Chief Compliance Officer

0001481986-14-000005.txt : 20140516 0001481986-14-000005.hdr.sgml : 20140516 20140515175840 ACCESSION NUMBER: 0001481986-14-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140516 DATE AS OF CHANGE: 20140515 EFFECTIVENESS DATE: 20140516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DRW Securities, LLC CENTRAL INDEX KEY: 0001481986 IRS NUMBER: 364202848 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13722 FILM NUMBER: 14849266 BUSINESS ADDRESS: STREET 1: 540 WEST MADISON STREET STREET 2: SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 312-542-1000 MAIL ADDRESS: STREET 1: 540 WEST MADISON STREET STREET 2: SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60661 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001481986 XXXXXXXX 03-31-2014 03-31-2014 DRW Securities, LLC

540 WEST MADISON STREET SUITE 2500 CHICAGO IL 60661

13F HOLDINGS REPORT 028-13722 N Robert Armour Chief Compliance Officer 3125423231 Robert Armour Chicago IL 05-15-2014 0 135 1299332 false INFORMATION TABLE 2 r13f-0331.xml ALTERA CORP COM 021441100 1008 27812 SH OTR 1 0 0 0 ALTERA CORP COM 021441100 163 4500 SH Put OTR 1 0 0 0 ALTERA CORP COM 021441100 91 2500 SH Call OTR 1 0 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 2706 22239 SH OTR 1 0 0 0 ALTISOURCE RESIDENTIAL CORP CL B 02153W100 1896 60063 SH OTR 1 0 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 61 33550 SH OTR 1 0 0 0 AMAZON COM INC COM 023135106 212 631 SH OTR 1 0 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 771 41085 SH OTR 1 0 0 0 APPLE INC COM 037833100 5528 10300 SH OTR 1 0 0 0 APPLE INC COM 037833100 41114 76600 SH Put OTR 1 0 0 0 APPLE INC COM 037833100 172938 322200 SH Call OTR 1 0 0 0 ARC LOGISTICS PARTNERS LP COM UT REP LPN 03879N101 224 10542 SH OTR 1 0 0 0 ARDMORE SHIPPING CORP COM Y0207T100 1325 99600 SH OTR 1 0 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 2533 60100 SH Put OTR 1 0 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 1475 35000 SH Call OTR 1 0 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 256 2049 SH OTR 1 0 0 0 BLACKROCK MUNIYLD INVST QLTY COM 09254T100 131 10000 SH OTR 1 0 0 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 212 23806 SH OTR 1 0 0 0 BLACKROCK UTIL & INFRASTRCTU COM 09248D104 487 25685 SH OTR 1 0 0 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 2517 134591 SH OTR 1 0 0 0 CADIZ INC COM NEW 127537207 141 20000 SH OTR 1 0 0 0 CBOE HLDGS INC COM 12503M108 1229 21711 SH OTR 1 0 0 0 CITRIX SYS INC COM 177376100 1723 30000 SH Call OTR 1 0 0 0 COMCAST CORP NEW CL A 20030N101 220 4396 SH OTR 1 0 0 0 DEUTSCHE BK AG LONDON BRH PS CR OIL LG ETN 25154K866 179 12850 SH OTR 1 0 0 0 DEVON ENERGY CORP NEW COM 25179M103 2316 34600 SH Call OTR 1 0 0 0 DHT HOLDINGS INC SHS NEW Y2065G121 311 40000 SH OTR 1 0 0 0 DIREXION SHS ETF TR 7 10YR TRES BULL 25459W565 590 15601 SH OTR 1 0 0 0 DISNEY WALT CO COM DISNEY 254687106 261 3263 SH OTR 1 0 0 0 EATON VANCE MUN BD FD COM 27827X101 323 27215 SH OTR 1 0 0 0 EATON VANCE MUN BD FD II COM 27827K109 406 34919 SH OTR 1 0 0 0 ENDOCYTE INC COM 29269A102 476 20000 SH Put OTR 1 0 0 0 EXFO INC SUB VTG SHS 302046107 94 19000 SH OTR 1 0 0 0 FIREEYE INC COM 31816Q101 154 2500 SH Call OTR 1 0 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 359 20223 SH OTR 1 0 0 0 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 1518 41023 SH OTR 1 0 0 0 FMC TECHNOLOGIES INC COM 30249U101 627 12000 SH Call OTR 1 0 0 0 GENERAL MTRS CO COM 37045V100 1033 30000 SH Call OTR 1 0 0 0 GOOGLE INC CL A 38259P508 507 455 SH OTR 1 0 0 0 GOOGLE INC CL A 38259P508 669 600 SH Put OTR 1 0 0 0 GOOGLE INC CL A 38259P508 111 100 SH Call OTR 1 0 0 0 IDENTIVE GROUP INC COM 45170X106 142 126000 SH OTR 1 0 0 0 INTERMUNE INC COM 45884X103 1004 30000 SH Call OTR 1 0 0 0 INVESCO ADVANTAGE MUNICIPAL SH BEN INT 46132E103 177 16100 SH OTR 1 0 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 176 14400 SH OTR 1 0 0 0 ISHARES 1-3 YR CR BD ETF 464288646 2333 22117 SH OTR 1 0 0 0 ISHARES 7-10 Y TR BD ETF 464287440 10569 103897 SH OTR 1 0 0 0 ISHARES CORE TOTUSBD ETF 464287226 5392 49964 SH OTR 1 0 0 0 ISHARES IBOXX HI YD ETF 464288513 2792 29579 SH OTR 1 0 0 0 ISHARES IBOXX INV CP ETF 464287242 688 5885 SH OTR 1 0 0 0 ISHARES MSCI EMG MKT ETF 464287234 2516 61354 SH OTR 1 0 0 0 ISHARES MSCI EMG MKT ETF 464287234 133065 3244700 SH Put OTR 1 0 0 0 ISHARES MSCI EMG MKT ETF 464287234 35416 863600 SH Call OTR 1 0 0 0 ISHARES RUS 1000 GRW ETF 464287614 2472 28568 SH OTR 1 0 0 0 ISHARES RUS MD CP GR ETF 464287481 5326 62069 SH OTR 1 0 0 0 ISHARES RUS MDCP VAL ETF 464287473 8347 121451 SH OTR 1 0 0 0 ISHARES S&P 500 GRWT ETF 464287309 7220 72319 SH OTR 1 0 0 0 ISHARES SHRT TRS BD ETF 464288679 4523 41019 SH OTR 1 0 0 0 ISHARES U.S. INDS ETF 464287754 4043 40187 SH OTR 1 0 0 0 ISHARES TR HIGH DIVIDND ETF 46429B663 3341 46770 SH OTR 1 0 0 0 JIVE SOFTWARE INC COM 47760A108 239 29830 SH OTR 1 0 0 0 JIVE SOFTWARE INC COM 47760A108 20 2500 SH Call OTR 1 0 0 0 JPMORGAN CHASE & CO COM 46625H100 254 4192 SH OTR 1 0 0 0 MANNKIND CORP COM 56400P201 121 30000 SH Put OTR 1 0 0 0 MANNKIND CORP COM 56400P201 59 14800 SH Call OTR 1 0 0 0 NIKE INC CL B 654106103 1337 18100 SH OTR 1 0 0 0 NUVEEN DIV ADV MUNI FD 3 COM SH BEN INT 67070X101 170 13004 SH OTR 1 0 0 0 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 150 11100 SH OTR 1 0 0 0 NUVEEN DIVERSIFIED COMMODTY COM UT BEN INT 67074P104 422 26600 SH OTR 1 0 0 0 NUVEEN DIVID ADVANTAGE MUN I COM 67071L106 275 20593 SH OTR 1 0 0 0 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 236 17139 SH OTR 1 0 0 0 NUVEEN PREM INCOME MUN FD COM 67062T100 374 28500 SH OTR 1 0 0 0 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 147 11000 SH OTR 1 0 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 165 12106 SH OTR 1 0 0 0 OCWEN FINL CORP COM NEW 675746309 392 10000 SH Put OTR 1 0 0 0 OREXIGEN THERAPEUTICS INC COM 686164104 260 40000 SH OTR 1 0 0 0 PALO ALTO NETWORKS INC COM 697435105 69 1000 SH Put OTR 1 0 0 0 PARKERVISION INC COM 701354102 339 70700 SH Put OTR 1 0 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1124 85500 SH OTR 1 0 0 0 PIMCO ETF TR 3-7YR US TREAS 72201R601 205 2607 SH OTR 1 0 0 0 PIMCO ETF TR ENHAN SHRT MAT 72201R833 3622 35730 SH OTR 1 0 0 0 PLUG POWER INC COM NEW 72919P202 36 5000 SH Call OTR 1 0 0 0 POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 363 18084 SH OTR 1 0 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 2913 34413 SH OTR 1 0 0 0 POWERSHARES ETF TRUST S&P 500 HGH QLTY 73935X682 721 34821 SH OTR 1 0 0 0 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 485 68450 SH OTR 1 0 0 0 POWERSHARES GLOBAL ETF TRUST I-30 LAD TREAS 73936T524 222 7300 SH OTR 1 0 0 0 PROSHARES TR ULTR 7-10 TREA 74347R180 1899 36788 SH OTR 1 0 0 0 PROSHARES TR ULTRA 20YR TRE 74347R172 330 5620 SH OTR 1 0 0 0 PRUDENTIAL SHT DURATION HG Y COM 74442F107 602 33252 SH OTR 1 0 0 0 RMG NETWORKS HLDG CORP COM 74966K102 13304 2354650 SH OTR 1 0 0 0 RYDEX ETF TRUST GUG S&P500 PU GR 78355W403 1868 25515 SH OTR 1 0 0 0 SANTANDER CONSUMER USA HDG I COM 80283M101 1809 75121 SH OTR 1 0 0 0 SCHLUMBERGER LTD COM 806857108 239 2447 SH OTR 1 0 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 3296 89452 SH OTR 1 0 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1981 43074 SH OTR 1 0 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 2740 66480 SH OTR 1 0 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1672 37386 SH OTR 1 0 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 863 22350 SH OTR 1 0 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 708 21379 SH OTR 1 0 0 0 SIRIUS XM HLDGS INC COM 82968B103 212 66375 SH OTR 1 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2928 15655 SH OTR 1 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 598320 3199400 SH Put OTR 1 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 80620 431100 SH Call OTR 1 0 0 0 SPDR SER TR SHT TRM HGH YLD 78468R408 995 32139 SH OTR 1 0 0 0 SPDR SERIES TRUST BARC SHT TR CP 78464A474 224 7275 SH OTR 1 0 0 0 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 652 14251 SH OTR 1 0 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 1846 44600 SH OTR 1 0 0 0 SPRINT CORP COM SER 1 85207U105 919 100000 SH Put OTR 1 0 0 0 STAAR SURGICAL CO COM PAR $0.01 852312305 203 10800 SH Call OTR 1 0 0 0 TETRAPHASE PHARMACEUTICALS I COM 88165N105 207 19000 SH OTR 1 0 0 0 TEXAS INSTRS INC COM 882508104 118 2500 SH Put OTR 1 0 0 0 TEXAS INSTRS INC COM 882508104 118 2500 SH Call OTR 1 0 0 0 TIME WARNER INC COM NEW 887317303 3550 54343 SH OTR 1 0 0 0 TWO HBRS INVT CORP COM 90187B101 629 61400 SH OTR 1 0 0 0 USA TECHNOLOGIES INC COM NO PAR 90328S500 217 105000 SH OTR 1 0 0 0 VALE S A ADR 91912E105 805 58205 SH OTR 1 0 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 1544 17801 SH OTR 1 0 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 10833 135262 SH OTR 1 0 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 26362 324691 SH OTR 1 0 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3325 35901 SH OTR 1 0 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 886 7801 SH OTR 1 0 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 324 4047 SH OTR 1 0 0 0 VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF 92206C102 2287 37574 SH OTR 1 0 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 7477 99389 SH OTR 1 0 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1428 22622 SH OTR 1 0 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 5664 52974 SH OTR 1 0 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 8561 93537 SH OTR 1 0 0 0 VRINGO INC COM 92911N104 278 80000 SH OTR 1 0 0 0 VRINGO INC COM 92911N104 105 30300 SH Call OTR 1 0 0 0 WAL-MART STORES INC COM 931142103 8170 106900 SH OTR 1 0 0 0 WELLS FARGO & CO NEW COM 949746101 286 5745 SH OTR 1 0 0 0 WINDSTREAM HLDGS INC COM 97382A101 3712 450545 SH OTR 1 0 0 0 XILINX INC COM 983919101 190 3500 SH Put OTR 1 0 0 0 XILINX INC COM 983919101 868 16000 SH Call OTR 1 0 0 0