Chief Compliance Officer

0001140361-16-051957.txt : 20160212 0001140361-16-051957.hdr.sgml : 20160212 20160212102436 ACCESSION NUMBER: 0001140361-16-051957 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 EFFECTIVENESS DATE: 20160212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: USA MUTUALS ADVISORS, INC. CENTRAL INDEX KEY: 0001425419 IRS NUMBER: 201021300 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12695 FILM NUMBER: 161415790 BUSINESS ADDRESS: STREET 1: 700 NORTH PEARL STREET STREET 2: SUITE 900 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214 953 0066 MAIL ADDRESS: STREET 1: 700 NORTH PEARL STREET STREET 2: SUITE 900 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: MUTUALS ADVISORS INC DATE OF NAME CHANGE: 20080129 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001425419 XXXXXXXX 12-31-2015 12-31-2015 USA MUTUALS ADVISORS, INC.

700 NORTH PEARL STREET SUITE 900 DALLAS TX 75201

13F HOLDINGS REPORT 028-12695 N William S. McNish Chief Compliance Officer 917-715-6296 William S. McNish Baltimore MD 02-11-2016 0 206 167712 false INFORMATION TABLE 2 form13fInfoTable.xml Applied Optoelectronics Inc COM 03823U102 2 110 SH SOLE 110 0 0 AbbVie Inc COM 00287Y109 3 44 SH SOLE 44 0 0 Ambev SA SPONSORED ADR G6331P104 3791 860000 SH SOLE 860000 0 0 Barrick Gold Corp COM 067901108 111 15000 SH SOLE 15000 0 0 ADT Corp/The COM 00101J106 3 78 SH SOLE 78 0 0 Aetna Inc COM 00817Y108 3 24 SH SOLE 24 0 0 American International Group Inc COM NEW 026874784 3 42 SH SOLE 42 0 0 Assurant Inc COM 04621X108 3 32 SH SOLE 32 0 0 Alon USA Energy Inc COM 020520102 2 149 SH SOLE 149 0 0 Applied Materials Inc COM 038222105 467 25000 SH SOLE 25000 0 0 Anthem Inc COM 036752103 3 18 SH SOLE 18 0 0 Alpha & Omega Semiconductor Ltd SHS G6331P104 4 387 SH SOLE 387 0 0 Artesian Resources Corp CL A 043113208 4 133 SH SOLE 133 0 0 Altisource Portfolio Solutions SA REG SHS L0175J104 5 171 SH SOLE 171 0 0 Avery Dennison Corp COM 053611109 3 42 SH SOLE 42 0 0 Boeing Co/The COM 097023105 5784 40018 SH SOLE 40018 0 0 Booz Allen Hamilton Holding Corp CL A 099502106 3 94 SH SOLE 94 0 0 Brown-Forman Corp CL A 115637209 5460 55000 SH SOLE 55000 0 0 PowerShares Senior Loan Portfolio SENIOR LN PORT 73936Q769 224 10000 SH SOLE 10000 0 0 Ball Corp COM 058498106 3 36 SH SOLE 36 0 0 PIMCO Total Return Active Exchange-Traded Fund TTL RTN ACTV ETF 72201R775 417 4000 SH SOLE 4000 0 0 Bon-Ton Stores Inc/The COM 09776J101 2 1171 SH SOLE 1171 0 0 Boston Scientific Corp COM 101137107 3 143 SH SOLE 143 0 0 British American Tobacco PLC SPONSORED ADR 110448107 4142 37500 SH SOLE 37500 0 0 Peabody Energy Corp COM 704549203 13 1666 SH SOLE 1666 0 0 Baxalta Inc COM 07177M103 3 68 SH SOLE 68 0 0 Boyd Gaming Corp COM 103304101 1902 95700 SH SOLE 95700 0 0 Caesars Acquisition Co CL A 12768T103 533 78200 SH SOLE 78200 0 0 Cameron International Corp COM 13342B105 3 42 SH SOLE 42 0 0 CBIZ Inc COM 124805102 3 306 SH SOLE 306 0 0 Coca-Cola Enterprises Inc COM 19122T109 3 53 SH SOLE 53 0 0 Cross Country Healthcare Inc COM 227483104 3 196 SH SOLE 196 0 0 Concurrent Computer Corp COM PAR $0.01 206710402 3 566 SH SOLE 566 0 0 Churchill Downs Inc COM 171484108 3254 23000 SH SOLE 23000 0 0 Charter Financial Corp/MD COM 16122W108 3 204 SH SOLE 204 0 0 Colgate-Palmolive Co COM 194162103 3 39 SH SOLE 39 0 0 Calamos Asset Management Inc CL A 12811R104 2 205 SH SOLE 205 0 0 Clorox Co/The COM 189054109 3 20 SH SOLE 20 0 0 Conn's Inc COM 208242107 2 90 SH SOLE 90 0 0 Canterbury Park Holding Corp COM 13811E101 2 176 SH SOLE 176 0 0 Cumberland Pharmaceuticals Inc COM 230770109 4 738 SH SOLE 738 0 0 Computer Sciences Corp COM 205363104 3 80 SH SOLE 80 0 0 Cash America International Inc COM 14754D100 3 116 SH SOLE 116 0 0 CSP Inc COM 126389105 4 555 SH SOLE 555 0 0 CenturyLink Inc COM 156700106 3 104 SH SOLE 104 0 0 Citrix Systems Inc COM 177376100 3 34 SH SOLE 34 0 0 Continental Materials Corp COM PAR $0.25 211615307 3 195 SH SOLE 195 0 0 Consolidated Water Co Ltd ORD G23773107 3 242 SH SOLE 242 0 0 Caesars Entertainment Corp COM 127686103 789 100000 SH SOLE 100000 0 0 Diageo PLC SPON ADR NEW 25243Q205 5999 55000 SH SOLE 55000 0 0 Digi International Inc COM 253798102 2 210 SH SOLE 210 0 0 Discovery Communications Inc COM SER C 25470F302 3 206 SH SOLE 206 0 0 iPath Bloomberg Commodity Index Total Return ETN DJUBS CMDT ETN36 06738C778 193 9000 SH SOLE 9000 0 0 Delphi Automotive PLC SHS G27823106 3 30 SH SOLE 30 0 0 Darden Restaurants Inc COM 237194105 3 41 SH SOLE 41 0 0 Diversicare Healthcare Services Inc COM 255104101 1 108 SH SOLE 108 0 0 eBay Inc COM 278642103 3 95 SH SOLE 95 0 0 Ecology and Environment Inc CL A 278878103 3 256 SH SOLE 256 0 0 EarthLink Holdings Corp COM 27033X101 4 533 SH SOLE 533 0 0 Espey Manufacturing & Electronics Corp COM 296650104 3 125 SH SOLE 125 0 0 E*TRADE Financial Corp COM NEW 269246401 3 89 SH SOLE 89 0 0 Expedia Inc COM NEW 30212P303 3 21 SH SOLE 21 0 0 Farmers Capital Bank Corp COM 309562106 2 89 SH SOLE 89 0 0 Fiserv Inc COM 337738108 3 28 SH SOLE 28 0 0 First Solar Inc COM 336433107 3 39 SH SOLE 39 0 0 AGL Resources Inc COM 001204106 3 41 SH SOLE 41 0 0 General Dynamics Corp COM 369550108 6868 50000 SH SOLE 50000 0 0 Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 69 5000 SH SOLE 5000 0 0 Gaming and Leisure Properties Inc COM 36467J108 2112 75967 SH SOLE 75967 0 0 GameStop Corp CL A 36467W109 3 93 SH SOLE 93 0 0 General Communication Inc CL A 369385109 3 165 SH SOLE 165 0 0 Goodyear Tire & Rubber Co/The COM 382550101 3 79 SH SOLE 79 0 0 Hallmark Financial Services Inc COM NEW 40624Q203 3 222 SH SOLE 222 0 0 Hasbro Inc COM 418056107 3 39 SH SOLE 39 0 0 Huntington Bancshares Inc/OH COM 446150104 3 238 SH SOLE 238 0 0 HCA Holdings Inc COM 40412C101 3 39 SH SOLE 39 0 0 Hackett Group Inc/The COM 404609109 3 189 SH SOLE 189 0 0 Hawaiian Telcom Holdco Inc COM 420031106 2 80 SH SOLE 80 0 0 Home Depot Inc/The COM 437076102 3 19 SH SOLE 19 0 0 Hartford Financial Services Group Inc/The COM 416515104 3 60 SH SOLE 60 0 0 Harley-Davidson Inc COM 412822108 454 10000 SH SOLE 10000 0 0 Honeywell International Inc COM 438516106 6214 60000 SH SOLE 60000 0 0 Heidrick & Struggles International Inc COM 422819102 4 144 SH SOLE 144 0 0 International Business Machines Corp COM 459200101 3 19 SH SOLE 19 0 0 ImmuCell Corp COM PAR $0.10 452525306 3 471 SH SOLE 471 0 0 International Game Technology PLC SHS USD G4863A108 505 31232 SH SOLE 31232 0 0 Impac Mortgage Holdings Inc COM NEW 45254P508 3 183 SH SOLE 183 0 0 Ingles Markets Inc CL A 457030104 2 53 SH SOLE 53 0 0 Imation Corp COM 45245A107 2 1096 SH SOLE 1096 0 0 Internap Corp COM PAR $0.001 45885A300 2 329 SH SOLE 329 0 0 Isle of Capri Casinos Inc COM 464592104 2 177 SH SOLE 177 0 0 IXYS Corp COM 46600W106 3 262 SH SOLE 262 0 0 JAKKS Pacific Inc COM 47012E106 2 306 SH SOLE 306 0 0 John B Sanfilippo & Son Inc COM 800422107 3 60 SH SOLE 60 0 0 Communications Systems Inc COM 203900105 2 299 SH SOLE 299 0 0 Jacobs Engineering Group Inc COM 469814107 3 62 SH SOLE 62 0 0 Juniper Networks Inc COM 48203R104 3 96 SH SOLE 96 0 0 Kimball International Inc CL B 494274103 2 190 SH SOLE 190 0 0 Kraft Heinz Co/The COM 500754106 3 36 SH SOLE 36 0 0 Kimberly-Clark Corp COM 494368103 3 20 SH SOLE 20 0 0 Kinder Morgan Inc/DE COM 49456B101 298 20000 SH SOLE 20000 0 0 Kroger Co/The COM 501044101 3 63 SH SOLE 63 0 0 Key Tronic Corp COM 493144109 2 286 SH SOLE 286 0 0 Landauer Inc COM 51476K103 4 118 SH SOLE 118 0 0 LGI Homes Inc COM 50187T106 2 80 SH SOLE 80 0 0 L-3 Communications Holdings Inc COM 502424104 3585 30000 SH SOLE 30000 0 0 Legg Mason Inc COM 524901105 3 67 SH SOLE 67 0 0 Lockheed Martin Corp COM 539830109 5494 25300 SH SOLE 25300 0 0 Liquidity Services Inc COM 53635B107 2 290 SH SOLE 290 0 0 Luby's Inc COM 549282101 2 345 SH SOLE 345 0 0 Las Vegas Sands Corp COM 517834107 8808 200920 SH SOLE 200920 0 0 LyondellBasell Industries NV SHS - A - N53745100 3 30 SH SOLE 30 0 0 Masco Corp COM 574599106 3 93 SH SOLE 93 0 0 McDermott International Inc COM 580037109 101 30000 SH SOLE 30000 0 0 MGM Resorts International COM 552953101 11683 514200 SH SOLE 514200 0 0 McGraw Hill Financial Inc COM 580645109 3 26 SH SOLE 26 0 0 Altria Group Inc COM 02209S103 11060 190000 SH SOLE 190000 0 0 Marathon Petroleum Corp COM 56585A102 3 50 SH SOLE 50 0 0 Melco Crown Entertainment Ltd ADR 585464100 3780 225000 SH SOLE 225000 0 0 Monster Worldwide Inc COM 611742107 3 439 SH SOLE 439 0 0 Natural Alternatives International Inc COM NEW 638842302 5 516 SH SOLE 516 0 0 Nasdaq Inc COM 631103108 3 45 SH SOLE 45 0 0 Noble Corp plc SHS USD G65431101 3 251 SH SOLE 251 0 0 Netflix Inc COM 64110L106 3 22 SH SOLE 22 0 0 Newfield Exploration Co COM 651290108 3 83 SH SOLE 83 0 0 NiSource Inc COM 65473P105 3 134 SH SOLE 134 0 0 Northrop Grumman Corp COM 666807102 5664 30000 SH SOLE 30000 0 0 Northern Oil and Gas Inc COM 665531109 2 520 SH SOLE 520 0 0 NeoPhotonics Corp COM 64051T100 5 480 SH SOLE 480 0 0 Nutraceutical International Corp COM 67060Y101 2 94 SH SOLE 94 0 0 NVIDIA Corp COM 67066G104 3 79 SH SOLE 79 0 0 NV5 Global Inc COM 62945V109 3 147 SH SOLE 147 0 0 iPath Goldman Sachs Crude Oil Total Return Index ETN IPSP CROIL ETN 06738C786 183 29405 SH SOLE 29405 0 0 Omega Protein Corp COM 68210P107 2 90 SH SOLE 90 0 0 OMNOVA Solutions Inc COM 682129101 2 337 SH SOLE 337 0 0 O'Reilly Automotive Inc COM 67103H107 3 10 SH SOLE 10 0 0 Outerwall Inc COM 690070107 1 36 SH SOLE 36 0 0 People's United Financial Inc COM 712704105 3 162 SH SOLE 162 0 0 Pitney Bowes Inc COM 724479100 3 127 SH SOLE 127 0 0 Pep Boys-Manny Moe & Jack/The COM 713278109 3 178 SH SOLE 178 0 0 PCM Inc COM 69323K100 3 330 SH SOLE 330 0 0 Penn National Gaming Inc COM 707569109 929 58000 SH SOLE 58000 0 0 PowerShares Fundamental High Yield Corporate Bond Portfolio FDM HG YLD RAFI 73936T557 262 15000 SH SOLE 15000 0 0 PerkinElmer Inc COM 714046109 3 49 SH SOLE 49 0 0 Philip Morris International Inc COM 718172109 12307 140000 SH SOLE 140000 0 0 PharMerica Corp COM 71714F104 2 60 SH SOLE 60 0 0 Pepco Holdings Inc COM 713291102 3 101 SH SOLE 101 0 0 Pzena Investment Management Inc CLASS A 74731Q103 2 212 SH SOLE 212 0 0 QCR Holdings Inc COM 74727A104 3 110 SH SOLE 110 0 0 QuinStreet Inc COM 74874Q100 2 581 SH SOLE 581 0 0 Ryder System Inc COM 783549108 3 47 SH SOLE 47 0 0 Reynolds American Inc COM 761713106 12461 270000 SH SOLE 270000 0 0 Sturm Ruger & Co Inc COM 864159108 1818 30500 SH SOLE 30500 0 0 Rigel Pharmaceuticals Inc COM NEW 766559603 2 784 SH SOLE 784 0 0 ELEMENTS Linked to the Rogers International Commodity Index - Agri Tot Return ROG AGRI ETN22 870297603 281 45000 SH SOLE 45000 0 0 Regional Management Corp COM 75902K106 2 140 SH SOLE 140 0 0 RR Donnelley & Sons Co COM 257867101 2 138 SH SOLE 138 0 0 Republic Services Inc COM 760759100 3 59 SH SOLE 59 0 0 Raytheon Co COM NEW 755111507 7472 60000 SH SOLE 60000 0 0 Boston Beer Co Inc/The CL A 100557107 2019 10000 SH SOLE 10000 0 0 Seneca Foods Corp CL A 817070501 3 104 SH SOLE 104 0 0 ETFS Physical Swiss Gold Shares SHS 26922Y105 621 6000 SH SOLE 6000 0 0 Sherwin-Williams Co/The COM 824348106 3 10 SH SOLE 10 0 0 Sigma Designs Inc COM 826565103 3 453 SH SOLE 453 0 0 SJW Corp COM 784305104 3 100 SH SOLE 100 0 0 Span-America Medical Systems Inc COM 846396109 2 88 SH SOLE 88 0 0 Stoneridge Inc COM 86183P102 3 222 SH SOLE 222 0 0 Constellation Brands Inc CL A 21036P108 5313 37300 SH SOLE 37300 0 0 Servotronics Inc COM 817732100 3 387 SH SOLE 387 0 0 Smith & Wesson Holding Corp COM 831756101 3297 150000 SH SOLE 150000 0 0 Sizmek Inc COM 83013P105 1 346 SH SOLE 346 0 0 TransAct Technologies Inc COM 892918103 3 363 SH SOLE 363 0 0 Molson Coors Brewing Co CL B 60871R209 7044 75000 SH SOLE 75000 0 0 ProShares Short 20+ Year Treasury SHRT 20+YR TRE 74347X849 198 8000 SH SOLE 8000 0 0 Territorial Bancorp Inc COM 88145X108 2 80 SH SOLE 80 0 0 TECO Energy Inc COM 872375100 3 99 SH SOLE 99 0 0 TEGNA Inc COM 87901J105 3 103 SH SOLE 103 0 0 Tenet Healthcare Corp COM NEW 88033G407 3 88 SH SOLE 88 0 0 Titan Machinery Inc COM 88830R101 3 282 SH SOLE 282 0 0 Torchmark Corp COM 891027104 3 46 SH SOLE 46 0 0 Targa Resources Corp COM UNIT 87612G101 1 40 SH SOLE 40 0 0 TRC Cos Inc COM 872625108 3 294 SH SOLE 294 0 0 Travelers Cos Inc/The COM 89417E109 3 23 SH SOLE 23 0 0 Tesoro Corp COM 881609101 3 25 SH SOLE 25 0 0 Total System Services Inc COM 891906109 3 53 SH SOLE 53 0 0 TeleCommunication Systems Inc CL A 87929J103 2 400 SH SOLE 400 0 0 TETRA Technologies Inc COM 88162F105 2 260 SH SOLE 260 0 0 ProShares Ultra Bloomberg Crude Oil ULT BLOOMB C OIL 74347W320 100 8000 SH SOLE 8000 0 0 United States Natural Gas Fund LP UNIT PAR $0.001 912318201 390 45000 SH SOLE 45000 0 0 Unum Group COM 91529Y106 3 79 SH SOLE 79 0 0 United Parcel Service Inc CL B 911312106 3 27 SH SOLE 27 0 0 United Technologies Corp COM 913017109 6273 65300 SH SOLE 65300 0 0 Universal Corp/VA COM 913456109 28 500 SH SOLE 500 0 0 Village Super Market Inc CL A NEW 927107409 3 105 SH SOLE 105 0 0 Valero Energy Corp COM 91913Y100 3 37 SH SOLE 37 0 0 Vishay Precision Group Inc COM 92835K103 2 133 SH SOLE 133 0 0 VeriSign Inc COM 92343E102 3 30 SH SOLE 30 0 0 VSE Corp COM 918284100 2 30 SH SOLE 30 0 0 Viad Corp COM NEW 92552R406 2 73 SH SOLE 73 0 0 Verizon Communications Inc COM 92343V104 462 10000 SH SOLE 10000 0 0 West Marine Inc COM 954235107 2 263 SH SOLE 263 0 0 Wal-Mart Stores Inc COM 931142103 307 5000 SH SOLE 5000 0 0 Wynn Resorts Ltd COM 983134107 5708 82500 SH SOLE 82500 0 0 EXCO Resources Inc COM 269279402 37 30000 SH SOLE 30000 0 0 Yum! Brands Inc COM 988498101 3 36 SH SOLE 36 0 0 Olympic Steel Inc COM 68162K106 2 192 SH SOLE 192 0 0