0001475597-19-000011.txt : 20190514 0001475597-19-000011.hdr.sgml : 20190514 20190514151342 ACCESSION NUMBER: 0001475597-19-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190514 DATE AS OF CHANGE: 20190514 EFFECTIVENESS DATE: 20190514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HRT FINANCIAL LLC CENTRAL INDEX KEY: 0001475597 IRS NUMBER: 800491142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16455 FILM NUMBER: 19822346 BUSINESS ADDRESS: STREET 1: 4 WORLD TRADE CENTER, 150 GREENWICH STRE STREET 2: 57TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: 212 293-1444 MAIL ADDRESS: STREET 1: 4 WORLD TRADE CENTER, 150 GREENWICH STRE STREET 2: 57TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001475597 XXXXXXXX 03-31-2019 03-31-2019 HRT FINANCIAL LLC

4 WORLD TRADE CENTER, 150 GREENWICH STRE 57TH FLOOR NEW YORK NY 10007

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0 QUALCOMM INC COM 747525103 342 6003 SH DFND 6003 0 0 QUINSTREET INC COM 74874Q100 143 10740 SH DFND 10740 0 0 QUORUM HEALTH CORP COM 74909E106 18 12990 SH DFND 12990 0 0 RH COM 74967X103 588 5717 SH DFND 5717 0 0 RBC BEARINGS INC COM 75524B104 373 2934 SH DFND 2934 0 0 RED HAT INC COM 756577102 548 3001 SH DFND 3001 0 0 REINSURANCE GRP OF AMERICA I COM NEW 759351604 308 2170 SH DFND 2170 0 0 RINGCENTRAL INC CL A 76680R206 261 2428 SH DFND 2428 0 0 ROSS STORES INC COM 778296103 257 2770 SH DFND 2770 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 517 8096 SH DFND 8096 0 0 RYDER SYS INC COM 783549108 221 3574 SH DFND 3574 0 0 SL GREEN RLTY CORP COM 78440X101 212 2362 SH DFND 2362 0 0 SLM CORP COM 78442P106 145 14669 SH DFND 14669 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 71522 253196 SH DFND 253196 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1812 14859 SH DFND 14859 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 3864 42097 SH DFND 42097 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1490 33117 SH DFND 33117 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 676 10617 SH DFND 10617 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 13790 53218 SH DFND 53218 0 0 SRC ENERGY INC COM 78470V108 75 14800 SH DFND 14800 0 0 SALESFORCE COM INC COM 79466L302 681 4306 SH DFND 4306 0 0 SASOL LTD SPONSORED ADR 803866300 276 8941 SH DFND 8941 0 0 HENRY SCHEIN INC COM 806407102 883 14693 SH DFND 14693 0 0 SEATTLE GENETICS INC COM 812578102 431 5886 SH DFND 5886 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1192 12993 SH DFND 12993 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 592 23053 SH DFND 23053 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 871 11618 SH DFND 11618 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 994 13437 SH DFND 13437 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 1242 34299 SH DFND 34299 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 552 9490 SH DFND 9490 0 0 SEMPRA ENERGY COM 816851109 837 6651 SH DFND 6651 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 236 2235 SH DFND 2235 0 0 SERVICE CORP INTL COM 817565104 272 6777 SH DFND 6777 0 0 SERVICENOW INC COM 81762P102 1025 4159 SH DFND 4159 0 0 SHOPIFY INC CL A 82509L107 411 1992 SH DFND 1992 0 0 SIBANYE STILLWATER SPONSORED ADR 825724206 592 143458 SH DFND 143458 0 0 SIGNATURE BK NEW YORK N Y COM 82669G104 370 2896 SH DFND 2896 0 0 SIRIUS XM HLDGS INC COM 82968B103 550 97065 SH DFND 97065 0 0 SKYWEST INC COM 830879102 200 3685 SH DFND 3685 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 888 10770 SH DFND 10770 0 0 SMUCKER J M CO COM NEW 832696405 930 7986 SH DFND 7986 0 0 SNAP INC CL A 83304A106 715 64948 SH DFND 64948 0 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 72 15350 SH DFND 15350 0 0 SOUTHWEST AIRLS CO COM 844741108 608 11724 SH DFND 11724 0 0 SPLUNK INC COM 848637104 651 5232 SH DFND 5232 0 0 SPRINT CORPORATION COM 85207U105 357 63334 SH DFND 63334 0 0 SPROUTS FMRS MKT INC COM 85208M102 221 10303 SH DFND 10303 0 0 STEEL DYNAMICS INC COM 858119100 1168 33125 SH DFND 33125 0 0 STRYKER CORP COM 863667101 218 1108 SH DFND 1108 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 501 71355 SH DFND 71355 0 0 SUZANO PAPEL E CELULOSE S A SPON ADS 86959K105 316 13360 SH DFND 13360 0 0 SYSCO CORP COM 871829107 8663 129776 SH DFND 129776 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 782 15645 SH DFND 15645 0 0 TABULA RASA HEALTHCARE INC COM 873379101 206 3653 SH DFND 3653 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 354 17400 SH DFND 17400 0 0 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 581 48180 SH DFND 48180 0 0 TEMPUR SEALY INTL INC COM 88023U101 225 3912 SH DFND 3912 0 0 TERADATA CORP DEL COM 88076W103 209 4805 SH DFND 4805 0 0 TESLA INC COM 88160R101 10683 38173 SH DFND 38173 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 399 25491 SH DFND 25491 0 0 TEXAS INSTRS INC COM 882508104 421 3971 SH DFND 3971 0 0 TEXAS ROADHOUSE INC COM 882681109 779 12530 SH DFND 12530 0 0 THERAPEUTICSMD INC COM 88338N107 54 11145 SH DFND 11145 0 0 3M CO COM 88579Y101 1147 5521 SH DFND 5521 0 0 TIFFANY & CO NEW COM 886547108 397 3764 SH DFND 3764 0 0 TILRAY INC COM CL 2 88688T100 709 10827 SH DFND 10827 0 0 TOTAL SYS SVCS INC COM 891906109 256 2697 SH DFND 2697 0 0 TRIMBLE INC COM 896239100 348 8623 SH DFND 8623 0 0 TRUSTMARK CORP COM 898402102 1145 34064 SH DFND 34064 0 0 TUPPERWARE BRANDS CORP COM 899896104 2239 87564 SH DFND 87564 0 0 TWITTER INC COM 90184L102 864 26289 SH DFND 26289 0 0 U S G CORP COM NEW 903293405 248 5737 SH DFND 5737 0 0 ULTA BEAUTY INC COM 90384S303 201 578 SH DFND 578 0 0 UNION PACIFIC CORP COM 907818108 379 2268 SH DFND 2268 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 539 43135 SH DFND 43135 0 0 VEON LTD SPONSORED ADR 91822M106 145 69760 SH DFND 69760 0 0 VAIL RESORTS INC COM 91879Q109 631 2907 SH DFND 2907 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 59631 2659759 SH DFND 2659759 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 490 23790 SH DFND 23790 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 3023 28439 SH DFND 28439 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 44735 1409882 SH DFND 1409882 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1820 44549 SH DFND 44549 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3740 74580 SH DFND 74580 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 200 1314 SH DFND 1314 0 0 VERASTEM INC COM 92337C104 163 55329 SH DFND 55329 0 0 VERISIGN INC COM 92343E102 218 1203 SH DFND 1203 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1428 7768 SH DFND 7768 0 0 VISTEON CORP COM NEW 92839U206 451 6709 SH DFND 6709 0 0 VMWARE INC CL A COM 928563402 462 2563 SH DFND 2563 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 352 19386 SH DFND 19386 0 0 WALMART INC COM 931142103 3082 31609 SH DFND 31609 0 0 WASTE CONNECTIONS INC COM 94106B101 370 4186 SH DFND 4186 0 0 WASTE MGMT INC DEL COM 94106L109 4068 39151 SH DFND 39151 0 0 WATERS CORP COM 941848103 960 3814 SH DFND 3814 0 0 WAYFAIR INC CL A 94419L101 829 5587 SH DFND 5587 0 0 WEIBO CORP SPONSORED ADR 948596101 573 9249 SH DFND 9249 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 380 1410 SH DFND 1410 0 0 WELLS FARGO CO NEW COM 949746101 2854 59065 SH DFND 59065 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 387 300 SH DFND 300 0 0 WESTERN ASSET HIGH INCM OPP COM 95766K109 49 10221 SH DFND 10221 0 0 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 958669103 1141 36414 SH DFND 36414 0 0 WINNEBAGO INDS INC COM 974637100 323 10388 SH DFND 10388 0 0 WORKDAY INC CL A 98138H101 569 2955 SH DFND 2955 0 0 WYNDHAM HOTELS & RESORTS INC COM 98311A105 287 5747 SH DFND 5747 0 0 WYNN RESORTS LTD COM 983134107 677 5676 SH DFND 5676 0 0 XYLEM INC COM 98419M100 201 2549 SH DFND 2549 0 0 YAMANA GOLD INC COM 98462Y100 27 10396 SH DFND 10396 0 0 YUM BRANDS INC COM 988498101 399 4002 SH DFND 4002 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 408 11761 SH DFND 11761 0 0 ZIONS BANCORPORATION N A COM 989701107 447 9850 SH DFND 9850 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 190 23512 SH DFND 23512 0 0 ALLERGAN PLC SHS G0177J108 1239 8467 SH DFND 8467 0 0 BUNGE LIMITED COM G16962105 362 6822 SH DFND 6822 0 0 HELEN OF TROY CORP LTD COM G4388N106 606 5229 SH DFND 5229 0 0 HOLLYSYS AUTOMATION TECHNOLO SHS G45667105 263 12607 SH DFND 12607 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 234 9668 SH DFND 9668 0 0 LIVANOVA PLC SHS G5509L101 227 2340 SH DFND 2340 0 0 MEDTRONIC PLC SHS G5960L103 805 8848 SH DFND 8848 0 0 APTIV PLC SHS G6095L109 346 4353 SH DFND 4353 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 213 4451 SH DFND 4451 0 0 STERIS PLC SHS USD G8473T100 283 2217 SH DFND 2217 0 0 WHITE MTNS INS GROUP LTD COM G9618E107 277 300 SH DFND 300 0 0 TE CONNECTIVITY LTD REG SHS H84989104 377 4677 SH DFND 4677 0 0 AERCAP HOLDINGS NV SHS N00985106 310 6673 SH DFND 6673 0 0 FERRARI N V COM N3167Y103 270 2020 SH DFND 2020 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 173 11705 SH DFND 11705 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 257 3061 SH DFND 3061 0 0 NXP SEMICONDUCTORS N V COM N6596X109 252 2856 SH DFND 2856 0 0 WRIGHT MED GROUP N V ORD SHS N96617118 239 7615 SH DFND 7615 0 0 SAFE BULKERS INC COM Y7388L103 31 21482 SH DFND 21482 0 0 ALPHABET INC PUT 02079K957 1642 1400 SH DFND 1400 0 0 AMAZON COM INC PUT 023135956 1958 1100 SH DFND 1100 0 0 APPLE INC PUT 037833950 8091 42600 SH DFND 42600 0 0 CATERPILLAR INC DEL PUT 149123951 4159 30700 SH DFND 30700 0 0 CHEVRON CORP NEW PUT 166764950 406 3300 SH DFND 3300 0 0 DEERE & CO PUT 244199955 831 5200 SH DFND 5200 0 0 FEDEX CORP PUT 31428X956 1306 7200 SH DFND 7200 0 0 INTUITIVE SURGICAL INC PUT 46120E952 456 800 SH DFND 800 0 0 ISHARES TR CALL 464287905 765 5000 SH DFND 5000 0 0 ISHARES TR PUT 464287955 719 4700 SH DFND 4700 0 0 ISHARES TR PUT 464287959 705 8100 SH DFND 8100 0 0 LAM RESEARCH CORP PUT 512807958 554 3100 SH DFND 3100 0 0 MCDONALDS CORP PUT 580135951 474 2500 SH DFND 2500 0 0 MICRON TECHNOLOGY INC CALL 595112903 1256 30400 SH DFND 30400 0 0 PEPSICO INC PUT 713448958 710 5800 SH DFND 5800 0 0 SPDR GOLD TRUST PUT 78463V957 427 3500 SH DFND 3500 0 0 SPDR SERIES TRUST CALL 78464A908 456 8900 SH DFND 8900 0 0 SPDR DOW JONES INDL AVRG ETF PUT 78467X959 12308 47500 SH DFND 47500 0 0 SELECT SECTOR SPDR TR PUT 81369Y959 834 9100 SH DFND 9100 0 0 SHOPIFY INC PUT 82509L957 392 1900 SH DFND 1900 0 0 TARGET CORP CALL 87612E906 922 11500 SH DFND 11500 0 0 TARGET CORP PUT 87612E956 497 6200 SH DFND 6200 0 0 TESLA INC PUT 88160R951 8563 30600 SH DFND 30600 0 0 TEVA PHARMACEUTICAL INDS LTD PUT 881624959 232 14800 SH DFND 14800 0 0 3M CO PUT 88579Y951 1225 5900 SH DFND 5900 0 0 TILRAY INC PUT 88688T950 661 10100 SH DFND 10100 0 0 UNION PACIFIC CORP PUT 907818958 568 3400 SH DFND 3400 0 0 VANECK VECTORS ETF TR PUT 92189F956 276 2600 SH DFND 2600 0 0 VISA INC PUT 92826C959 2811 18000 SH DFND 18000 0 0 WALMART INC PUT 931142953 1170 12000 SH DFND 12000 0 0 WORKDAY INC PUT 98138H951 520 2700 SH DFND 2700 0 0 SPOTIFY TECHNOLOGY S A CALL L8681T902 291 2100 SH DFND 2100 0 0