Chief Compliance Officer

0001214659-21-001435.txt : 20210208 0001214659-21-001435.hdr.sgml : 20210208 20210208133817 ACCESSION NUMBER: 0001214659-21-001435 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210208 DATE AS OF CHANGE: 20210208 EFFECTIVENESS DATE: 20210208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NorthRock Partners, LLC CENTRAL INDEX KEY: 0001632097 IRS NUMBER: 274761668 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16755 FILM NUMBER: 21600632 BUSINESS ADDRESS: STREET 1: 225 SOUTH 6TH STREET STREET 2: SUITE 1400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-367-8800 MAIL ADDRESS: STREET 1: 225 SOUTH 6TH STREET STREET 2: SUITE 1400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001632097 XXXXXXXX 12-31-2020 12-31-2020 false NorthRock Partners, LLC

225 South 6th Street Suite 1400 Minneapolis MN 55402

13F HOLDINGS REPORT 028-16755 N James Lund Chief Compliance Officer 612-367-8803 /s/James Lund Minneapolis MN 02-05-2021 0 233 1014765 INFORMATION TABLE 2 infotable.xml SPDR S&P 500 ETF TR TR UNIT 78462F103 181574 485648 SH SOLE 485648 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 89161 2592639 SH SOLE 2592639 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 58685 1061408 SH SOLE 1061408 0 0 APPLE INC COM 037833100 53439 402733 SH SOLE 402733 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 53276 959920 SH SOLE 959920 0 0 SPDR SER TR S&P 600 SMCP VAL 78464A300 49702 750899 SH SOLE 750899 0 0 MONDELEZ INTL INC CL A 609207105 45899 784994 SH SOLE 784994 0 0 SPDR SER TR S&P 600 SMCP GRW 78464A201 38730 507138 SH SOLE 507138 0 0 TARGET CORP COM 87612E106 36459 206530 SH SOLE 206530 0 0 SPDR SER TR S&P 400 MDCP GRW 78464A821 36304 523640 SH SOLE 523640 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 31229 129505 SH SOLE 129505 0 0 PHILIP MORRIS INTL INC COM 718172109 27292 329650 SH SOLE 329650 0 0 ISHARES TR EAFE VALUE ETF 464288877 17138 363099 SH SOLE 363099 0 0 ALTRIA GROUP INC COM 02209S103 13610 331950 SH SOLE 331950 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 12548 247062 SH SOLE 247062 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 11768 60458 SH SOLE 60458 0 0 ISHARES TR RUS MD CP GR ETF 464287481 10956 106731 SH SOLE 106731 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 10624 254624 SH SOLE 254624 0 0 OWL ROCK CAPITAL CORPORATION COM 69121K104 8959 707660 SH SOLE 707660 0 0 AMERIPRISE FINL INC COM 03076C106 8055 41452 SH SOLE 41452 0 0 MICROSOFT CORP COM 594918104 7227 32493 SH SOLE 32493 0 0 ABBVIE INC COM 00287Y109 7102 66280 SH SOLE 66280 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 6763 47905 SH SOLE 47905 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 5412 39582 SH SOLE 39582 0 0 AMAZON COM INC COM 023135106 5348 1642 SH SOLE 1642 0 0 ISHARES TR EAFE GRWTH ETF 464288885 5268 52208 SH SOLE 52208 0 0 KRAFT HEINZ CO COM 500754106 4986 143851 SH SOLE 143851 0 0 FS KKR CAP CORP COM 302635206 4798 289733 SH SOLE 289733 0 0 ISHARES TR MBS ETF 464288588 4591 41609 SH SOLE 41609 0 0 JOHNSON & JOHNSON COM 478160104 4482 28479 SH SOLE 28479 0 0 INTEL CORP COM 458140100 4476 89848 SH SOLE 89848 0 0 ISHARES TR S&P SML 600 GWT 464287887 4473 39175 SH SOLE 39175 0 0 ALPHABET INC CAP STK CL A 02079K305 4289 2447 SH SOLE 2447 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 4018 24401 SH SOLE 24401 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 3970 12653 SH SOLE 12653 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3757 16201 SH SOLE 16201 0 0 PROCTER AND GAMBLE CO COM 742718109 3467 24916 SH SOLE 24916 0 0 TESLA INC COM 88160R101 3291 4663 SH SOLE 4663 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3097 24599 SH SOLE 24599 0 0 JPMORGAN CHASE & CO COM 46625H100 3058 24067 SH SOLE 24067 0 0 AT&T INC COM 00206R102 2577 89598 SH SOLE 89598 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2492 42411 SH SOLE 42411 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2476 9773 SH SOLE 9773 0 0 ABBOTT LABS COM 002824100 2414 22052 SH SOLE 22052 0 0 DISNEY WALT CO COM 254687106 2302 12708 SH SOLE 12708 0 0 BOEING CO COM 097023105 2248 10503 SH SOLE 10503 0 0 FS KKR CAP CORP II COM 35952V303 2186 133293 SH SOLE 133293 0 0 PEPSICO INC COM 713448108 2142 14446 SH SOLE 14446 0 0 SPDR SER TR S&P DIVID ETF 78464A763 2123 20042 SH SOLE 20042 0 0 MCDONALDS CORP COM 580135101 2020 9415 SH SOLE 9415 0 0 HONEYWELL INTL INC COM 438516106 1875 8815 SH SOLE 8815 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1856 5400 SH SOLE 5400 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1835 31092 SH SOLE 31092 0 0 PETROS PHARMACEUTICALS INC COM 71678J100 1694 385031 SH SOLE 385031 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1669 99496 SH SOLE 99496 0 0 ISHARES TR DOW JONES US ETF 464287846 1660 17598 SH SOLE 17598 0 0 SPDR SER TR S&P 600 SML CAP 78464A813 1605 20178 SH SOLE 20178 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 1583 17351 SH SOLE 17351 0 0 ARES CAPITAL CORP COM 04010L103 1561 92401 SH SOLE 92401 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1500 3573 SH SOLE 3573 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1491 4253 SH SOLE 4253 0 0 SOUTHERN CO COM 842587107 1477 24044 SH SOLE 24044 0 0 ILLINOIS TOOL WKS INC COM 452308109 1452 7121 SH SOLE 7121 0 0 BAXTER INTL INC COM 071813109 1369 17059 SH SOLE 17059 0 0 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 1353 36180 SH SOLE 36180 0 0 MERCK & CO. INC COM 58933Y105 1323 16174 SH SOLE 16174 0 0 BANK MONTREAL QUE COM 063671101 1321 17392 SH SOLE 17392 0 0 STARBUCKS CORP COM 855244109 1279 11959 SH SOLE 11959 0 0 3M CO COM 88579Y101 1229 7029 SH SOLE 7029 0 0 HAWKINS INC COM 420261109 1203 23000 SH SOLE 23000 0 0 ISHARES TR CORE S&P500 ETF 464287200 1161 3094 SH SOLE 3094 0 0 ISHARES TR SELECT DIVID ETF 464287168 1130 11745 SH SOLE 11745 0 0 CONSOLIDATED EDISON INC COM 209115104 1092 15105 SH SOLE 15105 0 0 ISHARES TR MSCI USA ESG SLC 464288802 1038 12611 SH SOLE 12611 0 0 ALPHABET INC CAP STK CL C 02079K107 1035 591 SH SOLE 591 0 0 COCA COLA CO COM 191216100 1028 18744 SH SOLE 18744 0 0 BK OF AMERICA CORP COM 060505104 1005 33142 SH SOLE 33142 0 0 ISHARES TR US HLTHCARE ETF 464287762 946 3847 SH SOLE 3847 0 0 NVIDIA CORPORATION COM 67066G104 926 1773 SH SOLE 1773 0 0 CISCO SYS INC COM 17275R102 923 20629 SH SOLE 20629 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 911 7601 SH SOLE 7601 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 894 10201 SH SOLE 10201 0 0 NETFLIX INC COM 64110L106 890 1645 SH SOLE 1645 0 0 PFIZER INC COM 717081103 876 23794 SH SOLE 23794 0 0 CHEVRON CORP NEW COM 166764100 868 10274 SH SOLE 10274 0 0 ISHARES TR CORE S&P SCP ETF 464287804 856 9316 SH SOLE 9316 0 0 AKERS BIOSCIENCES INC COM 00973E409 846 425000 SH SOLE 425000 0 0 KELLOGG CO COM 487836108 839 13486 SH SOLE 13486 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 837 43280 SH SOLE 43280 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 831 11622 SH SOLE 11622 0 0 NIKE INC CL B 654106103 812 5737 SH SOLE 5737 0 0 HOME DEPOT INC COM 437076102 810 3048 SH SOLE 3048 0 0 ISHARES TR CORE MSCI EAFE 46432F842 791 11456 SH SOLE 11456 0 0 SALLY BEAUTY HLDGS INC COM 79546E104 776 59475 SH SOLE 59475 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 768 7924 SH SOLE 7924 0 0 COSTCO WHSL CORP NEW COM 22160K105 753 1999 SH SOLE 1999 0 0 AON PLC SHS CL A G0403H108 742 3510 SH SOLE 3510 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 740 8153 SH SOLE 8153 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 738 8689 SH SOLE 8689 0 0 DIAMONDBACK ENERGY INC COM 25278X109 730 15090 SH SOLE 15090 0 0 CENTRAL GARDEN & PET CO CL A NON-VTG 153527205 727 20000 SH SOLE 20000 0 0 ISHARES TR RUS MID CAP ETF 464287499 713 10408 SH SOLE 10408 0 0 ISHARES TR U.S. MED DVC ETF 464288810 695 2124 SH SOLE 2124 0 0 ISHARES TR SP SMCP600VL ETF 464287879 694 8534 SH SOLE 8534 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 693 1959 SH SOLE 1959 0 0 WRAP TECHNOLOGIES INC COM 98212N107 673 139292 SH SOLE 139292 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 665 3391 SH SOLE 3391 0 0 EXXON MOBIL CORP COM 30231G102 662 16071 SH SOLE 16071 0 0 ALLSTATE CORP COM 020002101 641 5832 SH SOLE 5832 0 0 PAYPAL HLDGS INC COM 70450Y103 641 2735 SH SOLE 2735 0 0 ISHARES TR U.S. TECH ETF 464287721 637 7484 SH SOLE 7484 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 621 15562 SH SOLE 15562 0 0 ISHARES INC CORE MSCI EMKT 46434G103 600 9667 SH SOLE 9667 0 0 LOWES COS INC COM 548661107 590 3678 SH SOLE 3678 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 590 11776 SH SOLE 11776 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 581 2495 SH SOLE 2495 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 580 6379 SH SOLE 6379 0 0 CATERPILLAR INC COM 149123101 577 3170 SH SOLE 3170 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 573 1231 SH SOLE 1231 0 0 FACEBOOK INC CL A 30303M102 571 2089 SH SOLE 2089 0 0 SCHLUMBERGER LTD COM 806857108 571 26136 SH SOLE 26136 0 0 GRAPHIC PACKAGING HLDG CO COM 388689101 538 31740 SH SOLE 31740 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 530 10605 SH SOLE 10605 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 515 2430 SH SOLE 2430 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 515 4327 SH SOLE 4327 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 507 25859 SH SOLE 25859 0 0 KIMBERLY-CLARK CORP COM 494368103 491 3641 SH SOLE 3641 0 0 QUALCOMM INC COM 747525103 489 3211 SH SOLE 3211 0 0 ISHARES TR INTL SEL DIV ETF 464288448 489 16590 SH SOLE 16590 0 0 ISHARES TR NASDAQ BIOTECH 464287556 485 3200 SH SOLE 3200 0 0 ISHARES TR MSCI EAFE ETF 464287465 484 6635 SH SOLE 6635 0 0 NOVARTIS AG SPONSORED ADR 66987V109 477 5051 SH SOLE 5051 0 0 ISHARES TR MODERT ALLOC ETF 464289875 471 10906 SH SOLE 10906 0 0 UNITED PARCEL SERVICE INC CL B 911312106 467 2772 SH SOLE 2772 0 0 VISA INC COM CL A 92826C839 467 2133 SH SOLE 2133 0 0 NEXTERA ENERGY INC COM 65339F101 457 5920 SH SOLE 5920 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 455 1724 SH SOLE 1724 0 0 COMCAST CORP NEW CL A 20030N101 450 8589 SH SOLE 8589 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 436 6732 SH SOLE 6732 0 0 PNC FINL SVCS GROUP INC COM 693475105 424 2843 SH SOLE 2843 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 421 6600 SH SOLE 6600 0 0 ISHARES TR S&P 100 ETF 464287101 415 2419 SH SOLE 2419 0 0 OTTER TAIL CORP COM 689648103 403 9463 SH SOLE 9463 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 400 1496 SH SOLE 1496 0 0 FREEPORT-MCMORAN INC CL B 35671D857 399 15326 SH SOLE 15326 0 0 AMERICAN EXPRESS CO COM 025816109 397 3283 SH SOLE 3283 0 0 HALLIBURTON CO COM 406216101 393 20820 SH SOLE 20820 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 393 6330 SH SOLE 6330 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 386 1558 SH SOLE 1558 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 383 2252 SH SOLE 2252 0 0 CAMPBELL SOUP CO COM 134429109 371 7673 SH SOLE 7673 0 0 MASTERCARD INCORPORATED CL A 57636Q104 365 1023 SH SOLE 1023 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 365 12377 SH SOLE 12377 0 0 SHOPIFY INC CL A 82509L107 359 318 SH SOLE 318 0 0 GENERAL ELECTRIC CO COM 369604103 353 32720 SH SOLE 32720 0 0 SALESFORCE COM INC COM 79466L302 351 1579 SH SOLE 1579 0 0 DOCUSIGN INC COM 256163106 351 1579 SH SOLE 1579 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 348 1 SH SOLE 1 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 343 3750 SH SOLE 3750 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 340 15400 SH SOLE 15400 0 0 MERCADOLIBRE INC COM 58733R102 339 202 SH SOLE 202 0 0 NETGEAR INC COM 64111Q104 331 8139 SH SOLE 8139 0 0 MARSH & MCLENNAN COS INC COM 571748102 331 2826 SH SOLE 2826 0 0 STRYKER CORPORATION COM 863667101 327 1334 SH SOLE 1334 0 0 SPDR SER TR PORTFOLI S&P1500 78464A805 327 7085 SH SOLE 7085 0 0 TRUIST FINL CORP COM 89832Q109 324 6759 SH SOLE 6759 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 324 1447 SH SOLE 1447 0 0 XCEL ENERGY INC COM 98389B100 320 4796 SH SOLE 4796 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 311 1648 SH SOLE 1648 0 0 TYSON FOODS INC CL A 902494103 311 4832 SH SOLE 4832 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 307 2155 SH SOLE 2155 0 0 LOCKHEED MARTIN CORP COM 539830109 305 860 SH SOLE 860 0 0 EVERSOURCE ENERGY COM 30040W108 305 3530 SH SOLE 3530 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 303 11929 SH SOLE 11929 0 0 COLGATE PALMOLIVE CO COM 194162103 303 3539 SH SOLE 3539 0 0 ORACLE CORP COM 68389X105 295 4568 SH SOLE 4568 0 0 SYSCO CORP COM 871829107 292 3931 SH SOLE 3931 0 0 MEDTRONIC PLC SHS G5960L103 291 2488 SH SOLE 2488 0 0 WALMART INC COM 931142103 288 1996 SH SOLE 1996 0 0 UNION PAC CORP COM 907818108 287 1379 SH SOLE 1379 0 0 ACCELERON PHARMA INC COM 00434H108 281 2200 SH SOLE 2200 0 0 COSTAR GROUP INC COM 22160N109 277 300 SH SOLE 300 0 0 CVS HEALTH CORP COM 126650100 276 4037 SH SOLE 4037 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 262 6933 SH SOLE 6933 0 0 ISHARES INC MSCI GBL MIN VOL 464286525 256 2642 SH SOLE 2642 0 0 PIPER SANDLER COMPANIES COM 724078100 253 2510 SH SOLE 2510 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 253 1299 SH SOLE 1299 0 0 LILLY ELI & CO COM 532457108 250 1480 SH SOLE 1480 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 249 1917 SH SOLE 1917 0 0 U S GOLD CORP COM NEW 90291C201 248 15000 SH SOLE 15000 0 0 DOMINION ENERGY INC COM 25746U109 246 3275 SH SOLE 3275 0 0 BALL CORP COM 058498106 238 2552 SH SOLE 2552 0 0 DEERE & CO COM 244199105 233 865 SH SOLE 865 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 231 1310 SH SOLE 1310 0 0 INVESCO EXCHANGE TRADED FD T DYNMC LRG GWTH 46137V746 228 3380 SH SOLE 3380 0 0 ISHARES TR CORE US AGGBD ET 464287226 228 1930 SH SOLE 1930 0 0 OTIS WORLDWIDE CORP COM 68902V107 228 3375 SH SOLE 3375 0 0 ISHARES TR U.S. FINLS ETF 464287788 227 3398 SH SOLE 3398 0 0 ISHARES TR CORE S&P MCP ETF 464287507 226 984 SH SOLE 984 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 226 1419 SH SOLE 1419 0 0 GABELLI EQUITY TR INC COM 362397101 226 36000 SH SOLE 36000 0 0 CIGNA CORP NEW COM 125523100 219 1051 SH SOLE 1051 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 213 5299 SH SOLE 5299 0 0 CONSTELLATION BRANDS INC CL A 21036P108 211 962 SH SOLE 962 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 210 3813 SH SOLE 3813 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 209 1624 SH SOLE 1624 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 207 3997 SH SOLE 3997 0 0 MGE ENERGY INC COM 55277P104 206 2947 SH SOLE 2947 0 0 DANAHER CORPORATION COM 235851102 206 926 SH SOLE 926 0 0 TEXAS INSTRS INC COM 882508104 206 1253 SH SOLE 1253 0 0 WEC ENERGY GROUP INC COM 92939U106 205 2229 SH SOLE 2229 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 204 3977 SH SOLE 3977 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 204 1797 SH SOLE 1797 0 0 ISHARES TR CORE S&P TTL STK 464287150 201 2331 SH SOLE 2331 0 0 STERLING BANCORP DEL COM 85917A100 199 11095 SH SOLE 11095 0 0 BLACKBERRY LTD COM 09228F103 167 25163 SH SOLE 25163 0 0 LITHIUM AMERS CORP NEW COM NEW 53680Q207 151 12007 SH SOLE 12007 0 0 QUMU CORP COM 749063103 133 16600 SH SOLE 16600 0 0 KINROSS GOLD CORP CALL 496902904 110 15000 SH Call SOLE 15000 0 0 FORD MTR CO DEL COM 345370860 102 11642 SH SOLE 11642 0 0 RAMBUS INC DEL CALL 750917906 87 5000 SH Call SOLE 5000 0 0 RESEARCH FRONTIERS INC COM 760911107 84 30000 SH SOLE 30000 0 0 QUALCOMM INC CALL 747525903 76 500 SH Call SOLE 500 0 0 VIACOMCBS INC CALL 92556H907 75 2000 SH Call SOLE 2000 0 0 GENASYS INC COM 36872P103 65 10000 SH SOLE 10000 0 0 POLYMET MNG CORP COM NEW 731916409 62 18675 SH SOLE 18675 0 0 SMITH MICRO SOFTWARE INC COM NEW 832154207 54 10000 SH SOLE 10000 0 0 WESTROCK CO CALL 96145D905 44 1000 SH Call SOLE 1000 0 0 KRAFT HEINZ CO CALL 500754906 35 1000 SH Call SOLE 1000 0 0 CYCLERION THERAPEUTICS INC COM 23255M105 31 10000 SH SOLE 10000 0 0 NEW GOLD INC CDA COM 644535106 29 13153 SH SOLE 13153 0 0 BLACKBERRY LTD CALL 09228F903 19 2800 SH Call SOLE 2800 0 0 XPRESSPA GROUP INC COM 98420U703 12 10046 SH SOLE 10046 0 0