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Institutional Investment Manager
Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC (CIK: 0001616026) incorporated in Washington, located at 2211 Rimland Drive, Bellingham, WA. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 696 holdings with a total value of $142,634,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 GENERAL MTRS CO 35 0 0.00%
2 MABVAX THERAPEUTICS HOLDINGS, INC. 109 0 0.00%
3 POWERSHARES ETF TR II 11 0 0.00%
4 STARZ SERIES A 14 0 0.00%
5 ROYAL GOLD INC 3 0 0.00%
6 TOOTSIE ROLL INDS INC 10 0 0.00%
7 URANIUM ENERGY CORP 440 0 0.00%
8 QLT INC 50 0 0.00%
9 CIVEO CORP CDA 1 0 0.00%
10 Liberty Ventures 11 0 0.00%
11 NUANCE COMM 10 0 0.00%
12 VIRNETX HLDG CORP 100 0 0.00%
13 STERIS PLC SHS USD 3 0 0.00%
14 COMMERCEHUB INC COM SER C 2 0 0.00%
15 NETLIST INC 300 0 0.00%
16 WMI HOLDINGS CORP. 4 0 0.00%
17 CLEAN ENERGY FUELS CORPORATION COM 100 0 0.00%
18 BLUCORA INC 10 0 0.00%
19 SINCLAIR BROADCAST GROUP INC 1 0 0.00%
20 ORGANOVO HLDGS INC 30 0 0.00%
21 BLACKBERRY LTD 40 0 0.00%
22 CALIFORNIA RES CORP 1 0 0.00%
23 HARMONIC INC 32 0 0.00%
24 UNITED STATES COMMODITY INDEX FUND 5 0 0.00%
25 GLOBAL X FDS 20 0 0.00%
26 PROTHENA CORP PLC 7 0 0.00%
27 WEIBO CORP 56 0 0.00%
28 SPDR SERIES TRUST 0 0 0.00%
29 Essendant Inc Com 5 0 0.00%
30 TERADATA CORP DEL 13 0 0.00%
31 VERITIV CORP 4 0 0.00%
32 BALLARD PWR SYS INC NEW 20 0 0.00%
33 MICROVISION INC DEL 313 0 0.00%
34 VECTRUS INC 1 0 0.00%
35 HARRIS CORP 3 0 0.00%
36 GLADSTONE CAPITAL CORP 3 0 0.00%
37 ARALEZ PHARMACEUTICALS INC 6 0 0.00%
38 ISHARES TR 2 0 0.00%
39 COMMERCEHUB INC COM SER A 1 0 0.00%
40 Internap Network Services Corp 165 0 0.00%
41 CROCS INC 25 0 0.00%
42 SPDR SER TR 3 0 0.00%
43 EMBRAER S A 24 0 0.00%
44 VANECK VECTORS ETF TR 0 0 0.00%
45 ASTERIAS BIOTHERAPEUTICS INC COM SER A 2 0 0.00%
46 ZIX CORP 75 0 0.00%
47 ORION ENERGY SYSTEMS INC 200 0 0.00%
48 RMR GROUP INC 1 0 0.00%
49 SPDR BLOOMBERG INTERNATIONAL CORPORATE BOND ETF 9 0 0.00%
50 PACIFIC PREMIER BANCORP 34 1,000 0.00%
Page 1 of 14

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001616026-16-000008, filed 2016.11.07).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.