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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 (2016Q4)
Portfolio Summary: 672 holdings with a total value of $151,673,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 LIBERTY EXPEDIA HOLDINGS SER A COM 4 0 0.00%
2 GLADSTONE CAPITAL CORP 3 0 0.00%
3 SPDR SERIES TRUST 0 0 0.00%
4 NOVELION THERAPEUTICS INC 10 0 0.00%
5 CALIFORNIA RES CORP 1 0 0.00%
6 SPDR SER TR 3 0 0.00%
7 GOLD FIELDS LTD NEW 125 0 0.00%
8 SELECT SECTOR SPDR TR 2 0 0.00%
9 VERITIV CORP 3 0 0.00%
10 STERIS PLC SHS USD 3 0 0.00%
11 TOOTSIE ROLL INDS INC 10 0 0.00%
12 ORION ENERGY SYSTEMS INC 200 0 0.00%
13 EATON CORP PLC 2 0 0.00%
14 ROYAL GOLD INC 4 0 0.00%
15 BALLARD PWR SYS INC NEW 20 0 0.00%
16 SEQUENTIAL BRNDS GROUP INC N 101 0 0.00%
17 URANIUM ENERGY CORP 440 0 0.00%
18 SPDR BLOOMBERG INTERNATIONAL CORPORATE BOND ETF 9 0 0.00%
19 MICROVISION INC DEL 313 0 0.00%
20 HARMONIC INC 32 0 0.00%
21 RMR GROUP INC 1 0 0.00%
22 WMI HOLDINGS CORP. 4 0 0.00%
23 HARRIS CORP 3 0 0.00%
24 ARALEZ PHARMACEUTICALS INC 6 0 0.00%
25 HRG GROUP INC 32 0 0.00%
26 VIRNETX HLDG CORP 100 0 0.00%
27 QUALITY CARE PPTYS INC 4 0 0.00%
28 PROTHENA CORP PLC 7 0 0.00%
29 LIONS GATE ENTMNT CORP CL B NON VTG 9 0 0.00%
30 CIVEO CORP CDA 1 0 0.00%
31 LIBERTY INTERACTIVE CORPORATIO LBT VENT COM A 6 0 0.00%
32 VECTRUS INC 1 0 0.00%
33 Internap Network Services Corp 165 0 0.00%
34 SINCLAIR BROADCAST GROUP INC 1 0 0.00%
35 VANECK VECTORS ETF TR 0 0 0.00%
36 NUANCE COMM 10 0 0.00%
37 COMMERCEHUB INC COM SER A 1 0 0.00%
38 COMMERCEHUB INC COM SER C 2 0 0.00%
39 BLACKBERRY LTD 40 0 0.00%
40 ISHARES TR 2 0 0.00%
41 CLEAN ENERGY FUELS CORPORATION COM 100 0 0.00%
42 MABVAX THERAPEUTICS HOLDINGS, INC. 109 0 0.00%
43 CROCS INC 25 0 0.00%
44 CHESAPEAKE ENERGY CORP 86 1,000 0.00%
45 SALESFORCE COM INC 15 1,000 0.00%
46 COPA HOLDINGS SA 16 1,000 0.00%
47 ATWOOD OCEANICS INC 72 1,000 0.00%
48 GASLOG LTD 71 1,000 0.00%
49 PACIFIC PREMIER BANCORP 34 1,000 0.00%
50 DEVON ENERGY CORP NEW 22 1,000 0.00%
Page 1 of 14

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001616026-17-000002, filed 2017.02.03).

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.