Dark
Light
System
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
651 ARALEZ PHARMACEUTICALS INC 6 0 0.00%
652 CIVEO CORP CDA 1 0 0.00%
653 GLADSTONE CAPITAL CORP 3 0 0.00%
654 SINCLAIR BROADCAST GROUP INC 1 0 0.00%
655 SEQUENTIAL BRNDS GROUP INC N 101 0 0.00%
656 BLACKBERRY LTD 40 0 0.00%
657 HARMONIC INC 32 0 0.00%
658 SPDR SERIES TRUST 0 0 0.00%
659 HRG GROUP INC 32 0 0.00%
660 URANIUM ENERGY CORP 440 0 0.00%
661 SPDR BLOOMBERG INTERNATIONAL CORPORATE BOND ETF 9 0 0.00%
662 RMR GROUP INC 1 0 0.00%
663 BALLARD PWR SYS INC NEW 20 0 0.00%
664 LIBERTY INTERACTIVE CORPORATIO LBT VENT COM A 6 0 0.00%
665 ORION ENERGY SYSTEMS INC 200 0 0.00%
666 PROTHENA CORP PLC 7 0 0.00%
667 ISHARES TR 2 0 0.00%
668 VECTRUS INC 1 0 0.00%
669 NOVELION THERAPEUTICS INC 10 0 0.00%
670 NUANCE COMM 10 0 0.00%
671 LIBERTY EXPEDIA HOLDINGS SER A COM 4 0 0.00%
672 GOLD FIELDS LTD NEW 125 0 0.00%
Page 14 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.