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