0001085146-19-001415.txt : 20190510
0001085146-19-001415.hdr.sgml : 20190510
20190509185117
ACCESSION NUMBER: 0001085146-19-001415
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190510
DATE AS OF CHANGE: 20190509
EFFECTIVENESS DATE: 20190510
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NINE MASTS CAPITAL Ltd
CENTRAL INDEX KEY: 0001569356
IRS NUMBER: 980691159
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16783
FILM NUMBER: 19812296
BUSINESS ADDRESS:
STREET 1: 22&23/F, SHANGHAI COMMERCIAL BANK TOWER
STREET 2: 12 QUEEN'S ROAD
CITY: CENTRAL
STATE: K3
ZIP: HONG KONG
BUSINESS PHONE: 852 2105 5800
MAIL ADDRESS:
STREET 1: 22&23/F, SHANGHAI COMMERCIAL BANK TOWER
STREET 2: 12 QUEEN'S ROAD
CITY: CENTRAL
STATE: K3
ZIP: HONG KONG
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001569356
XXXXXXXX
12-31-2018
12-31-2018
true
1
RESTATEMENT
false
NINE MASTS CAPITAL Ltd
22&23/F, SHANGHAI COMMERCIAL BANK TOWER
12 QUEEN'S ROAD
CENTRAL
K3
HONG KONG
13F HOLDINGS REPORT
028-16783
N
Elaine Davis
Chief Operating Officer
8-522-105-5803
/s/ Elaine Davis
Hong Kong
K3
05-07-2019
0
184
630171
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
3M CO
COM
88579Y101
329
1727
SH
SOLE
1727
0
0
3M CO
COM
88579Y101
11
11000
SH
Put
SOLE
11000
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
2
133100
SH
Put
SOLE
133100
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
1271
150000
SH
Call
SOLE
150000
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
3153
23000
SH
SOLE
23000
0
0
ALPHABET INC
CAP STK CL A
02079K305
3977
3806
SH
SOLE
3806
0
0
ALPHABET INC
CAP STK CL A
02079K305
697
5000
SH
Put
SOLE
5000
0
0
APPLIED MATLS INC
COM
038222105
4580
139905
SH
SOLE
139905
0
0
APPLIED MATLS INC
COM
038222105
855
190000
SH
Put
SOLE
190000
0
0
ASSURED GUARANTY LTD
COM
G0585R106
7
3600
SH
Put
SOLE
3600
0
0
ASSURED GUARANTY LTD
COM
G0585R106
104
2704
SH
SOLE
2704
0
0
AVIS BUDGET GROUP INC
COM
053774105
2525
112323
SH
SOLE
112323
0
0
AVIS BUDGET GROUP INC
COM
053774105
913
132800
SH
Put
SOLE
132800
0
0
BAIDU INC
SPON ADR REP A
056752108
841
5300
SH
SOLE
5300
0
0
BANK AMER CORP
COM
060505104
857
34771
SH
SOLE
34771
0
0
BANK AMER CORP
COM
060505104
0
75000
SH
Call
SOLE
75000
0
0
BANK AMER CORP
COM
060505104
98
40000
SH
Put
SOLE
40000
0
0
BAOZUN INC
SPONSORED ADR
06684L103
2483
85013
SH
SOLE
85013
0
0
BAOZUN INC
SPONSORED ADR
06684L103
1343
85000
SH
Put
SOLE
85000
0
0
BAUSCH HEALTH COS INC
COM
071734107
210
160000
SH
Put
SOLE
160000
0
0
BAUSCH HEALTH COS INC
COM
071734107
783
42377
SH
SOLE
42377
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
4713
23082
SH
SOLE
23082
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
6
2000
SH
Call
SOLE
2000
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
394
42500
SH
Put
SOLE
42500
0
0
BHP GROUP LTD
SPONSORED ADS
088606108
14765
306079
SH
SOLE
306079
0
0
BLACKBERRY LTD
COM
09228F103
1417
199340
SH
SOLE
199340
0
0
BLACKBERRY LTD
COM
09228F103
579
200000
SH
Put
SOLE
200000
0
0
BLACKROCK INC
COM
09247X101
509
1296
SH
SOLE
1296
0
0
BLACKROCK INC
COM
09247X101
81
10000
SH
Call
SOLE
10000
0
0
BLACKROCK INC
COM
09247X101
157
10000
SH
Put
SOLE
10000
0
0
BOOKING HLDGS INC
COM
09857L108
6872
3990
SH
SOLE
3990
0
0
BOOKING HLDGS INC
COM
09857L108
1360
4000
SH
Put
SOLE
4000
0
0
BUNGE LIMITED
COM
G16962105
4584
85772
SH
SOLE
85772
0
0
BUNGE LIMITED
COM
G16962105
940
100000
SH
Put
SOLE
100000
0
0
BUNGE LIMITED
COM
G16962105
15
26600
SH
Call
SOLE
26600
0
0
CF INDS HLDGS INC
COM
125269100
146
33200
SH
Put
SOLE
33200
0
0
CF INDS HLDGS INC
COM
125269100
1199
27552
SH
SOLE
27552
0
0
CHINA LIFE INS CO LTD
SPON ADR REP H
16939P106
1126
106023
SH
SOLE
106023
0
0
CHINA LODGING GROUP LTD
NOTE 0.375%11/0
16949NAC3
3923
4000
PRN
SOLE
4000
0
0
CHINA MOBILE LIMITED
SPONSORED ADR
16941M109
1331
27721
SH
SOLE
27721
0
0
CHURCH & DWIGHT INC
COM
171340102
1190
18098
SH
SOLE
18098
0
0
CHURCH & DWIGHT INC
COM
171340102
130
40000
SH
Put
SOLE
40000
0
0
CLOROX CO DEL
COM
189054109
95
618
SH
SOLE
618
0
0
CLOROX CO DEL
COM
189054109
3
5000
SH
Put
SOLE
5000
0
0
CNOOC LTD
SPONSORED ADR
126132109
366
2366
SH
SOLE
2366
0
0
COLUMBIA SPORTSWEAR CO
COM
198516106
185
2200
SH
SOLE
2200
0
0
COSTCO WHSL CORP NEW
COM
22160K105
825
70000
SH
Put
SOLE
70000
0
0
COSTCO WHSL CORP NEW
COM
22160K105
10620
52133
SH
SOLE
52133
0
0
CROCS INC
COM
227046109
377
14500
SH
SOLE
14500
0
0
CTRIP COM INTL LTD
NOTE 1.000% 7/0
22943FAF7
4643
5000
PRN
SOLE
5000
0
0
CTRIP COM INTL LTD
SPONSORED ADS
22943F100
141
5205
SH
SOLE
5205
0
0
CTRIP COM INTL LTD
SPONSORED ADS
22943F100
210
70700
SH
Call
SOLE
70700
0
0
CTRIP COM INTL LTD
SPONSORED ADS
22943F100
309
142000
SH
Put
SOLE
142000
0
0
DEVON ENERGY CORP NEW
COM
25179M103
0
20000
SH
Call
SOLE
20000
0
0
DR REDDYS LABS LTD
ADR
256135203
241
6393
SH
SOLE
6393
0
0
EXACT SCIENCES CORP
COM
30063P105
147
2333
SH
SOLE
2333
0
0
EXACT SCIENCES CORP
COM
30063P105
10
40000
SH
Put
SOLE
40000
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
2
30000
SH
Call
SOLE
30000
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
7
30000
SH
Put
SOLE
30000
0
0
EXPEDIA GROUP INC
COM NEW
30212P303
81
722
SH
SOLE
722
0
0
FLUOR CORP NEW
COM
343412102
65
39500
SH
Call
SOLE
39500
0
0
FLUOR CORP NEW
COM
343412102
884
97000
SH
Put
SOLE
97000
0
0
FLUOR CORP NEW
COM
343412102
1827
56742
SH
SOLE
56742
0
0
FOOT LOCKER INC
COM
344849104
8
148
SH
SOLE
148
0
0
FOOT LOCKER INC
COM
344849104
3
100000
SH
Put
SOLE
100000
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
1121
54901
SH
SOLE
54901
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
123
70000
SH
Put
SOLE
70000
0
0
HDFC BANK LTD
SPONSORED ADS
40415F101
15117
145935
SH
SOLE
145935
0
0
HERBALIFE NUTRITION LTD
COM SHS
G4412G101
212
3600
SH
SOLE
3600
0
0
HSBC HLDGS PLC
SPON ADR NEW
404280406
13038
315112
SH
SOLE
315112
0
0
ICICI BK LTD
ADR
45104G104
28234
2721125
SH
SOLE
2721125
0
0
INFOSYS LTD
SPONSORED ADR
456788108
6530
685885
SH
SOLE
685885
0
0
INTEGRATED DEVICE TECHNOLOGY
COM
458118106
3104
64100
SH
SOLE
64100
0
0
IPG PHOTONICS CORP
COM
44980X109
546
33000
SH
Put
SOLE
33000
0
0
IPG PHOTONICS CORP
COM
44980X109
3094
27307
SH
SOLE
27307
0
0
IQIYI INC
SPONSORED ADS
46267X108
459
30900
SH
SOLE
30900
0
0
ISHARES TR
20 YR TR BD ETF
464287432
74
25000
SH
Call
SOLE
25000
0
0
ISHARES TR
20 YR TR BD ETF
464287432
8
25000
SH
Put
SOLE
25000
0
0
JD COM INC
SPON ADR CL A
47215P106
35
1677
SH
SOLE
1677
0
0
JD COM INC
SPON ADR CL A
47215P106
105
80000
SH
Call
SOLE
80000
0
0
JD COM INC
SPON ADR CL A
47215P106
156
100000
SH
Put
SOLE
100000
0
0
KELLOGG CO
COM
487836108
4904
86023
SH
SOLE
86023
0
0
KELLOGG CO
COM
487836108
860
100000
SH
Put
SOLE
100000
0
0
KKR & CO INC
CL A
48251W104
83
11000
SH
Put
SOLE
11000
0
0
KKR & CO INC
CL A
48251W104
0
11000
SH
Call
SOLE
11000
0
0
KKR & CO INC
CL A
48251W104
206
10511
SH
SOLE
10511
0
0
KRAFT HEINZ CO
COM
500754106
1048
24348
SH
SOLE
24348
0
0
KRAFT HEINZ CO
COM
500754106
33
57200
SH
Call
SOLE
57200
0
0
KRAFT HEINZ CO
COM
500754106
274
57200
SH
Put
SOLE
57200
0
0
KT CORP
SPONSORED ADR
48268K101
15476
1088321
SH
SOLE
1088321
0
0
L BRANDS INC
COM
501797104
1398
54475
SH
SOLE
54475
0
0
L BRANDS INC
COM
501797104
7
67400
SH
Call
SOLE
67400
0
0
L BRANDS INC
COM
501797104
307
67400
SH
Put
SOLE
67400
0
0
LAM RESEARCH CORP
COM
512807108
5827
42791
SH
SOLE
42791
0
0
LAM RESEARCH CORP
COM
512807108
662
75000
SH
Put
SOLE
75000
0
0
LAM RESEARCH CORP
COM
512807108
3
25000
SH
Call
SOLE
25000
0
0
LG DISPLAY CO LTD
SPONS ADR REP
50186V102
2072
255050
SH
SOLE
255050
0
0
LOWES COS INC
COM
548661107
327
51600
SH
Put
SOLE
51600
0
0
LOWES COS INC
COM
548661107
31
40000
SH
Call
SOLE
40000
0
0
LOWES COS INC
COM
548661107
3039
32908
SH
SOLE
32908
0
0
MICHAEL KORS HLDGS LTD
SHS
G60754101
341
9000
SH
SOLE
9000
0
0
MICROCHIP TECHNOLOGY INC
COM
595017104
161
2234
SH
SOLE
2234
0
0
MICROCHIP TECHNOLOGY INC
COM
595017104
33
14700
SH
Call
SOLE
14700
0
0
MICROCHIP TECHNOLOGY INC
COM
595017104
41
14700
SH
Put
SOLE
14700
0
0
MICROSOFT CORP
COM
594918104
880
8663
SH
SOLE
8663
0
0
MICROSOFT CORP
COM
594918104
11
24000
SH
Call
SOLE
24000
0
0
MICROSOFT CORP
COM
594918104
64
24000
SH
Put
SOLE
24000
0
0
MITSUBISHI UFJ FINL GROUP IN
SPONSORED ADS
606822104
29079
5925264
SH
SOLE
5925264
0
0
MOLSON COORS BREWING CO
CL B
60871R209
36
7500
SH
Put
SOLE
7500
0
0
MOLSON COORS BREWING CO
CL B
60871R209
354
6311
SH
SOLE
6311
0
0
MOLSON COORS BREWING CO
CL B
60871R209
0
7500
SH
Call
SOLE
7500
0
0
MOMO INC
ADR
60879B107
1183
49830
SH
SOLE
49830
0
0
MOMO INC
ADR
60879B107
565
50000
SH
Put
SOLE
50000
0
0
NETEASE INC
SPONSORED ADR
64110W102
1365
5800
SH
SOLE
5800
0
0
NEW ORIENTAL ED & TECH GRP I
SPON ADR
647581107
25
458
SH
SOLE
458
0
0
NEW ORIENTAL ED & TECH GRP I
SPON ADR
647581107
5
1400
SH
Put
SOLE
1400
0
0
NIKE INC
CL B
654106103
400
5400
SH
SOLE
5400
0
0
NOMURA HLDGS INC
SPONSORED ADR
65535H208
859
223850
SH
SOLE
223850
0
0
NORFOLK SOUTHERN CORP
COM
655844108
5684
38011
SH
SOLE
38011
0
0
NORFOLK SOUTHERN CORP
COM
655844108
952
39000
SH
Put
SOLE
39000
0
0
NU SKIN ENTERPRISES INC
CL A
67018T105
190
3100
SH
SOLE
3100
0
0
PETROCHINA CO LTD
SPONSORED ADR
71646E100
142
2302
SH
SOLE
2302
0
0
PETROLEO BRASILEIRO SA PETRO
SP ADR NON VTG
71654V101
11889
1025800
SH
SOLE
1025800
0
0
PROCTER AND GAMBLE CO
COM
742718109
62
20900
SH
Call
SOLE
20900
0
0
PROCTER AND GAMBLE CO
COM
742718109
60
150900
SH
Put
SOLE
150900
0
0
PROCTER AND GAMBLE CO
COM
742718109
971
10559
SH
SOLE
10559
0
0
QUDIAN INC
ADR
747798106
973
226857
SH
SOLE
226857
0
0
RALPH LAUREN CORP
CL A
751212101
3894
37635
SH
SOLE
37635
0
0
RALPH LAUREN CORP
CL A
751212101
694
40000
SH
Put
SOLE
40000
0
0
SEADRILL LTD
COM
G7998G106
10035
1029195
SH
SOLE
1029195
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
2556
66228
SH
SOLE
66228
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
98
100000
SH
Call
SOLE
100000
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
882
130000
SH
Put
SOLE
130000
0
0
SHOPIFY INC
CL A
82509L107
616
4448
SH
SOLE
4448
0
0
SHOPIFY INC
CL A
82509L107
47
25000
SH
Put
SOLE
25000
0
0
SHUTTERFLY INC
COM
82568P304
24
2200
SH
Put
SOLE
2200
0
0
SHUTTERFLY INC
COM
82568P304
66
1647
SH
SOLE
1647
0
0
SKECHERS U S A INC
CL A
830566105
343
15000
SH
SOLE
15000
0
0
SONY CORP
SPONSORED ADR
835699307
3287
67654
SH
SOLE
67654
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
154785
619338
SH
SOLE
619338
0
0
SQUARE INC
CL A
852234103
2819
220000
SH
Put
SOLE
220000
0
0
SQUARE INC
CL A
852234103
7092
126433
SH
SOLE
126433
0
0
STUDIO CITY INTL HLDGS LTD
SPON ADS
86389T106
3485
208436
SH
SOLE
208436
0
0
SUMITOMO MITSUI FINL GROUP I
SPONSORED ADR
86562M209
28766
4324908
SH
SOLE
4324908
0
0
SYMANTEC CORP
COM
871503108
124
100000
SH
Call
SOLE
100000
0
0
SYMANTEC CORP
COM
871503108
2126
112519
SH
SOLE
112519
0
0
SYMANTEC CORP
COM
871503108
328
240000
SH
Put
SOLE
240000
0
0
SYSCO CORP
COM
871829107
3013
48092
SH
SOLE
48092
0
0
SYSCO CORP
COM
871829107
395
50000
SH
Put
SOLE
50000
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
101007
2736572
SH
SOLE
2736572
0
0
TATA MTRS LTD
SPONSORED ADR
876568502
8461
679990
SH
SOLE
679990
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADS
881624209
1037
67227
SH
SOLE
67227
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADS
881624209
0
80000
SH
Call
SOLE
80000
0
0
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADS
881624209
174
80000
SH
Put
SOLE
80000
0
0
TRINITY INDS INC
COM
896522109
73
3558
SH
SOLE
3558
0
0
TRINITY INDS INC
COM
896522109
8
10000
SH
Call
SOLE
10000
0
0
TRINITY INDS INC
COM
896522109
33
10000
SH
Put
SOLE
10000
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
3881
39789
SH
SOLE
39789
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
721
40000
SH
Put
SOLE
40000
0
0
UNITED RENTALS INC
COM
911363109
174
21000
SH
Put
SOLE
21000
0
0
UNITED RENTALS INC
COM
911363109
866
8447
SH
SOLE
8447
0
0
UNITED STATES STL CORP NEW
COM
912909108
1016
55700
SH
SOLE
55700
0
0
UNITED STATES STL CORP NEW
COM
912909108
2
60000
SH
Call
SOLE
60000
0
0
UNITED STATES STL CORP NEW
COM
912909108
407
60000
SH
Put
SOLE
60000
0
0
V F CORP
COM
918204108
357
5000
SH
SOLE
5000
0
0
VIPSHOP HLDGS LTD
SPONSORED ADS A
92763W103
178
50000
SH
Put
SOLE
50000
0
0
VIPSHOP HLDGS LTD
SPONSORED ADS A
92763W103
252
46101
SH
SOLE
46101
0
0
VIPSHOP HLDGS LTDNOTE 1.500
NOTE
92763WAA1
1481
1500
PRN
SOLE
1500
0
0
VMWARE INC
CL A COM
928563402
3
15000
SH
Put
SOLE
15000
0
0
WALMART INC
COM
931142103
4927
52894
SH
SOLE
52894
0
0
WALMART INC
COM
931142103
451
100000
SH
Put
SOLE
100000
0
0
WASTE MGMT INC DEL
COM
94106L109
60
52000
SH
Put
SOLE
52000
0
0
WASTE MGMT INC DEL
COM
94106L109
12
40000
SH
Call
SOLE
40000
0
0
WASTE MGMT INC DEL
COM
94106L109
1759
19765
SH
SOLE
19765
0
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
1242
32220
SH
SOLE
32220
0
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
529
56200
SH
Put
SOLE
56200
0
0
WELLS FARGO CO NEW
COM
949746101
2163
46932
SH
SOLE
46932
0
0
WELLS FARGO CO NEW
COM
949746101
4
110000
SH
Call
SOLE
110000
0
0
WELLS FARGO CO NEW
COM
949746101
446
50000
SH
Put
SOLE
50000
0
0
WESTERN DIGITAL CORP
COM
958102105
174
4700
SH
SOLE
4700
0
0
WIPRO LTD
SPON ADR 1 SH
97651M109
6080
1185103
SH
SOLE
1185103
0
0
WYNN RESORTS LTD
COM
983134107
3442
34800
SH
SOLE
34800
0
0
YY INC
SPONSORED ADS A
98426T106
5318
88845
SH
SOLE
88845
0
0
YY INC
SPONSORED ADS A
98426T106
1595
98800
SH
Put
SOLE
98800
0
0