The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
3M CO | COM | 88579Y101 | 667 | 3,850 | SH | SOLE | 3,850 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 0 | 200 | SH | Call | SOLE | 200 | 0 | 0 | |
ABBVIE INC | COM | 00287Y109 | 342 | 4,707 | SH | SOLE | 4,707 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 0 | 200 | SH | Put | SOLE | 200 | 0 | 0 | |
ALASKA AIR GROUP INC | COM | 011659109 | 1,120 | 17,530 | SH | SOLE | 17,530 | 0 | 0 | ||
ALBEMARLE CORP | COM | 012653101 | 285 | 4,041 | SH | SOLE | 4,041 | 0 | 0 | ||
ALLERGAN PLC | SHS | G0177J108 | 446 | 2,664 | SH | SOLE | 2,664 | 0 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 746 | 690 | SH | SOLE | 690 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 375 | 7,910 | SH | SOLE | 7,910 | 0 | 0 | ||
AMGEN INC | COM | 031162100 | 479 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
APPLE INC | COM | 037833100 | 549 | 2,775 | SH | SOLE | 2,775 | 0 | 0 | ||
APPLE INC | COM | 037833100 | 5 | 500 | SH | Call | SOLE | 500 | 0 | 0 | |
AXSOME THERAPEUTICS INC | COM | 05464T104 | 33,535 | 1,302,346 | SH | SOLE | 1,302,346 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 589 | 20,300 | SH | SOLE | 20,300 | 0 | 0 | ||
BGC PARTNERS INC | CL A | 05541T101 | 179 | 34,177 | SH | SOLE | 34,177 | 0 | 0 | ||
BLACKROCK INC | COM | 09247X101 | 329 | 700 | SH | SOLE | 700 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 173 | 11,516 | SH | SOLE | 11,516 | 0 | 0 | ||
BLACKSTONE GROUP L P | COM UNIT LTD | 09253U108 | 267 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
CAPITAL ONE FINL CORP | COM | 14040H105 | 10,542 | 116,176 | SH | SOLE | 116,176 | 0 | 0 | ||
CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 497 | 10,667 | SH | SOLE | 10,667 | 0 | 0 | ||
CENTERPOINT ENERGY INC | COM | 15189T107 | 917 | 32,044 | SH | SOLE | 32,044 | 0 | 0 | ||
CIDARA THERAPEUTICS INC | COM | 171757107 | 948 | 564,313 | SH | SOLE | 564,313 | 0 | 0 | ||
COMERICA INC | COM | 200340107 | 1,993 | 27,433 | SH | SOLE | 27,433 | 0 | 0 | ||
CONAGRA BRANDS INC | COM | 205887102 | 442 | 16,672 | SH | SOLE | 16,672 | 0 | 0 | ||
CONSTELLATION BRANDS INC | CL A | 21036P108 | 495 | 2,515 | SH | SOLE | 2,515 | 0 | 0 | ||
CUMMINS INC | COM | 231021106 | 600 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
DISCOVERY INC | COM SER C | 25470F302 | 439 | 15,429 | SH | SOLE | 15,429 | 0 | 0 | ||
DISCOVERY INC | COM SER A | 25470F104 | 442 | 14,394 | SH | SOLE | 14,394 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 461 | 3,301 | SH | SOLE | 3,301 | 0 | 0 | ||
DOVER CORP | COM | 260003108 | 503 | 5,018 | SH | SOLE | 5,018 | 0 | 0 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 1,406 | 15,931 | SH | SOLE | 15,931 | 0 | 0 | ||
EASTMAN CHEMICAL CO | COM | 277432100 | 1,288 | 16,543 | SH | SOLE | 16,543 | 0 | 0 | ||
EATON CORP PLC | SHS | G29183103 | 583 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 150 | 13,579 | SH | SOLE | 13,579 | 0 | 0 | ||
EVEREST RE GROUP LTD | COM | G3223R108 | 2,302 | 9,312 | SH | SOLE | 9,312 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 345 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
FIFTH THIRD BANCORP | COM | 316773100 | 1,088 | 39,008 | SH | SOLE | 39,008 | 0 | 0 | ||
FOOT LOCKER INC | COM | 344849104 | 681 | 16,236 | SH | SOLE | 16,236 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 1,253 | 32,518 | SH | SOLE | 32,518 | 0 | 0 | ||
HASBRO INC | COM | 418056107 | 463 | 4,383 | SH | SOLE | 4,383 | 0 | 0 | ||
HCP INC | COM | 40414L109 | 1,005 | 31,432 | SH | SOLE | 31,432 | 0 | 0 | ||
HENRY JACK & ASSOC INC | COM | 426281101 | 290 | 2,167 | SH | SOLE | 2,167 | 0 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 416 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
HONEYWELL INTL INC | COM | 438516106 | 786 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
ILLINOIS TOOL WKS INC | COM | 452308109 | 603 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 207 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
INTERPUBLIC GROUP COS INC | COM | 460690100 | 987 | 43,686 | SH | SOLE | 43,686 | 0 | 0 | ||
IRON MTN INC NEW | COM | 46284V101 | 868 | 27,743 | SH | SOLE | 27,743 | 0 | 0 | ||
ISHARES TR | MORTGE REL ETF | 46435G342 | 370 | 8,763 | SH | SOLE | 8,763 | 0 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 384 | 2,759 | SH | SOLE | 2,759 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 458 | 4,100 | SH | SOLE | 4,100 | 0 | 0 | ||
KB FINANCIAL GROUP INC | SPONSORED ADR | 48241A105 | 1,095 | 27,727 | SH | SOLE | 27,727 | 0 | 0 | ||
KIMBERLY CLARK CORP | COM | 494368103 | 614 | 4,605 | SH | SOLE | 4,605 | 0 | 0 | ||
KRAFT HEINZ CO | COM | 500754106 | 931 | 29,985 | SH | SOLE | 29,985 | 0 | 0 | ||
KROGER CO | COM | 501044101 | 868 | 39,991 | SH | SOLE | 39,991 | 0 | 0 | ||
KURA ONCOLOGY INC | COM | 50127T109 | 5,248 | 266,527 | SH | SOLE | 266,527 | 0 | 0 | ||
MEDTRONIC PLC | SHS | G5960L103 | 341 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 252 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
METLIFE INC | COM | 59156R108 | 1,148 | 23,111 | SH | SOLE | 23,111 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 522 | 3,900 | SH | SOLE | 3,900 | 0 | 0 | ||
MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | 374 | 2,241 | SH | SOLE | 2,241 | 0 | 0 | ||
NEURALSTEM INC | COM NEW | 64127R401 | 48 | 164,394 | SH | SOLE | 164,394 | 0 | 0 | ||
NEWELL BRANDS INC | COM | 651229106 | 989 | 64,133 | SH | SOLE | 64,133 | 0 | 0 | ||
NIELSEN HLDGS PLC | SHS EUR | G6518L108 | 939 | 41,562 | SH | SOLE | 41,562 | 0 | 0 | ||
NORDSTROM INC | COM | 655664100 | 243 | 7,640 | SH | SOLE | 7,640 | 0 | 0 | ||
OMNICOM GROUP INC | COM | 681919106 | 1,105 | 13,478 | SH | SOLE | 13,478 | 0 | 0 | ||
PEPSICO INC | COM | 713448108 | 393 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PHILIP MORRIS INTL INC | COM | 718172109 | 419 | 5,334 | SH | SOLE | 5,334 | 0 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 548 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
PUBLIC SVC ENTERPRISE GRP IN | COM | 744573106 | 402 | 6,842 | SH | SOLE | 6,842 | 0 | 0 | ||
RA MED SYS INC | COM | 74933X104 | 1,903 | 525,680 | SH | SOLE | 525,680 | 0 | 0 | ||
SCHLUMBERGER LTD | COM | 806857108 | 428 | 10,770 | SH | SOLE | 10,770 | 0 | 0 | ||
SMUCKER J M CO | COM NEW | 832696405 | 439 | 3,809 | SH | SOLE | 3,809 | 0 | 0 | ||
SPDR SERIES TRUST | SPDR BLOOMBERG | 78468R663 | 54,579 | 595,781 | SH | SOLE | 595,781 | 0 | 0 | ||
ULTA BEAUTY INC | COM | 90384S303 | 504 | 1,454 | SH | SOLE | 1,454 | 0 | 0 | ||
US BANCORP DEL | COM NEW | 902973304 | 278 | 5,308 | SH | SOLE | 5,308 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 857 | 12,536 | SH | SOLE | 12,536 | 0 | 0 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 362 | 6,334 | SH | SOLE | 6,334 | 0 | 0 | ||
VIACOM INC NEW | CL B | 92553P201 | 414 | 13,857 | SH | SOLE | 13,857 | 0 | 0 | ||
WASTE MGMT INC DEL | COM | 94106L109 | 611 | 5,300 | SH | SOLE | 5,300 | 0 | 0 | ||
WELLTOWER INC | COM | 95040Q104 | 1,034 | 12,678 | SH | SOLE | 12,678 | 0 | 0 | ||
WHIRLPOOL CORP | COM | 963320106 | 563 | 3,958 | SH | SOLE | 3,958 | 0 | 0 | ||
WYNN RESORTS LTD | COM | 983134107 | 783 | 6,316 | SH | SOLE | 6,316 | 0 | 0 |