0001335382-16-000047.txt : 20161114 0001335382-16-000047.hdr.sgml : 20161111 20161114092616 ACCESSION NUMBER: 0001335382-16-000047 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SCOTIA CAPITAL INC. CENTRAL INDEX KEY: 0001335644 IRS NUMBER: 000000000 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11461 FILM NUMBER: 161991182 BUSINESS ADDRESS: STREET 1: 40 KING ST.WEST, SCOTIA PLAZA 33RD FLOOR CITY: TORONTO STATE: A6 ZIP: M5W 2X6 BUSINESS PHONE: (416) 863-7411 MAIL ADDRESS: STREET 1: 40 KING ST.WEST, SCOTIA PLAZA 33RD FLOOR CITY: TORONTO STATE: A6 ZIP: M5W 2X6 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001335644 XXXXXXXX 09-30-2016 09-30-2016 SCOTIA CAPITAL INC.

40 KING ST.WEST, SCOTIA PLAZA 33RD FLOOR TORONTO A6 M5W 2X6

13F HOLDINGS REPORT 028-11461 N Bob Edwards 416 863-7844 /s/ Bob Edwards Toronto Z4 11-14-2016 1 770 5450278 false 1 0000009631 028-11475 BANK OF NOVA SCOTIA INFORMATION TABLE 2 scapital.inftab.xml 3-D SYS CORP DELCOM NEW88554D20520711670SHDFND101167003M COCOM88579Y101274415581SHDFND137001188103M COCOM88579Y101193911000SHPutDFND11100000ABB LTDSPONSORED ADR00037520430313445SHDFND10134450ABBOTT LABSCOM0028241005863138663SHDFND101386630ABBVIE INCCOM00287Y1096320100226SHDFND101002260ABERDEEN ASIA PACIFIC INCOMCOM0030091071310255844SHDFND102558440ACCENTURE PLC IRELANDSHS CLASS AG1151C101299024473SHDFND10244730ADVANTAGE OIL & GAS LTDCOM00765F1013794542804SHDFND105428040AECOMCOM00766T10039913412SHDFND10134120AERCAP HOLDINGS NVSHSN0098510678020271SHDFND10202710AETNA INC NEWCOM00817Y108145512617SHDFND10126170AFLAC INCCOM001055102227231621SHDFND10316210AGNICO EAGLE MINES LTDCOM00847410881315000SHCallDFND11500000AGNICO EAGLE MINES LTDCOM0084741085989110762SHDFND163121044500AGRIUM 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INCCOM37591610355820000SHPutDFND12000000GILEAD SCIENCES INCCOM37555810314006177802SHDFND101778020GLAXOSMITHKLINE PLCSPONSORED ADR37733W105286866512SHDFND10665120GLOBAL X FDSGLOBX SUPDV US37950E29171528738SHDFND10287380GLOBAL X FDSGLB X SUPERDIV37950E54933615645SHDFND10156450GNC HLDGS INCCOM CL A36191G10793845920SHDFND10459200GOLDCORP INC NEWCOM3809564091816110000SHCallDFND111000000GOLDCORP INC NEWCOM38095640912289744577SHDFND1238577207200GOLDMAN SACHS GROUP INCCOM38141G1049615958SHDFND1059580GRAN TIERRA ENERGY INCCOM38500T1013411500SHDFND10115000GRANITE REAL ESTATE INVT TRUNIT 99/99/99993874371144893160282SHDFND101602820GROUPE CGI INCCL A SUB VTG39945C1097764163068SHDFND175821554860HALLIBURTON COCOM40621610167015011SHDFND10150110HANESBRANDS INCCOM41034510247918980SHDFND10189800HANESBRANDS INCCOM41034510275830000SHPutDFND13000000HANNON ARMSTRONG SUST INFR CCOM41068X10023410000SHDFND10100000HARMAN INTL INDS INCCOM4130861096227479SHDFND1074790HARTFORD FINL SVCS GROUP INCCOM416515104135531910SHDFND10319100HASBRO INCCOM4180561072473116SHDFND1031160HERSHEY COCOM427866108204021340SHDFND10213400HERSHEY COCOM427866108191220000SHCallDFND12000000HESS CORPCOM42809H10753610000SHCallDFND11000000HESS CORPCOM42809H10753610000SHPutDFND11000000HESS CORPCOM42809H1072083880SHDFND1388000HOME DEPOT INCCOM43707610228630222952SHDFND102229520HOME DEPOT INCCOM43707610212868100000SHCallDFND110000000HOME DEPOT INCCOM437076102193015000SHPutDFND11500000HONDA MOTOR LTDAMERN SHS438128308103835892SHDFND10358920HONEYWELL INTL INCCOM438516106952481700SHDFND10817000HORMEL FOODS CORPCOM440452100130934539SHDFND10345390HP INCCOM40434L10515710135SHDFND10101350HSBC HLDGS PLCSPON ADR NEW404280406275273205SHDFND149000242050HSBC HLDGS PLCSPON ADR NEW4042804063760100000SHPutDFND110000000HSN INCCOM4043031093609036SHDFND1090360HUDBAY MINERALS INCCOM443628102828209778SHDFND102097780HUMANA INCCOM4448591023011700SHDFND1017000HUNTINGTON BANCSHARES INCCOM44615010489991225SHDFND10912250IAMGOLD CORPCOM45091310823959065SHDFND10590650IAMGOLD CORPCOM450913108650160000SHCallDFND116000000ICICI BK LTDADR45104G1041180158000SHDFND1300001280000ICICI BK LTDADR45104G10437350000SHPutDFND15000000IMPERIAL OIL LTDCOM NEW4530384088600274941SHDFND171142678270ING GROEP N VSPONSORED ADR45683710317314314SHDFND10143140INTEL CORPCOM45814010025357675034SHDFND106750340INTEL CORPCOM4581401005282140000SHCallDFND114000000INTEL CORPSDCV 3.250% 8/0458140AF723441279000SHDFND1012790000INTERNATIONAL BUSINESS MACHSCOM4592001011086968507SHDFND10685070INTERNATIONAL FLAVORS&FRAGRACOM459506101153310720SHDFND10107200INTERNATIONAL TOWER HILL MINCOM46050R1023135700SHDFND10357000INTL PAPER COCOM4601461032054299SHDFND1042990ISHARESMSCI AUST ETF46428610346222130SHDFND10221300ISHARESEM MKTS DIV ETF4642863195044140571SHDFND101405710ISHARESMSCI BRZ CAP ETF4642864002286765SHDFND1067650ISHARESMSCI CDA ETF46428650987133896SHDFND10338960ISHARESMIN VOL GBL ETF464286525482463316SHDFND10633160ISHARESMSCI EURZONE ETF46428660810875316150SHDFND103161500ISHARESMSCI GERMANY ETF46428680660923166SHDFND10231660ISHARESMSCI JAPAN ETF46428684833526698SHDFND10266980ISHARESMSCI EURO FL ETF46428918036221121SHDFND10211210ISHARESRUS TP200 GR ETF4642894384007170SHDFND1071700ISHARESGRWT ALLOCAT ETF4642898673869375SHDFND1093750ISHARES GOLD TRUSTISHARES46428510596475791SHDFND10757910ISHARES S&P GSCI COMMODITY IUNIT BEN INT46428R10731721401SHDFND10214010ISHARES TRS&P 100 ETF464287101164917256SHDFND10172560ISHARES TRSELECT DIVID ETF464287168240628112SHDFND10281120ISHARES TRTIPS BD ETF46428717610488996SHDFND1089960ISHARES TRCHINA LG-CAP ETF464287184234761778SHDFND10617780ISHARES TRTRANS AVG ETF464287192228615743SHDFND10157430ISHARES TRCORE S&P500 ETF4642872001098250491SHDFND10504910ISHARES TRCORE US AGGBD ET464287226484543098SHDFND10430980ISHARES TRMSCI EMG MKT ETF464287234172746179SHDFND10461790ISHARES TRIBOXX INV CP ETF46428724215490125807SHDFND101258070ISHARES TRGLOBAL TECH ETF464287291427638637SHDFND10386370ISHARES TRGLOB HLTHCRE ETF464287325224222263SHDFND10222630ISHARES TRLATN AMER 40 ETF4642873902007128SHDFND1071280ISHARES TRS&P 500 VAL ETF4642874088839296SHDFND1092960ISHARES TR20 YR TR BD ETF46428743213739990SHDFND1099900ISHARES TR7-10 Y TR BD ETF464287440225320142SHDFND10201420ISHARES TR1-3 YR TR BD ETF464287457519561101SHDFND10611010ISHARES TRMSCI EAFE ETF46428746512694215729SHDFND102157290ISHARES TRRUS MID-CAP ETF4642874993451980SHDFND1019800ISHARES TRCORE S&P MCP ETF4642875076794408SHDFND1044080ISHARES TRNASDQ BIOTEC ETF4642875561053436405SHDFND10364050ISHARES TRGLOBAL 100 ETF4642875728806117849SHDFND101178490ISHARES TRU.S. CNSM SV ETF46428758013098903SHDFND1089030ISHARES TRRUS 1000 ETF464287622357329664SHDFND10296640ISHARES TRRUS 2000 VAL ETF4642876304834626SHDFND1046260ISHARES TRRUSSELL 2000 ETF464287655295923852SHDFND10238520ISHARES TRCORE RUSSELL VAL46428766348510512SHDFND10105120ISHARES TRU.S. TECH ETF46428772111189397SHDFND1093970ISHARES TRU.S. REAL ES ETF4642877395116340SHDFND1320031400ISHARES TRUS HLTHCARE ETF4642877627234814SHDFND1048140ISHARES TRU.S. FIN SVC ETF464287770199522733SHDFND10227330ISHARES TRU.S. FINLS ETF464287788825591737SHDFND10917370ISHARES TRU.S. ENERGY ETF46428779684821745SHDFND10217450ISHARES TRCORE S&P SCP ETF4642878044153341SHDFND1033410ISHARES TREUROPE ETF46428786195424270SHDFND10242700ISHARES TRGL TIMB FORE ETF4642881744068081SHDFND1080810ISHARES TRMSCI AC ASIA ETF464288182221836643SHDFND10366430ISHARES TRMSCI ACWI EX US4642882402896973SHDFND1069730ISHARES TRMSCI ACWI ETF4642882574707960SHDFND1079600ISHARES TRJP MOR EM MK ETF4642882818247027SHDFND1070270ISHARES TRGLB INFRASTR ETF464288372367388388SHDFND10883880ISHARES TRINTL DEVPPTY ETF4642884222055400SHDFND1054000ISHARES TRINTL SEL DIV ETF4642884483503116868SHDFND101168680ISHARES TRIBOXX HI YD ETF4642885137838976SHDFND1089760ISHARES TR10-20 YR TRS ETF4642886539386480SHDFND1064800ISHARES TRSHRT TRS BD ETF464288679308727972SHDFND10279720ISHARES TRU.S. PFD STK ETF464288687343987052SHDFND10870520ISHARES TRGLOBAL MATER ETF4642886952073874SHDFND1038740ISHARES TRUS HOME CONS ETF464288752266496698SHDFND10966980ISHARES TRUS REGNL BKS ETF4642887782968407SHDFND1084070ISHARES TRCORE HIGH DV ETF46429B663237129176SHDFND10291760ISHARES TRMRNGSTR INC ETF46432F875123648903SHDFND10489030ISHARES TR0-5YR INVT GR CP46434V100455489588SHDFND10895880ISHARES TRMSCI UTD KNGDM46434V548122877760SHDFND10777600ISHARES TRULTR SH TRM BD46434V87854310850SHDFND10108500ITC HLDGS CORPCOM4656851056736144898SHDFND114489800JD COM INCSPON ADR CL A47215P1063131120000SHPutDFND112000000JD COM INCSPON ADR CL A47215P10689234200SHDFND13420000JOHNSON & JOHNSONCOM47816010477887659510SHDFND106595100JOHNSON & JOHNSONCOM478160104354330000SHCallDFND13000000JOHNSON CTLS INTL PLCSHSG51502105283561277SHDFND10612770JPMORGAN CHASE & COCOM46625H10043067646880SHDFND1281296187510JPMORGAN CHASE & COCOM46625H1008975134800SHCallDFND113480000JPMORGAN CHASE & COCOM46625H100640596200SHPutDFND19620000JUST ENERGY GROUP INCCOM48213W1012110418723SHDFND104187230KAISER ALUMINUM CORPCOM PAR $0.014830077046227191SHDFND1071910KELLOGG COCOM487836108250732375SHDFND10323750KIMBERLY CLARK CORPCOM494368103168713377SHDFND10133770KINDER MORGAN INC DELCOM49456B1013493151087SHDFND1222971287900KINDER MORGAN INC DELCOM49456B1012089000SHCallDFND1900000KINROSS GOLD CORPCOM NO PAR4969024041210288153SHDFND1348622532910KKR & CO L P DELCOM UNITS48248M1021901133362SHDFND101333620KONINKLIJKE PHILIPS N VNY REG SH NEW50047230345815472SHDFND10154720KRAFT HEINZ COCOM50075410616781187527SHDFND101875270KROGER COCOM5010441016930233866SHDFND102338660L BRANDS INCCOM50179710484311954SHDFND10119540LAUDER ESTEE COS INCCL A5184391042352663SHDFND1026630LEVEL 3 COMMUNICATIONS INCCOM NEW52729N30892419924SHDFND10199240LIBERTY INTERACTIVE CORPQVC GP COM SER A53071M10446023018SHDFND10230180LILLY ELI & COCOM532457108311838861SHDFND10388610LINCOLN NATL CORP INDCOM534187109115224528SHDFND10245280LINKEDIN CORPNOTE 0.500%11/053578AAB481638240000SHDFND1082400000LIVE NATION ENTERTAINMENT INCOM538034109103337592SHDFND10375920LOCKHEED MARTIN CORPCOM539830109434418127SHDFND10181270LOWES COS INCCOM5486611076258657SHDFND1086570LYONDELLBASELL INDUSTRIES NSHS - A -N537451003574430SHDFND1044300MACYS INCCOM55616P1042727343SHDFND1073430MAGNA INTL INCCOM559222401515311200669SHDFND11036611903030MAGNA INTL INCCOM559222401150235000SHCallDFND13500000MANULIFE FINL CORPCOM56501R1061073047608730SHDFND15523275534980MARATHON OIL CORPCOM5658491062653167931SHDFND116596519660MARATHON OIL CORPCOM56584910663240000SHCallDFND14000000MARATHON PETE CORPCOM56585A1023899590SHDFND1095900MARRIOTT INTL INC NEWCL A5719032025347933SHDFND177531800MASTERCARD INCORPORATEDCL A57636Q104534352513SHDFND10525130MASTERCARD INCORPORATEDCL A57636Q104203420000SHCallDFND12000000MASTERCARD INCORPORATEDCL A57636Q104406840000SHPutDFND14000000MCCORMICK & CO INCCOM VTG5797801073213200SHDFND1032000MCCORMICK & CO INCCOM NON VTG579780206560056052SHDFND10560520MCDONALDS CORPCOM58013510112698110098SHDFND101100980MCKESSON CORPCOM58155Q1031499889962SHDFND10899620MEDTRONIC PLCSHSG5960L103475455145SHDFND10551450MERCK & CO INCCOM58933Y1059088145645SHDFND101456450METHANEX CORPCOM59151K108223062648SHDFND10626480METLIFE INCCOM59156R108355480000SHPutDFND18000000METLIFE INCCOM59156R10835834806699SHDFND143128023870MICROCHIP TECHNOLOGY INCSDCV 2.125%12/1595017AB03276512672000SHDFND10126720000MICRON TECHNOLOGY INCCOM59511210335219865SHDFND10198650MICROSEMI CORPCOM595137100114327558SHDFND10275580MICROSOFT CORPCOM59491810441509721398SHDFND107213980MICROSOFT CORPCOM59491810416122280000SHCallDFND128000000MICROSOFT CORPCOM594918104287950000SHPutDFND15000000MOLSON COORS BREWING COCL B60871R209274525000SHCallDFND12500000MONDELEZ INTL INCCL A60920710587820000SHCallDFND12000000MONDELEZ INTL INCCL A609207105109725000SHPutDFND12500000MONDELEZ INTL INCCL A6092071059444216111SHDFND1170411990700MONMOUTH REAL ESTATE INVT COCL A6097201071822127757SHDFND101277570MONSANTO CO NEWCOM61166W1012772714SHDFND1027140MORGAN STANLEYCOM NEW617446448201863645SHDFND10636450MORGAN STANLEYCOM NEW61744644864120000SHCallDFND12000000MOUNTAIN PROV DIAMONDS INCCOM NEW62426E40231760963SHDFND10609630MYLAN N VSHS EURON5946510987222875SHDFND10228750NANOVIRICIDES INCCOM NEW6300872032816300SHDFND10163000NATIONAL OILWELL VARCO INCCOM63707110150313671SHDFND1700066710NCR CORP NEWCOM62886E10845013973SHDFND10139730NETEASE INCSPONSORED ADR64110W10215936621SHDFND1066210NETFLIX INCCOM64110L106164516782SHDFND10167820NEW GOLD INC CDACOM64453510616437936SHDFND10379360NEWELL BRANDS INCCOM6512291063456557SHDFND1065570NEWFIELD EXPL COCOM6512901083488000SHPutDFND1800000NEWMONT MINING CORPCOM6516391068644220000SHCallDFND122000000NEWMONT MINING CORPCOM651639106144236700SHPutDFND13670000NEXTERA ENERGY INCCOM65339F101183515002SHDFND10150020NIKE INCCL B65410610315433293988SHDFND102939880NOKIA CORPSPONSORED ADR6549022048314284SHDFND10142840NORBORD INCCOM NEW65548P403220885995SHDFND129600563950NORFOLK SOUTHERN CORPCOM6558441082212278SHDFND1022780NORTHROP GRUMMAN CORPCOM66680710215017019SHDFND1070190NOVARTIS A GSPONSORED ADR66987V109399050541SHDFND10505410NOVO-NORDISK A SADR6701002057503180057SHDFND101800570NUVEEN PREFERRED SECURITIESCOM67072C10538039575SHDFND10395750NVIDIA CORPCOM67066G104363153566SHDFND115560380060NVIDIA CORPCOM67066G10482212000SHCallDFND11200000NVIDIA CORPNOTE 1.000%12/067066GAC8158434650000SHDFND1046500000NXP SEMICONDUCTORS N VCOMN6596X109218521421SHDFND10214210O REILLY AUTOMOTIVE INC NEWCOM67103H1079543406SHDFND1034060OCCIDENTAL PETE CORP DELCOM674599105160522009SHDFND11969323160OCCIDENTAL PETE CORP DELCOM67459910572910000SHCallDFND11000000OCCIDENTAL PETE CORP DELCOM67459910572910000SHPutDFND11000000OFFICE DEPOT INCCOM676220106522146600SHCallDFND114660000OPEN TEXT CORPCOM683715106377458276SHDFND10582760ORACLE CORPCOM68389X1053739500SHPutDFND1950000ORACLE CORPCOM68389X105108227538SHDFND10275380ORACLE CORPCOM68389X10578520000SHCallDFND12000000OWENS ILL INCCOM NEW69076840343223475SHDFND10234750PACKAGING CORP AMERCOM6951561095496760SHDFND1067600PALO ALTO NETWORKS INCCOM6974351053021897SHDFND1018970PAN AMERICAN SILVER CORPCOM69790010897955729SHDFND10557290PAREXEL INTL CORPCOM6994621073154565SHDFND1045650PARKER HANNIFIN CORPCOM7010941042792225SHDFND1022250PATTERN ENERGY GROUP INCCL A70338P10051823084SHDFND10230840PATTERN ENERGY GROUP INCNOTE 4.000% 7/170338PAB625372516000SHDFND1025160000PAYPAL HLDGS INCCOM70450Y103133132508SHDFND10325080PAYPAL HLDGS INCCOM70450Y103122930000SHPutDFND13000000PEMBINA PIPELINE CORPCOM706327103638012094979SHDFND11107520839040PENGROWTH ENERGY CORPCOM70706P104780496557SHDFND104965570PENN WEST PETE LTD NEWCOM707887105809453711SHDFND104537110PENNEY J C INCCOM70816010659564500SHCallDFND16450000PEPSICO INCCOM71344810824631227119SHDFND127242243950PEPSICO INCCOM713448108217520000SHPutDFND12000000PERFORMANCE SPORTS GROUP LTDCOM71377G1006415800SHDFND10158000PETROLEO BRASILEIRO SA PETROSPONSORED ADR71654V40814615636SHDFND1153003360PFIZER INCCOM71708110331538931328SHDFND109313280PHILIP MORRIS INTL INCCOM718172109357936828SHDFND10368280PHILLIPS 66COM71854610498412220SHDFND10122200PIMCO DYNAMIC INCOME FDSHS72201Y10157020009SHDFND10200090PIMCO ETF TRTTL RTN ACTV ETF72201R775543650368SHDFND10503680PIONEER NAT RES COCOM72378710717239283SHDFND19198850PIONEER NAT RES COCOM7237871079285000SHPutDFND1500000POTASH CORP SASK INCCOM73755L1074815295872SHDFND1234952723770POWERSHARES ETF TR IISOVEREIGN DEBT73936T5734016131147SHDFND101311470POWERSHARES ETF TR IIS&P SMCP CONSU73937B6053555411SHDFND1054110POWERSHARES ETF TR IIPWRSHS SP500 LOW73937B6542095383SHDFND1053830POWERSHARES ETF TR IIS&P500 LOW VOL73937B779241858280SHDFND10582800POWERSHARES ETF TR IIS&P500 HGH BET73937B82950015220SHDFND10152200POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X15360714315SHDFND10143150POWERSHARES ETF TRUSTDYNA BUYBK ACH73935X28675615930SHDFND10159300POWERSHARES ETF TRUSTWNDRHLL CLN EN73935X50014236800SHDFND10368000POWERSHARES ETF TRUSTFTSE US1500 SM73935X5676155840SHDFND1058400POWERSHARES ETF TRUSTWATER RESOURCE73935X57534514030SHDFND10140300POWERSHARES ETF TRUSTFTSE RAFI 100073935X5833563809SHDFND1038090POWERSHARES QQQ TRUSTUNIT SER 173935A104464239108SHDFND10391080PPG INDS INCCOM6935061072132057SHDFND1020570PRAXAIR INCCOM74005P1043512902SHDFND1029020PRECISION DRILLING CORPCOM 201074022D308536128577SHDFND101285770PRICELINE GRP INCNOTE 1.000% 3/1741503AQ925241592000SHDFND1015920000PRIMERO MNG CORPCOM74164W10610764626SHDFND10646260PROCTER AND GAMBLE COCOM7427181098953100000SHCallDFND110000000PROCTER AND GAMBLE COCOM742718109402945000SHPutDFND14500000PROCTER AND GAMBLE COCOM74271810938018426718SHDFND104267180PROLOGIS INCCOM74340W10374713953SHDFND10139530PROSHARES TRPSHS ULTSH 20YRS74347B20173023287SHDFND10232870PROSHARES TRRUSS 2000 DIVD74347B6982595453SHDFND1054530PRUDENTIAL FINL INCCOM744320102208825748SHDFND10257480PTC INCCOM69370C1004429970SHDFND1099700PUBLIC STORAGECOM74460D10913486040SHDFND1060400QUALCOMM INCCOM74752510316138236397SHDFND1531301832670QUALCOMM INCCOM7475251037959116200SHCallDFND111620000QUALCOMM INCCOM747525103133619500SHPutDFND11950000QUANTA SVCS INCCOM74762E1022669492SHDFND1094920RANGE RES CORPCOM75281A10986322287SHDFND10222870RAYTHEON COCOM NEW755111507145410682SHDFND10106820REALOGY HLDGS CORPCOM75605Y106104340451SHDFND10404510RESMED INCCOM76115210768710640SHDFND10106400RESTAURANT BRANDS INTL INCCOM76131D10314719330174SHDFND185903215840REXNORD CORP NEWCOM76169B10246721812SHDFND10218120REYNOLDS AMERICAN INCCOM76171310668814592SHDFND10145920RIO TINTO PLCSPONSORED ADR767204100183354684SHDFND10546840RITCHIE BROS AUCTIONEERSCOM7677441053879110851SHDFND101108510RITCHIE BROS AUCTIONEERSCOM767744105112032000SHCallDFND13200000RITE AID CORPCOM76775410424531850SHDFND10318500ROGERS COMMUNICATIONS INCCL B775109200254660000SHCallDFND16000000ROGERS COMMUNICATIONS INCCL B775109200586741382839SHDFND11003913728000ROPER TECHNOLOGIES INCCOM7766961062341284SHDFND1012840ROWAN COMPANIES PLCSHS CL AG7665A10115210000SHPutDFND11000000ROYAL BK CDA MONTREAL QUECOM7800871023226285208906SHDFND14612751627790ROYAL BK CDA MONTREAL QUECOM780087102154825000SHPutDFND12500000ROYAL CARIBBEAN CRUISES LTDCOMV7780T103181724241SHDFND10242410ROYAL DUTCH SHELL PLCSPON ADR B780259107262249647SHDFND10496470ROYAL DUTCH SHELL PLCSPONS ADR A780259206349669844SHDFND10698440ROYAL GOLD INCCOM7802871083534480SHDFND1044800RYDER SYS INCCOM78354910810493159131SHDFND101591310RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1064635542SHDFND1055420RYDEX ETF TRUSTGUG S&P500 EWCON78355W8742121732SHDFND1017320S&P GLOBAL INCCOM78409V1049997924SHDFND1079240SALESFORCE COM INCCOM79466L3023214500SHPutDFND1450000SALESFORCE COM INCCOM79466L3022854000SHCallDFND1400000SALESFORCE COM INCCOM79466L302204828723SHDFND10287230SANDSTORM GOLD LTDCOM NEW80013R2061427282825SHDFND102828250SANOFISPONSORED ADR80105N105140036661SHDFND10366610SAP SESPON ADR803054204250727432SHDFND10274320SCHLUMBERGER LTDCOM806857108378848169SHDFND110136380330SCHLUMBERGER LTDCOM806857108393250000SHPutDFND15000000SEADRILL LIMITEDSHSG7945E10513055400SHPutDFND15540000SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2093695120SHDFND1051200SELECT SECTOR SPDR TRSBI CONS STPLS81369Y30868312835SHDFND10128350SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4073814759SHDFND1047590SELECT SECTOR SPDR TRSBI INT-FINL81369Y60584343698SHDFND10436980SELECT SECTOR SPDR TRSBI INT-FINL81369Y6053846200000SHCallDFND120000000SELECT SECTOR SPDR TRSBI INT-INDS81369Y7044247269SHDFND1072690SELECT SECTOR SPDR TRTECHNOLOGY81369Y803212944572SHDFND10445720SENSATA TECHNOLOGIES HLDG NVSHSN7902X10646512000SHDFND10120000SERVICE CORP INTLCOM81756510445817259SHDFND10172590SERVICEMASTER GLOBAL HLDGS ICOM81761R1093129259SHDFND1925900SERVICEMASTER GLOBAL HLDGS ICOM81761R10967320000SHPutDFND12000000SHAW COMMUNICATIONS INCCL B CONV82028K200785353841227SHDFND11123338299940SHERWIN WILLIAMS COCOM824348106234845SHDFND108450SHOPIFY INCCL A82509L10746210770SHDFND10107700SIGNATURE BK NEW YORK N YCOM82669G1046045096SHDFND1050960SILVER BAY RLTY TR CORPCOM82735Q1026542371266SHDFND103712660SILVER RUN ACQUISITION CORPUNIT 99/99/9999T82811P20033018500SHDFND10185000SILVER STD RES INCCOM82823L10645237500SHPutDFND13750000SILVER WHEATON CORPCOM8283361077886291860SHDFND1620612297990SILVER WHEATON CORPCOM82833610740515000SHCallDFND11500000SIMON PPTY GROUP INC NEWCOM8288061097533637SHDFND1036370SIRIUS XM HLDGS INCCOM82968B10310926038SHDFND10260380SMUCKER J M COCOM NEW832696405521338473SHDFND10384730SODASTREAM INTERNATIONAL LTDUSD SHSM9068E10550519035SHDFND10190350SOLARCITY CORPCOM83416T10025312926SHDFND10129260SOUTHERN COCOM84258710785216607SHDFND10166070SOUTHWESTERN ENERGY CODEP SHS 1/20 B845467208236875000SHDFND10750000SPDR DOW JONES INDL AVRG ETFUT SER 178467X1093772061SHDFND1020610SPDR GOLD TRUSTGOLD SHS78463V107579346118SHDFND120400257180SPDR GOLD TRUSTGOLD SHS78463V107534142500SHPutDFND14250000SPDR INDEX SHS FDSEURO STOXX 5078463X20234810618SHDFND10106180SPDR INDEX SHS FDSS&P GLBDIV ETF78463X45966610481SHDFND10104810SPDR INDEX SHS FDSDJ INTL RL ETF78463X8632866863SHDFND1068630SPDR S&P 500 ETF TRTR UNIT78462F10324065111266SHDFND101112660SPDR SERIES TRUSTBRC HGH YLD BD78464A4173339085SHDFND1090850SPDR SERIES TRUSTDJ REIT ETF78464A6072092151SHDFND1021510SPDR SERIES TRUSTBRCLYS 1-3MT ETF78464A6808889194411SHDFND101944110SPDR SERIES TRUSTS&P REGL BKG78464A6983648611SHDFND1086110SPDR SERIES TRUSTS&P OILGAS EXP78464A73082721518SHDFND10215180SPDR SERIES TRUSTS&P DIVID ETF78464A76324238287444SHDFND102874440SPDR SERIES TRUSTS&P BK ETF78464A79755116525SHDFND10165250SPECTRA ENERGY CORPCOM847560109136131891SHDFND12469871930ST JUDE MED INCCOM790849103355844615SHDFND10446150STANTEC INCCOM85472N1094570194883SHDFND138001910830STANTEC INCCOM85472N109138359000SHPutDFND15900000STAPLES INCCOM8550301021733203865SHDFND102038650STARBUCKS CORPCOM85524410924074446795SHDFND104467950STARWOOD PPTY TR INCCOM85571B10572532202SHDFND10322020STARWOOD PPTY TR INCNOTE 4.550% 3/085571BAA3188171000SHDFND101710000STARWOOD PPTY TR INCNOTE 3.750%10/185571BAC920582000000SHDFND1020000000STERICYCLE INCCOM8589121083394223SHDFND1042230STRYKER CORPCOM8636671012372036SHDFND1020360STUDENT TRANSN INCCOM86388A1083702619246SHDFND106192460SUN LIFE FINL INCCOM866796105130140000SHPutDFND14000000SUN LIFE FINL INCCOM866796105550991693509SHDFND12712216663870SUNCOR ENERGY INC NEWCOM867224107747832694310SHDFND14655926477510SUNCOR ENERGY INC NEWCOM8672241074166150000SHCallDFND115000000SUNCOR ENERGY INC NEWCOM86722410769425000SHPutDFND12500000SUNTRUST BKS INCCOM86791410377617725SHDFND10177250SYMANTEC CORPCOM87150310865125946SHDFND10259460SYNCHRONY FINLCOM87165B103178363996SHDFND10639960SYNGENTA AGSPONSORED ADR87160A1002342668SHDFND1026680SYSCO CORPCOM871829107275356190SHDFND10561900TAHOE RES INCCOM87386810395974904SHDFND10749040TARGET CORPCOM87612E1063194646SHDFND1046460TASEKO MINES LTDCOM87651110665139554SHDFND101395540TE CONNECTIVITY LTDREG SHSH84989104295745950SHDFND10459500TECK RESOURCES LTDCL B87874220414726816856SHDFND1772397396170TECK RESOURCES LTDCL B878742204129271700SHCallDFND17170000TECK RESOURCES LTDCL B878742204106559100SHPutDFND15910000TEEKAY CORPORATIONCOMY8564W10329338000SHDFND10380000TEEKAY LNG PARTNERS L PPRTNRSP UNITSY8564M10538925700SHCallDFND12570000TELUS CORPCOM87971M103775832352054SHDFND11653923355150TEMPLETON GLOBAL INCOME FDCOM8801981061185190000SHDFND101900000TENNECO INCCOM88034910585414662SHDFND10146620TESLA MTRS INCCOM88160R1017133497SHDFND1034970TEVA PHARMACEUTICAL INDS LTDADR881624209438495153SHDFND10951530TEXAS INSTRS INCCOM882508104280640000SHPutDFND14000000TEXAS INSTRS INCCOM8825081045437738SHDFND1470030380THERMO FISHER SCIENTIFIC INCCOM8835561024562864SHDFND1028640THOMSON REUTERS CORPCOM88490310512450301041SHDFND181702928710TJX COS INC NEWCOM872540109303840848SHDFND10408480TORONTO DOMINION BK ONTCOM NEW8911605092863266450344SHDFND15585263944920TOTAL S ASPONSORED ADR89151E109174336550SHDFND10365500TOYOTA MOTOR CORPSP ADR REP2COM892331307290525037SHDFND10250370TRACTOR SUPPLY COCOM892356106134720000SHCallDFND12000000TRANSALTA CORPCOM89346D1073441775590SHDFND107755900TRANSCANADA CORPCOM89353D1071471803098577SHDFND12235530762220TRANSDIGM GROUP INCCOM8936411003351157SHDFND1011570TRANSOCEAN LTDREG SHSH8817H10038936513SHDFND13103454790TRANSOCEAN LTDREG SHSH8817H10080375400SHPutDFND17540000TRAVELERS COMPANIES INCCOM89417E1094754143SHDFND1041430TRINA SOLAR LIMITEDSPON ADR89628E10427226540SHDFND10265400TURQUOISE HILL RES LTDCOM9004351083913350SHDFND10133500TWENTY FIRST CENTY FOX INCCL A90130A101109545337SHDFND10453370TWITTER INCCOM90184L1022766120042SHDFND186792332500TWITTER INCCOM90184L1023456150000SHPutDFND115000000TWITTER INCNOTE 0.250% 9/190184LAB810301084000SHDFND1010840000TYSON FOODS INCCL A902494103362448444SHDFND10484440UNDER ARMOUR INCCL A90431110755914446SHDFND10144460UNDER ARMOUR INCCL C90431120650314852SHDFND10148520UNILEVER N VN Y SHS NEW904784709168636664SHDFND10366640UNILEVER PLCSPON ADR NEW9047677046888145646SHDFND166781389680UNILEVER PLCSPON ADR NEW904767704189540000SHPutDFND14000000UNION PAC CORPCOM907818108766879064SHDFND10790640UNION PAC CORPCOM907818108195020000SHCallDFND12000000UNITED CONTL HLDGS INCCOM9100471092424620SHDFND1046200UNITED PARCEL SERVICE INCCL B91131210611499105171SHDFND101051710UNITED STATES OIL FUND LPUNITS91232N10812211185SHDFND10111850UNITED STATES STL CORP NEWCOM91290910852827997SHDFND12696110360UNITED STATES STL CORP NEWCOM91290910856630000SHPutDFND13000000UNITED TECHNOLOGIES CORPCOM91301710920409200922SHDFND15502003720UNITED TECHNOLOGIES CORPCOM913017109152415000SHPutDFND11500000UNITEDHEALTH GROUP INCCOM91324P102596342832SHDFND10428320US BANCORP DELCOM NEW9029733044099530SHDFND1095300VALE S AADR91912E1051143207843SHDFND102078430VALEANT PHARMACEUTICALS INTLCOM91911K10281333143SHDFND18425247180VALEANT PHARMACEUTICALS INTLCOM91911K102122750000SHCallDFND15000000VALERO ENERGY CORP NEWCOM91913Y1007939149817SHDFND101498170VALERO ENERGY CORP NEWCOM91913Y100161630500SHPutDFND13050000VANECK VECTORS ETF TRGOLD MINERS ETF92189F1062007566SHDFND1075660VANECK VECTORS ETF TRSEMICONDUCTOR ET92189F6763344860SHDFND1048600VANECK VECTORS ETF TRBIOTECH ETF92189F7263513050SHDFND1030500VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378357669106SHDFND1091060VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J407295652740SHDFND10527400VANGUARD INDEX FDSS&P 500 ETF SHS92290836313306708SHDFND1067080VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285843811647SHDFND10116470VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874332368207SHDFND10682070VANGUARD MALVERN FDSSTRM INFPROIDX92202080562612610SHDFND10126100VANGUARD SCOTTSDALE FDSSHTRM GVT BD ETF92206C1022133487SHDFND1034870VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4092302859SHDFND1028590VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844352842047SHDFND10420470VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406173824087SHDFND10240870VANGUARD WORLD FDSFINANCIALS ETF92204A4052344748SHDFND1047480VANGUARD WORLD FDSHEALTH CAR ETF92204A504221616674SHDFND10166740VANGUARD WORLD FDSINF TECH ETF92204A702268622315SHDFND10223150VANTIV INCCL A92210H1052344167SHDFND1041670VENTAS INCCOM92276F100193527406SHDFND10274060VERISIGN INCSDCV 3.250% 8/192343EAD42467710775000SHDFND10107750000VERIZON COMMUNICATIONS INCCOM92343V10418928364224SHDFND103642240VERIZON COMMUNICATIONS INCCOM92343V104233344900SHCallDFND14490000VERIZON COMMUNICATIONS INCCOM92343V104311860000SHPutDFND16000000VERMILION ENERGY INCCOM92372510520488530637SHDFND105306370VERMILION ENERGY INCCOM923725105112029000SHCallDFND12900000VERTEX PHARMACEUTICALS INCCOM92532F100201623121SHDFND10231210VISA INCCOM CL A92826C83927759336928SHDFND1216803152480VISA INCCOM CL A92826C839580670200SHPutDFND17020000VODAFONE GROUP PLC NEWSPNSR ADR92857W3084563156564SHDFND101565640WABCO HLDGS INCCOM92927K1029358238SHDFND1082380WALGREENS BOOTS ALLIANCE INCCOM931427108766195486SHDFND10954860WAL-MART STORES INCCOM93114210316142223860SHDFND153372185230WASTE CONNECTIONS INCCOM94106B101213228612SHDFND10286120WASTE MGMT INC DELCOM94106L109404863506SHDFND10635060WATERS CORPCOM9418481036173893SHDFND1038930WEATHERFORD INTL PLCORD SHSG4883310018132316SHDFND12540069160WEATHERFORD INTL PLCORD SHSG4883310019635000SHPutDFND13500000WELLPOINT INCNOTE 2.750%10/194973VBG126151490000SHDFND1014900000WELLS FARGO & CO NEWCOM94974610126350594462SHDFND105944620WELLS FARGO & CO NEWCOM9497461015092115000SHCallDFND111500000WELLS FARGO & CO NEWPERP PFD CNV A949746804547418SHDFND104180WELLTOWER INCCOM95040Q1043704952SHDFND1049520WELLTOWER INC6.50% PFD PREPET95040Q203393058832SHDFND10588320WESTERN DIGITAL CORPCOM95810210594916229SHDFND1300159290WESTERN DIGITAL CORPCOM9581021052925000SHPutDFND1500000WESTPORT FUEL SYSTEMS INCCOM NEW9609083092515565SHDFND10155650WEYERHAEUSER COCOM96216610436011286SHDFND10112860WHIRLPOOL CORPCOM96332010611346993SHDFND1069930WHOLE FOODS MKT INCCOM9668371062017126SHDFND1071260WI-LAN INCCOM9289721087146169SHDFND10461690WISDOMTREE TRSMALLCAP DIVID97717W6042172880SHDFND1028800WISDOMTREE TRJAPN HEDGE EQT97717W851247157583SHDFND10575830WISDOMTREE TREUROPE SMCP DV97717W86955810095SHDFND10100950WISDOMTREE TREUROPE HEDGED EQ97717X70110994204617SHDFND102046170WPX ENERGY INCPFD SER A CV98212B2023705989SHDFND1059890WYNDHAM WORLDWIDE CORPCOM98310W1086239259SHDFND1092590XENON PHARMACEUTICALS INCCOM98420N10516920820SHDFND10208200XILINX INCCOM98391910192417000SHCallDFND11700000XPO LOGISTICS INCNOTE 4.500%10/0983793AA833551502000SHDFND1015020000YAHOO INCCOM98433210666915535SHDFND10155350YAHOO INCNOTE 12/0984332AF334663382000SHDFND1033820000YAMANA GOLD INCCOM98462Y100857199123SHDFND1265331725900YAMANA GOLD INCCOM98462Y10021650000SHCallDFND15000000YUM BRANDS INCCOM988498101210523307SHDFND10233070ZOETIS INCCL A98978V10362512019SHDFND10120190