0001172661-16-004151.txt : 20161110 0001172661-16-004151.hdr.sgml : 20161110 20161110160658 ACCESSION NUMBER: 0001172661-16-004151 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 EFFECTIVENESS DATE: 20161110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PT ASSET MANAGEMENT, LLC CENTRAL INDEX KEY: 0001654913 IRS NUMBER: 208098335 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17003 FILM NUMBER: 161988076 BUSINESS ADDRESS: STREET 1: 500 W. MADISON STREET, SUITE 470 CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 312-521-1000 MAIL ADDRESS: STREET 1: 500 W. MADISON STREET, SUITE 470 CITY: CHICAGO STATE: IL ZIP: 60661 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001654913 XXXXXXXX 09-30-2016 09-30-2016 false PT ASSET MANAGEMENT, LLC
500 W. Madison Street, Suite 470 Chicago IL 60661
13F HOLDINGS REPORT 028-17003 N
Steven J. Novatney Chief Operating Officer 312-521-1402 /s/ Steven J. Novatney Chicago IL 11-10-2016 0 207 431245
INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 1410 8000 SH Call SOLE 8000 0 0 3M CO COM 88579Y101 705 4000 SH Put SOLE 4000 0 0 3M CO COM 88579Y101 529 3000 SH SOLE 3000 0 0 ALCOA INC COM 013817101 548 54000 SH Call SOLE 54000 0 0 ALCOA INC COM 013817101 1014 100000 SH Put SOLE 100000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2116 20000 SH Call SOLE 20000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 9468 89500 SH Put SOLE 89500 0 0 ALPHABET INC CAP STK CL A 02079K305 1286 1600 SH Call SOLE 1600 0 0 ALPHABET INC CAP STK CL A 02079K305 2412 3000 SH Put SOLE 3000 0 0 AMAZON COM INC COM 023135106 5944 7100 SH Call SOLE 7100 0 0 AMAZON COM INC COM 023135106 14569 17400 SH Put SOLE 17400 0 0 AMERICAN EXPRESS CO COM 025816109 503 7850 SH SOLE 7850 0 0 AMERICAN EXPRESS CO COM 025816109 410 6400 SH Call SOLE 6400 0 0 AMERICAN EXPRESS CO COM 025816109 666 10400 SH Put SOLE 10400 0 0 APACHE CORP COM 037411105 1673 26200 SH Call SOLE 26200 0 0 APACHE CORP COM 037411105 2708 42400 SH Put SOLE 42400 0 0 APPLE INC COM 037833100 8862 78400 SH Call SOLE 78400 0 0 APPLE INC COM 037833100 8646 76500 SH Put SOLE 76500 0 0 AT&T INC COM 00206R102 727 17900 SH SOLE 17900 0 0 BAIDU INC SPON ADR REP A 056752108 910 5000 SH Call SOLE 5000 0 0 BAIDU INC SPON ADR REP A 056752108 1274 7000 SH Put SOLE 7000 0 0 BANK AMER CORP COM 060505104 1232 78700 SH SOLE 78700 0 0 BANK AMER CORP COM 060505104 548 35000 SH Call SOLE 35000 0 0 BANK AMER CORP COM 060505104 1988 127000 SH Put SOLE 127000 0 0 BARRICK GOLD CORP COM 067901108 975 55000 SH Call SOLE 55000 0 0 BARRICK GOLD CORP COM 067901108 939 53000 SH Put SOLE 53000 0 0 BEST BUY INC COM 086516101 980 25678 SH SOLE 25678 0 0 BEST BUY INC COM 086516101 1298 34000 SH Call SOLE 34000 0 0 BEST BUY INC COM 086516101 2253 59000 SH Put SOLE 59000 0 0 BLACKROCK INC COM 09247X101 1812 5000 SH Call SOLE 5000 0 0 BLACKROCK INC COM 09247X101 2175 6000 SH Put SOLE 6000 0 0 BOEING CO COM 097023105 7113 54000 SH Call SOLE 54000 0 0 BOEING CO COM 097023105 3623 27500 SH Put SOLE 27500 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 271 5550 SH SOLE 5550 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 1547 31700 SH Call SOLE 31700 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 2734 56000 SH Put SOLE 56000 0 0 CATERPILLAR INC DEL COM 149123101 1332 15000 SH Put SOLE 15000 0 0 CATERPILLAR INC DEL COM 149123101 3417 38500 SH Call SOLE 38500 0 0 CBS CORP NEW CL B 124857202 958 17500 SH Call SOLE 17500 0 0 CBS CORP NEW CL B 124857202 1204 22000 SH Put SOLE 22000 0 0 CELGENE CORP COM 151020104 732 7000 SH Call SOLE 7000 0 0 CELGENE CORP COM 151020104 993 9500 SH Put SOLE 9500 0 0 CHEVRON CORP NEW COM 166764100 6535 63500 SH Call SOLE 63500 0 0 CHEVRON CORP NEW COM 166764100 6073 59000 SH Put SOLE 59000 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 987 16039 SH SOLE 16039 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 1421 23100 SH Call SOLE 23100 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 5365 87200 SH Put SOLE 87200 0 0 CIENA CORP COM NEW 171779309 126 5800 SH SOLE 5800 0 0 CIENA CORP COM NEW 171779309 279 12800 SH Call SOLE 12800 0 0 CIENA CORP COM NEW 171779309 589 27000 SH Put SOLE 27000 0 0 CISCO SYS INC COM 17275R102 3242 102200 SH SOLE 102200 0 0 CISCO SYS INC COM 17275R102 12536 395200 SH Put SOLE 395200 0 0 CISCO SYS INC COM 17275R102 1427 45000 SH Call SOLE 45000 0 0 CITIGROUP INC COM NEW 172967424 501 10600 SH SOLE 10600 0 0 CITIGROUP INC COM NEW 172967424 1275 27000 SH Call SOLE 27000 0 0 COMMUNITYONE BANCORP COM 20416Q108 14554 1051563 SH SOLE 1051563 0 0 D R HORTON INC COM 23331A109 66 2200 SH SOLE 2200 0 0 D R HORTON INC COM 23331A109 1142 37800 SH Call SOLE 37800 0 0 D R HORTON INC COM 23331A109 2083 69000 SH Put SOLE 69000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1319 33500 SH Call SOLE 33500 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1811 46000 SH Put SOLE 46000 0 0 DEVON ENERGY CORP NEW COM 25179M103 353 8000 SH Call SOLE 8000 0 0 DISNEY WALT CO COM DISNEY 254687106 2879 31000 SH Call SOLE 31000 0 0 DISNEY WALT CO COM DISNEY 254687106 3714 40000 SH Put SOLE 40000 0 0 DISNEY WALT CO COM DISNEY 254687106 279 3000 SH SOLE 3000 0 0 EXPEDITORS INTL WASH INC COM 302130109 515 10000 SH Put SOLE 10000 0 0 EXXON MOBIL CORP COM 30231G102 6285 72000 SH Call SOLE 72000 0 0 EXXON MOBIL CORP COM 30231G102 3317 38000 SH Put SOLE 38000 0 0 FERRARI N V COM N3167Y103 856 16500 SH Call SOLE 16500 0 0 FERRARI N V COM N3167Y103 1297 25000 SH Put SOLE 25000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 217 18000 SH SOLE 18000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 1177 97500 SH Call SOLE 97500 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 1810 150000 SH Put SOLE 150000 0 0 FRANKLIN FINL NETWORK INC COM 35352P104 7218 193000 SH SOLE 193000 0 0 FREEPORT-MCMORAN INC CL B 35671D857 266 24500 SH Call SOLE 24500 0 0 FREEPORT-MCMORAN INC CL B 35671D857 489 45000 SH Put SOLE 45000 0 0 GENERAL ELECTRIC CO COM 369604103 3170 107000 SH Call SOLE 107000 0 0 GENERAL ELECTRIC CO COM 369604103 296 10000 SH Put SOLE 10000 0 0 GENERAL MTRS CO COM 37045V100 591 18600 SH SOLE 18600 0 0 GENERAL MTRS CO COM 37045V100 3110 97900 SH Call SOLE 97900 0 0 GENERAL MTRS CO COM 37045V100 3415 107500 SH Put SOLE 107500 0 0 GILEAD SCIENCES INC COM 375558103 1614 20400 SH SOLE 20400 0 0 GILEAD SCIENCES INC COM 375558103 2492 31500 SH Call SOLE 31500 0 0 GILEAD SCIENCES INC COM 375558103 3559 45000 SH Put SOLE 45000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 8144 50500 SH Call SOLE 50500 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 3870 24000 SH Put SOLE 24000 0 0 HOME DEPOT INC COM 437076102 772 6000 SH Call SOLE 6000 0 0 HONEYWELL INTL INC COM 438516106 1275 11000 SH Call SOLE 11000 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 3009 80000 SH Put SOLE 80000 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 342 9100 SH SOLE 9100 0 0 INTEL CORP COM 458140100 4990 132200 SH Call SOLE 132200 0 0 INTEL CORP COM 458140100 7810 206900 SH Put SOLE 206900 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 269 1000 SH SOLE 1000 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 1077 4000 SH Call SOLE 4000 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 4256 15800 SH Put SOLE 15800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2621 16500 SH Call SOLE 16500 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3177 20000 SH Put SOLE 20000 0 0 ISHARES MSCI JAPAN ETF 464286848 251 20000 SH Call SOLE 20000 0 0 ISHARES MSCI JAPAN ETF 464286848 70 5600 SH Put SOLE 5600 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 4868 128100 SH Call SOLE 128100 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 4940 130000 SH Put SOLE 130000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1076 8659 SH SOLE 8659 0 0 JPMORGAN CHASE & CO COM 46625H100 2830 42500 SH Put SOLE 42500 0 0 JPMORGAN CHASE & CO COM 46625H100 2131 32000 SH Call SOLE 32000 0 0 JUNIPER NETWORKS INC COM 48203R104 1022 42500 SH Call SOLE 42500 0 0 JUNIPER NETWORKS INC COM 48203R104 1323 55000 SH Put SOLE 55000 0 0 KOHLS CORP COM 500255104 402 9200 SH SOLE 9200 0 0 KOHLS CORP COM 500255104 1878 42900 SH Call SOLE 42900 0 0 KOHLS CORP COM 500255104 2144 49000 SH Put SOLE 49000 0 0 LENNAR CORP CL A 526057104 635 15000 SH SOLE 15000 0 0 LENNAR CORP CL A 526057104 339 8000 SH Call SOLE 8000 0 0 LENNAR CORP CL A 526057104 1058 25000 SH Put SOLE 25000 0 0 LINKEDIN CORP COM CL A 53578A108 1949 10200 SH SOLE 10200 0 0 LINKEDIN CORP COM CL A 53578A108 669 3500 SH Call SOLE 3500 0 0 LINKEDIN CORP COM CL A 53578A108 2331 12200 SH Put SOLE 12200 0 0 MARRIOTT INTL INC NEW CL A 571903202 182 2700 SH SOLE 2700 0 0 MARRIOTT INTL INC NEW CL A 571903202 1178 17500 SH Call SOLE 17500 0 0 MARRIOTT INTL INC NEW CL A 571903202 1515 22500 SH Put SOLE 22500 0 0 MASTERCARD INCORPORATED CL A 57636Q104 2605 25600 SH Call SOLE 25600 0 0 MASTERCARD INCORPORATED CL A 57636Q104 3461 34000 SH Put SOLE 34000 0 0 MCDONALDS CORP COM 580135101 508 4400 SH SOLE 4400 0 0 MCDONALDS CORP COM 580135101 3057 26500 SH Call SOLE 26500 0 0 MCDONALDS CORP COM 580135101 1615 14000 SH Put SOLE 14000 0 0 METLIFE INC COM 59156R108 635 14300 SH SOLE 14300 0 0 METLIFE INC COM 59156R108 1480 33300 SH Call SOLE 33300 0 0 METLIFE INC COM 59156R108 813 18300 SH Put SOLE 18300 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 1357 29000 SH Put SOLE 29000 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 178 3800 SH SOLE 3800 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 374 8000 SH Call SOLE 8000 0 0 MICRON TECHNOLOGY INC COM 595112103 1644 92500 SH Put SOLE 92500 0 0 MICRON TECHNOLOGY INC COM 595112103 920 51700 SH Call SOLE 51700 0 0 MICRON TECHNOLOGY INC COM 595112103 288 16225 SH SOLE 16225 0 0 MICROSOFT CORP COM 594918104 357 6200 SH SOLE 6200 0 0 MICROSOFT CORP COM 594918104 4781 83000 SH Call SOLE 83000 0 0 MICROSOFT CORP COM 594918104 4620 80200 SH Put SOLE 80200 0 0 MORGAN STANLEY COM NEW 617446448 35 1100 SH SOLE 1100 0 0 MORGAN STANLEY COM NEW 617446448 5175 161400 SH Call SOLE 161400 0 0 MORGAN STANLEY COM NEW 617446448 1123 35000 SH Put SOLE 35000 0 0 NETFLIX INC COM 64110L106 2099 21300 SH Call SOLE 21300 0 0 NETFLIX INC COM 64110L106 2070 21000 SH Put SOLE 21000 0 0 NEWMONT MINING CORP COM 651639106 5619 143000 SH Put SOLE 143000 0 0 NEWMONT MINING CORP COM 651639106 2358 60000 SH Call SOLE 60000 0 0 NOBLE ENERGY INC COM 655044105 679 19000 SH Call SOLE 19000 0 0 NOBLE ENERGY INC COM 655044105 929 26000 SH Put SOLE 26000 0 0 NORDSTROM INC COM 655664100 26 500 SH SOLE 500 0 0 NORDSTROM INC COM 655664100 389 7500 SH Call SOLE 7500 0 0 NORDSTROM INC COM 655664100 519 10000 SH Put SOLE 10000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 3392 46500 SH Call SOLE 46500 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 2822 38700 SH Put SOLE 38700 0 0 PFIZER INC COM 717081103 1084 32000 SH Call SOLE 32000 0 0 PFIZER INC COM 717081103 1693 50000 SH Put SOLE 50000 0 0 PHILIP MORRIS INTL INC COM 718172109 170 1750 SH SOLE 1750 0 0 PHILIP MORRIS INTL INC COM 718172109 486 5000 SH Put SOLE 5000 0 0 PITNEY BOWES INC COM 724479100 1344 74000 SH Call SOLE 74000 0 0 PRUDENTIAL FINL INC COM 744320102 1821 22300 SH Call SOLE 22300 0 0 PRUDENTIAL FINL INC COM 744320102 2000 24500 SH Put SOLE 24500 0 0 PULTE GROUP INC COM 745867101 1155 57600 SH SOLE 57600 0 0 PULTE GROUP INC COM 745867101 280 14000 SH Call SOLE 14000 0 0 PULTE GROUP INC COM 745867101 2605 130000 SH Put SOLE 130000 0 0 QUALCOMM INC COM 747525103 4507 65800 SH Call SOLE 65800 0 0 QUALCOMM INC COM 747525103 4384 64000 SH Put SOLE 64000 0 0 RALPH LAUREN CORP CL A 751212101 177 1750 SH SOLE 1750 0 0 RALPH LAUREN CORP CL A 751212101 354 3500 SH Call SOLE 3500 0 0 RALPH LAUREN CORP CL A 751212101 506 5000 SH Put SOLE 5000 0 0 SOUTHWEST AIRLS CO COM 844741108 54 1400 SH SOLE 1400 0 0 SOUTHWEST AIRLS CO COM 844741108 630 16200 SH Call SOLE 16200 0 0 SOUTHWEST AIRLS CO COM 844741108 447 11500 SH Put SOLE 11500 0 0 STARBUCKS CORP COM 855244109 1949 36000 SH Call SOLE 36000 0 0 STARBUCKS CORP COM 855244109 2193 40500 SH Put SOLE 40500 0 0 TESLA MTRS INC COM 88160R101 1020 5000 SH Call SOLE 5000 0 0 TOTAL S A SPONSORED ADR 89151E109 668 14000 SH Call SOLE 14000 0 0 TOTAL S A SPONSORED ADR 89151E109 358 7500 SH Put SOLE 7500 0 0 TRIPADVISOR INC COM 896945201 606 9593 SH SOLE 9593 0 0 TRIPADVISOR INC COM 896945201 821 13000 SH Call SOLE 13000 0 0 TRIPADVISOR INC COM 896945201 853 13500 SH Put SOLE 13500 0 0 UNITED PARCEL SERVICE INC CL B 911312106 394 3600 SH SOLE 3600 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2297 21000 SH Call SOLE 21000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1367 12500 SH Put SOLE 12500 0 0 UNITED TECHNOLOGIES CORP COM 913017109 234 2300 SH Call SOLE 2300 0 0 UNITED TECHNOLOGIES CORP COM 913017109 406 4000 SH Put SOLE 4000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 822 15500 SH Call SOLE 15500 0 0 VALERO ENERGY CORP NEW COM 91913Y100 980 18500 SH Put SOLE 18500 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1123 42500 SH Call SOLE 42500 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1797 68000 SH Put SOLE 68000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 1018 23000 SH Call SOLE 23000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 531 12000 SH Put SOLE 12000 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 1408 75000 SH Call SOLE 75000 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 2107 112300 SH Put SOLE 112300 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 224 4300 SH SOLE 4300 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 6368 122500 SH Call SOLE 122500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 5562 107000 SH Put SOLE 107000 0 0 VISA INC COM CL A 92826C839 2241 27100 SH Call SOLE 27100 0 0 VODAFONE GROUP PLC NEW SPNSR ADR 92857W308 1020 35000 SH Put SOLE 35000 0 0 VODAFONE GROUP PLC NEW SPNSR ADR 92857W308 2624 90000 SH Call SOLE 90000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 65 811 SH SOLE 811 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 468 5800 SH Put SOLE 5800 0 0 WELLS FARGO & CO NEW COM 949746101 142 3200 SH SOLE 3200 0 0 WELLS FARGO & CO NEW COM 949746101 2308 52100 SH Call SOLE 52100 0 0 WEYERHAEUSER CO COM 962166104 134 4200 SH SOLE 4200 0 0 WEYERHAEUSER CO COM 962166104 559 17500 SH Put SOLE 17500 0 0 WHOLE FOODS MKT INC COM 966837106 320 11300 SH SOLE 11300 0 0 WHOLE FOODS MKT INC COM 966837106 326 11500 SH Call SOLE 11500 0 0 WHOLE FOODS MKT INC COM 966837106 567 20000 SH Put SOLE 20000 0 0 WYNN RESORTS LTD COM 983134107 2435 25000 SH Call SOLE 25000 0 0 WYNN RESORTS LTD COM 983134107 5114 52500 SH Put SOLE 52500 0 0 YUM BRANDS INC COM 988498101 4312 47500 SH Put SOLE 47500 0 0 YUM BRANDS INC COM 988498101 4722 52000 SH Call SOLE 52000 0 0