0001085146-19-002146.txt : 20190808 0001085146-19-002146.hdr.sgml : 20190808 20190808163936 ACCESSION NUMBER: 0001085146-19-002146 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190808 DATE AS OF CHANGE: 20190808 EFFECTIVENESS DATE: 20190808 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NINE MASTS CAPITAL Ltd CENTRAL INDEX KEY: 0001569356 IRS NUMBER: 980691159 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16783 FILM NUMBER: 191010137 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 1 primary_doc.xml 13F-HR LIVE false true false 0001569356 XXXXXXXX 06-30-2019 06-30-2019 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 8-522-105-5803 /s/ Elaine Davis Hong Kong K3 07-26-2019 0 145 698206 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 142 40000 SH Put SOLE 40000 0 0 3M CO COM 88579Y101 1810 10440 SH SOLE 10440 0 0 ABBOTT LABS COM 002824100 1009 12000 SH SOLE 12000 0 0 ALIGN TECHNOLOGY INC COM 016255101 40 146 SH SOLE 146 0 0 ALIGN TECHNOLOGY INC COM 016255101 2 2000 SH Put SOLE 2000 0 0 ALPHABET INC CAP STK CL A 02079K305 260589 240662 SH SOLE 240662 0 0 ALPHABET INC CAP STK CL A 02079K305 986 7500 SH Call SOLE 7500 0 0 ALPHABET INC CAP STK CL C 02079K107 331 15000 SH Put SOLE 15000 0 0 ALTABA INC COM 021346101 5064 73000 SH SOLE 73000 0 0 AMAZON COM INC COM 023135106 1148 606 SH SOLE 606 0 0 AMAZON COM INC COM 023135106 146 5000 SH Put SOLE 5000 0 0 ANADARKO PETE CORP COM 032511107 15376 217911 SH SOLE 217911 0 0 ARRAY BIOPHARMA INC COM 04269X105 3980 85900 SH SOLE 85900 0 0 ASE TECHNOLOGY HOLDING CO LT SPONSORED ADS 00215W100 8212 2069000 SH SOLE 2069000 0 0 BAIDU INC SPON ADR REP A 056752108 622 5300 SH SOLE 5300 0 0 BAOZUN INC SPONSORED ADR 06684L103 1997 40055 SH SOLE 40055 0 0 BAOZUN INC SPONSORED ADR 06684L103 2 85000 SH Put SOLE 85000 0 0 BB&T CORP COM 054937107 2100 42735 SH SOLE 42735 0 0 BHP GROUP LTD SPONSORED ADS 088606108 739 12800 SH SOLE 12800 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 59 8600 SH Call SOLE 8600 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 25 8600 SH Put SOLE 8600 0 0 CERNER CORP COM 156782104 979 13359 SH SOLE 13359 0 0 CERNER CORP COM 156782104 52 13800 SH Call SOLE 13800 0 0 CERNER CORP COM 156782104 156 93800 SH Put SOLE 93800 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 1529 124130 SH SOLE 124130 0 0 CHINA LODGING GROUP LTD NOTE 0.375%11/0 16949NAC3 5419 5000 PRN SOLE 5000 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 3546 4838 SH SOLE 4838 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 434 21200 SH Put SOLE 21200 0 0 COMCAST CORP NEW CL A 20030N101 116 100000 SH Put SOLE 100000 0 0 COMCAST CORP NEW CL A 20030N101 398 100000 SH Call SOLE 100000 0 0 COSTCO WHSL CORP NEW COM 22160K105 740 30000 SH Call SOLE 30000 0 0 COSTCO WHSL CORP NEW COM 22160K105 94 95000 SH Put SOLE 95000 0 0 CSX CORP COM 126408103 69 889 SH SOLE 889 0 0 CSX CORP COM 126408103 4 25000 SH Put SOLE 25000 0 0 CTRIP COM INTL LTD SPONSORED ADS 22943F100 330 100000 SH Call SOLE 100000 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 11047 10000 PRN SOLE 10000 0 0 DANAHER CORPORATION COM 235851102 0 300 SH Put SOLE 300 0 0 EATON CORP PLC SHS G29183103 179 60000 SH Call SOLE 60000 0 0 EATON CORP PLC SHS G29183103 117 60000 SH Put SOLE 60000 0 0 EXACT SCIENCES CORP COM 30063P105 109 925 SH SOLE 925 0 0 EXACT SCIENCES CORP COM 30063P105 9 10300 SH Put SOLE 10300 0 0 EXXON MOBIL CORP COM 30231G102 642 8373 SH SOLE 8373 0 0 EXXON MOBIL CORP COM 30231G102 51 50000 SH Call SOLE 50000 0 0 EXXON MOBIL CORP COM 30231G102 108 50000 SH Put SOLE 50000 0 0 FEDEX CORP COM 31428X106 1893 11532 SH SOLE 11532 0 0 FEDEX CORP COM 31428X106 298 37500 SH Put SOLE 37500 0 0 FLUOR CORP NEW COM 343412102 417 103000 SH Put SOLE 103000 0 0 FLUOR CORP NEW COM 343412102 3190 94688 SH SOLE 94688 0 0 GARMIN LTD SHS H2906T109 19 5000 SH Call SOLE 5000 0 0 GARMIN LTD SHS H2906T109 8 5000 SH Put SOLE 5000 0 0 HESS CORP COM 42809H107 804 121500 SH Call SOLE 121500 0 0 HESS CORP COM 42809H107 218 100000 SH Put SOLE 100000 0 0 HONEYWELL INTL INC COM 438516106 82 20000 SH Put SOLE 20000 0 0 HONEYWELL INTL INC COM 438516106 175 20000 SH Call SOLE 20000 0 0 HP INC COM 40434L105 11 15000 SH Put SOLE 15000 0 0 HP INC COM 40434L105 76 3650 SH SOLE 3650 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 9812 236550 SH SOLE 236550 0 0 ICICI BK LTD ADR 45104G104 48344 3804428 SH SOLE 3804428 0 0 II VI INC COM 902104108 1399 38260 SH SOLE 38260 0 0 INFOSYS LTD SPONSORED ADR 456788108 56424 5273294 SH SOLE 5273294 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 1405 2679 SH SOLE 2679 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 145 15000 SH Put SOLE 15000 0 0 IPG PHOTONICS CORP COM 44980X109 1125 7291 SH SOLE 7291 0 0 IPG PHOTONICS CORP COM 44980X109 140 24300 SH Put SOLE 24300 0 0 IROBOT CORP COM 462726100 427 80000 SH Put SOLE 80000 0 0 IROBOT CORP COM 462726100 2256 24620 SH SOLE 24620 0 0 JOHNSON & JOHNSON COM 478160104 975 7000 SH SOLE 7000 0 0 KRAFT HEINZ CO COM 500754106 167 249600 SH Call SOLE 249600 0 0 KT CORP SPONSORED ADR 48268K101 52607 4252760 SH SOLE 4252760 0 0 LAS VEGAS SANDS CORP COM 517834107 29 5300 SH Put SOLE 5300 0 0 LAS VEGAS SANDS CORP COM 517834107 148 2513 SH SOLE 2513 0 0 LAS VEGAS SANDS CORP COM 517834107 4 5300 SH Call SOLE 5300 0 0 LAUDER ESTEE COS INC CL A 518439104 844 4611 SH SOLE 4611 0 0 LAUDER ESTEE COS INC CL A 518439104 57 32800 SH Put SOLE 32800 0 0 LAUDER ESTEE COS INC CL A 518439104 113 4800 SH Call SOLE 4800 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 3659 473478 SH SOLE 473478 0 0 MASTERCARD INC CL A 57636Q104 222 15000 SH Call SOLE 15000 0 0 MASTERCARD INC CL A 57636Q104 143 43000 SH Put SOLE 43000 0 0 MICROSOFT CORP COM 594918104 2019 15070 SH SOLE 15070 0 0 MICROSOFT CORP COM 594918104 184 40000 SH Put SOLE 40000 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 22354 4705825 SH SOLE 4705825 0 0 NETEASE INC SPONSORED ADR 64110W102 1483 5800 SH SOLE 5800 0 0 NIO INC SPON ADS 62914V106 413 162000 SH SOLE 162000 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 2149 610526 SH SOLE 610526 0 0 NORFOLK SOUTHERN CORP COM 655844108 66 329 SH SOLE 329 0 0 NORFOLK SOUTHERN CORP COM 655844108 5 900 SH Put SOLE 900 0 0 NVIDIA CORP COM 67066G104 785 40000 SH Call SOLE 40000 0 0 NVIDIA CORP COM 67066G104 262 60800 SH Put SOLE 60800 0 0 PAYCHEX INC COM 704326107 81 80000 SH Put SOLE 80000 0 0 PAYCHEX INC COM 704326107 160 40000 SH Call SOLE 40000 0 0 PEPSICO INC COM 713448108 177 40000 SH Put SOLE 40000 0 0 PEPSICO INC COM 713448108 2302 17558 SH SOLE 17558 0 0 PHILIP MORRIS INTL INC COM 718172109 1013 12897 SH SOLE 12897 0 0 PHILIP MORRIS INTL INC COM 718172109 32 34600 SH Call SOLE 34600 0 0 PHILIP MORRIS INTL INC COM 718172109 134 39600 SH Put SOLE 39600 0 0 PINDUODUO INC SPONSORED ADS 722304102 2004 97126 SH SOLE 97126 0 0 PINDUODUO INC SPONSORED ADS 722304102 493 325000 SH Put SOLE 325000 0 0 POSCO SPONSORED ADR 693483109 387 7320 SH SOLE 7320 0 0 PPG INDS INC COM 693506107 10 84 SH SOLE 84 0 0 PPG INDS INC COM 693506107 2 1000 SH Call SOLE 1000 0 0 PPG INDS INC COM 693506107 3 1000 SH Put SOLE 1000 0 0 PROCTER AND GAMBLE CO COM 742718109 197 27900 SH Call SOLE 27900 0 0 PROCTER AND GAMBLE CO COM 742718109 3 3600 SH Put SOLE 3600 0 0 QUDIAN INC ADR 747798106 327 43600 SH SOLE 43600 0 0 RALPH LAUREN CORP CL A 751212101 3515 30945 SH SOLE 30945 0 0 RALPH LAUREN CORP CL A 751212101 290 40600 SH Put SOLE 40600 0 0 RED HAT INC COM 756577102 16075 85615 SH SOLE 85615 0 0 RH COM 74967X103 1584 13701 SH SOLE 13701 0 0 RH COM 74967X103 166 54800 SH Put SOLE 54800 0 0 RIO TINTO PLC SPONSORED ADR 767204100 1649 26459 SH SOLE 26459 0 0 RIO TINTO PLC SPONSORED ADR 767204100 50 100000 SH Put SOLE 100000 0 0 SHOPIFY INC CL A 82509L107 428 1427 SH SOLE 1427 0 0 SHOPIFY INC CL A 82509L107 70 50000 SH Put SOLE 50000 0 0 SKECHERS U S A INC CL A 830566105 1027 32600 SH SOLE 32600 0 0 SPLUNK INC COM 848637104 1842 14645 SH SOLE 14645 0 0 SPLUNK INC COM 848637104 156 40000 SH Put SOLE 40000 0 0 SQUARE INC CL A 852234103 930 12820 SH SOLE 12820 0 0 SQUARE INC CL A 852234103 100 80000 SH Put SOLE 80000 0 0 STAMPS COM INC COM NEW 852857200 740 30000 SH Put SOLE 30000 0 0 STAMPS COM INC COM NEW 852857200 1265 27944 SH SOLE 27944 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 12438 1761137 SH SOLE 1761137 0 0 SUNTRUST BKS INC COM 867914103 4 36600 SH Call SOLE 36600 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 46087 1176598 SH SOLE 1176598 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 26146 1474286 SH SOLE 1474286 0 0 TIFFANY & CO NEW COM 886547108 355 47300 SH Put SOLE 47300 0 0 TIFFANY & CO NEW COM 886547108 363 60200 SH Call SOLE 60200 0 0 TWILIO INC CL A 90138F102 16 85000 SH Put SOLE 85000 0 0 TWILIO INC CL A 90138F102 297 2177 SH SOLE 2177 0 0 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 3661 1626663 SH SOLE 1626663 0 0 UNITED RENTALS INC COM 911363109 1848 13937 SH SOLE 13937 0 0 UNITED RENTALS INC COM 911363109 246 40000 SH Put SOLE 40000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 1 50000 SH Call SOLE 50000 0 0 VERSUM MATLS INC COM 92532W103 3121 60499 SH SOLE 60499 0 0 VISA INC COM CL A 92826C839 18 20000 SH Put SOLE 20000 0 0 VISA INC COM CL A 92826C839 311 20000 SH Call SOLE 20000 0 0 WHIRLPOOL CORP COM 963320106 6 900 SH Call SOLE 900 0 0 WHIRLPOOL CORP COM 963320106 4 900 SH Put SOLE 900 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 7259 1676379 SH SOLE 1676379 0 0 WIX COM LTD SHS M98068105 1 7 SH SOLE 7 0 0 WIX COM LTD SHS M98068105 1 8800 SH Put SOLE 8800 0 0 XEROX CORP COM NEW 984121608 1 800 SH Call SOLE 800 0 0 XEROX CORP COM NEW 984121608 0 800 SH Put SOLE 800 0 0 YUM CHINA HLDGS INC COM 98850P109 4 1800 SH Call SOLE 1800 0 0 YUM CHINA HLDGS INC COM 98850P109 0 1800 SH Put SOLE 1800 0 0 YY INC SPONSORED ADS A 98426T106 10943 157030 SH SOLE 157030 0 0