental Corp. 26.53 8,028 213
2018-06-30 13F-HR VGI / Virtus Global Multi-Sector Income Fund 13.37 50,100 670
2018-06-30 13F-HR VOYA PRIME RATE TR / SH BEN INT (92913A100) 5.03 144,200 725