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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
651 ZIX CORP 75 0 0.00%
652 SPDR SERIES TRUST 0 0 0.00%
653 Internap Network Services Corp 165 0 0.00%
654 CALIFORNIA RES CORP 1 0 0.00%
655 QLT INC 50 0 0.00%
656 VECTRUS INC 1 0 0.00%
657 NETLIST INC 300 0 0.00%
658 SINCLAIR BROADCAST GROUP INC 1 0 0.00%
659 POWERSHARES ETF TR II 11 0 0.00%
660 Liberty Ventures 11 0 0.00%
661 CIVEO CORP CDA 1 0 0.00%
662 GENERAL MTRS CO 35 0 0.00%
663 ORION ENERGY SYSTEMS INC 200 0 0.00%
664 WEIBO CORP 56 0 0.00%
665 BLACKBERRY LTD 40 0 0.00%
666 STARZ SERIES A 14 0 0.00%
667 SPDR SER TR 3 0 0.00%
668 VANECK VECTORS ETF TR 0 0 0.00%
669 MABVAX THERAPEUTICS HOLDINGS, INC. 109 0 0.00%
670 ROYAL GOLD INC 3 0 0.00%
671 TERADATA CORP DEL 13 0 0.00%
672 CROCS INC 25 0 0.00%
673 WMI HOLDINGS CORP. 4 0 0.00%
674 ARALEZ PHARMACEUTICALS INC 6 0 0.00%
675 ORGANOVO HLDGS INC 30 0 0.00%
676 PROTHENA CORP PLC 7 0 0.00%
677 UNITED STATES COMMODITY INDEX FUND 5 0 0.00%
678 BLUCORA INC 10 0 0.00%
679 ASTERIAS BIOTHERAPEUTICS INC COM SER A 2 0 0.00%
680 COMMERCEHUB INC COM SER C 2 0 0.00%
681 NUANCE COMM 10 0 0.00%
682 EMBRAER S A 24 0 0.00%
683 STERIS PLC SHS USD 3 0 0.00%
684 COMMERCEHUB INC COM SER A 1 0 0.00%
685 GLOBAL X FDS 20 0 0.00%
686 ISHARES TR 2 0 0.00%
687 TOOTSIE ROLL INDS INC 10 0 0.00%
688 HARMONIC INC 32 0 0.00%
689 HARRIS CORP 3 0 0.00%
690 URANIUM ENERGY CORP 440 0 0.00%
691 MICROVISION INC DEL 313 0 0.00%
692 GLADSTONE CAPITAL CORP 3 0 0.00%
693 RMR GROUP INC 1 0 0.00%
694 VIRNETX HLDG CORP 100 0 0.00%
695 BALLARD PWR SYS INC NEW 20 0 0.00%
696 SPDR BLOOMBERG INTERNATIONAL CORPORATE BOND ETF 9 0 0.00%
Page 14 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.