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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
251 NEVSUN RES LTD 10,000 30,000 0.02%
252 VANGUARD WHITEHALL FDS 415 30,000 0.02%
253 LUMEN TECHNOLOGIES INC 1,107 30,000 0.02%
254 BAIDU INC 164 30,000 0.02%
255 SCHWAB EMERGING MARKETS EQUITY ETF 1,322 30,000 0.02%
256 BLACK HILLS CORP 467 29,000 0.02%
257 STRYKER CORP 250 29,000 0.02%
258 RIO TINTO PLC 860 29,000 0.02%
259 CARNIVAL CORP 602 29,000 0.02%
260 CSX CORP 945 29,000 0.02%
261 VENTAS INC 400 28,000 0.02%
262 GRAINGER W W INC 123 28,000 0.02%
263 HARLEY DAVIDSON INC 525 28,000 0.02%
264 DISCOVER FINL SVCS 495 28,000 0.02%
265 ATMOS ENERGY CORP 370 28,000 0.02%
266 MICRON TECHNOLOGY INC 1,540 27,000 0.02%
267 ISHARES TR 681 27,000 0.02%
268 MFS HIGH YIELD MUN TR 5,321 27,000 0.02%
269 NEW GERMANY FD INC 1,782 26,000 0.02%
270 INTERDIGITAL INC 330 26,000 0.02%
271 KINDER MORGAN INC DEL 1,106 26,000 0.02%
272 WESTERN DIGITAL CORP 452 26,000 0.02%
273 BLACKROCK MUNIHOLDINGS QUALI 1,814 26,000 0.02%
274 ISHARES TR 222 26,000 0.02%
275 EVERSOURCE ENERGY 464 25,000 0.02%
276 TRANSENTERIX INC 15,000 25,000 0.02%
277 HERSHEY CO 250 24,000 0.02%
278 SCHWAB U.S. BROAD MARKET ETF 457 24,000 0.02%
279 ECOLAB INC 200 24,000 0.02%
280 WIPRO LIMITED SPON ADR 1 SH 2,489 24,000 0.02%
281 PG&E CORP 397 24,000 0.02%
282 CLOROX CO DEL 195 24,000 0.02%
283 NUVEEN CALIFORNIA AMT QLT MU 1,375 23,000 0.02%
284 ALLIANCEBERNSTEIN HLDG L P 1,000 23,000 0.02%
285 POTASH CORP SASK INC 1,414 23,000 0.02%
286 CALLAWAY GOLF CO 2,000 23,000 0.02%
287 CDK GLOBAL INC 376 22,000 0.02%
288 GOLDMAN SACHS MLP ENERGY RENAI 2,991 22,000 0.02%
289 APPLIED INDL TECHNOLOGIES IN 472 22,000 0.02%
290 RYDEX ETF TRUST 259 22,000 0.02%
291 EXCO RESOURCES INC 20,344 22,000 0.02%
292 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL US 685 21,000 0.01%
293 CANADIAN NATL RY CO 315 21,000 0.01%
294 SPROTT PHYSICAL SILVER TR 2,786 21,000 0.01%
295 TEMPLETON GLOBAL INCOME FD 3,350 21,000 0.01%
296 BARCLAYS BK PLC 624 21,000 0.01%
297 EOG RES INC 210 20,000 0.01%
298 AIRCASTLE LTD 1,000 20,000 0.01%
299 VANECK ETF TRUST 750 20,000 0.01%
300 ENERGIZER HLDGS INC NEW COM 407 20,000 0.01%
Page 6 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.