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 |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 345 | 1,350 | SH | SOLE | 0 | 1,350 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 597 | 2,400 | SH | SOLE | 0 | 2,400 | 0 | 0 | |
BEST BUY INC | COM | 086516101 | 833 | 7,253 | SH | SOLE | 0 | 7,253 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 384 | 6,000 | SH | SOLE | 0 | 6,000 | 0 | 0 | |
ILLINOIS TOOL WKS INC | COM | 452308109 | 554 | 2,500 | SH | SOLE | 0 | 2,500 | 0 | 0 | |
DISNEY WALT CO | COM | 254687106 | 609 | 3,301 | SH | SOLE | 0 | 3,301 | 0 | 0 | |
HONEYWELL INTL INC | COM | 438516106 | 738 | 3,400 | SH | SOLE | 0 | 3,400 | 0 | 0 | |
SYSCO CORP | COM | 871829107 | 276 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
MEDTRONIC PLC | SHS | G5960L103 | 413 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 282 | 7,782 | SH | SOLE | 0 | 7,782 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 542 | 2,300 | SH | SOLE | 0 | 2,300 | 0 | 0 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 705 | 4,150 | SH | SOLE | 0 | 4,150 | 0 | 0 | |
COCA COLA CO | COM | 191216100 | 343 | 6,502 | SH | SOLE | 0 | 6,502 | 0 | 0 | |
PEPSICO INC | COM | 713448108 | 424 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 926 | 15,917 | SH | SOLE | 0 | 15,917 | 0 | 0 | |
BK OF AMERICA CORP | COM | 060505104 | 813 | 21,014 | SH | SOLE | 0 | 21,014 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 391 | 7,000 | SH | SOLE | 0 | 7,000 | 0 | 0 | |
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 890 | 17,899 | SH | SOLE | 0 | 17,899 | 0 | 0 | |
CAPITAL ONE FINL CORP | COM | 14040H105 | 636 | 5,000 | SH | SOLE | 0 | 5,000 | 0 | 0 | |
CVS HEALTH CORP | COM | 126650100 | 248 | 3,300 | SH | SOLE | 0 | 3,300 | 0 | 0 | |
DOMINION ENERGY INC | COM | 25746U109 | 1,635 | 21,524 | SH | SOLE | 0 | 21,524 | 0 | 0 | |
MERCK & CO. INC | COM | 58933Y105 | 331 | 4,300 | SH | SOLE | 0 | 4,300 | 0 | 0 | |
ENTERGY CORP NEW | COM | 29364G103 | 1,613 | 16,211 | SH | SOLE | 0 | 16,211 | 0 | 0 | |
PROCTER AND GAMBLE CO | COM | 742718109 | 2,137 | 15,783 | SH | SOLE | 0 | 15,783 | 0 | 0 | |
KIMBERLY-CLARK CORP | COM | 494368103 | 626 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 1,039 | 3,405 | SH | SOLE | 0 | 3,405 | 0 | 0 | |
MCDONALDS CORP | COM | 580135101 | 756 | 3,371 | SH | SOLE | 0 | 3,371 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 563 | 3,700 | SH | SOLE | 0 | 3,700 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 2,162 | 15,959 | SH | SOLE | 0 | 15,959 | 0 | 0 | |
XCEL ENERGY INC | COM | 98389B100 | 722 | 10,853 | SH | SOLE | 0 | 10,853 | 0 | 0 | |
CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 878 | 5,103 | SH | SOLE | 0 | 5,103 | 0 | 0 | |
3M CO | COM | 88579Y101 | 771 | 4,000 | SH | SOLE | 0 | 4,000 | 0 | 0 | |
WASTE MGMT INC DEL | COM | 94106L109 | 581 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 1,294 | 13,403 | SH | SOLE | 0 | 13,403 | 0 | 0 | |
APPLE INC | COM | 037833100 | 611 | 5,000 | SH | SOLE | 0 | 5,000 | 0 | 0 | |
ALLIANT ENERGY CORP | COM | 018802108 | 1,701 | 31,410 | SH | SOLE | 0 | 31,410 | 0 | 0 | |
INTERNATIONAL PAPER CO | COM | 460146103 | 787 | 14,557 | SH | SOLE | 0 | 14,557 | 0 | 0 | |
PPL CORP | COM | 69351T106 | 915 | 31,729 | SH | SOLE | 0 | 31,729 | 0 | 0 | |
PUBLIC STORAGE | COM | 74460D109 | 773 | 3,134 | SH | SOLE | 0 | 3,134 | 0 | 0 | |
ARCHER DANIELS MIDLAND CO | COM | 039483102 | 1,011 | 17,732 | SH | SOLE | 0 | 17,732 | 0 | 0 | |
BRITISH AMERN TOB PLC | SPONSORED ADR | 110448107 | 925 | 23,867 | SH | SOLE | 0 | 23,867 | 0 | 0 | |
PUBLIC SVC ENTERPRISE GRP IN | COM | 744573106 | 738 | 12,258 | SH | SOLE | 0 | 12,258 | 0 | 0 | |
EASTMAN CHEM CO | COM | 277432100 | 496 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
PINNACLE WEST CAP CORP | COM | 723484101 | 736 | 9,053 | SH | SOLE | 0 | 9,053 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 280 | 1,000 | SH | SOLE | 0 | 1,000 | 0 | 0 | |
CONSOLIDATED EDISON INC | COM | 209115104 | 1,675 | 22,394 | SH | SOLE | 0 | 22,394 | 0 | 0 | |
CMS ENERGY CORP | COM | 125896100 | 834 | 13,617 | SH | SOLE | 0 | 13,617 | 0 | 0 | |
AMERICAN ELEC PWR CO INC | COM | 025537101 | 1,646 | 19,439 | SH | SOLE | 0 | 19,439 | 0 | 0 | |
EATON CORP PLC | SHS | G29183103 | 622 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 158 | 13,579 | SH | SOLE | 0 | 13,579 | 0 | 0 | |
SANOFI | SPONSORED ADR | 80105N105 | 911 | 18,415 | SH | SOLE | 0 | 18,415 | 0 | 0 | |
CUMMINS INC | COM | 231021106 | 610 | 2,356 | SH | SOLE | 0 | 2,356 | 0 | 0 | |
WHIRLPOOL CORP | COM | 963320106 | 883 | 4,009 | SH | SOLE | 0 | 4,009 | 0 | 0 | |
WEC ENERGY GROUP INC | COM | 92939U106 | 1,646 | 17,585 | SH | SOLE | 0 | 17,585 | 0 | 0 | |
NATIONAL FUEL GAS CO | COM | 636180101 | 225 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
BLACKROCK INC | COM | 09247X101 | 528 | 700 | SH | SOLE | 0 | 700 | 0 | 0 | |
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 182 | 10,871 | SH | SOLE | 0 | 10,871 | 0 | 0 | |
SL GREEN RLTY CORP | COM | 78440X804 | 245 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
AXOS FINANCIAL INC | COM | 05465C100 | 207 | 4,400 | SH | SOLE | 0 | 4,400 | 0 | 0 | |
TRILLIUM THERAPEUTICS INC | COM NEW | 89620X506 | 460 | 42,800 | SH | SOLE | 0 | 42,800 | 0 | 0 | |
ISHARES TR | SHORT TREAS BD | 464288679 | 2,269 | 20,534 | SH | SOLE | 0 | 20,534 | 0 | 0 | |
SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 | 5,214 | 1,599,449 | SH | SOLE | 0 | 1,599,449 | 0 | 0 | |
BLACKSTONE GROUP INC | COM | 09260D107 | 604 | 8,100 | SH | SOLE | 0 | 8,100 | 0 | 0 | |
ISHARES TR | MORTGE REL ETF | 46435G342 | 307 | 8,702 | SH | SOLE | 0 | 8,702 | 0 | 0 | |
SPDR SER TR | SPDR BLOOMBERG | 78468R663 | 16,203 | 177,084 | SH | SOLE | 0 | 177,084 | 0 | 0 | |
BGC PARTNERS INC | CL A | 05541T101 | 164 | 34,052 | SH | SOLE | 0 | 34,052 | 0 | 0 | |
WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 344 | 4,734 | SH | SOLE | 0 | 4,734 | 0 | 0 | |
TWITTER INC | COM | 90184L102 | 258 | 4,050 | SH | SOLE | 0 | 4,050 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 865 | 418 | SH | SOLE | 0 | 418 | 0 | 0 | |
AXSOME THERAPEUTICS INC | COM | 05464T104 | 57,311 | 1,012,203 | SH | SOLE | 0 | 1,012,203 | 0 | 0 | |
CIDARA THERAPEUTICS INC | COM | 171757107 | 3,095 | 1,163,631 | SH | SOLE | 0 | 1,163,631 | 0 | 0 | |
RA MED SYS INC | COM | 74933X203 | 57 | 12,320 | SH | SOLE | 0 | 12,320 | 0 | 0 | |
DOW INC | COM | 260557103 | 339 | 5,300 | SH | SOLE | 0 | 5,300 | 0 | 0 | |
OPEN LENDING CORP | COM CL A | 68373J104 | 822 | 23,209 | SH | SOLE | 0 | 23,209 | 0 | 0 | |
AVIDITY BIOSCIENCES INC | COM | 05370A108 | 30,226 | 1,385,864 | SH | SOLE | 0 | 1,385,864 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 0 | 600 | SH | Put | SOLE | 0 | 600 | 0 | 0 |
INTEL CORP | COM | 458140100 | 0 | 600 | SH | Call | SOLE | 0 | 600 | 0 | 0 |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 0 | 400 | SH | Call | SOLE | 0 | 400 | 0 | 0 |
MCDONALDS CORP | COM | 580135101 | 1 | 200 | SH | Call | SOLE | 0 | 200 | 0 | 0 |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 0 | 400 | SH | Put | SOLE | 0 | 400 | 0 | 0 |
BEST BUY INC | COM | 086516101 | 0 | 500 | SH | Put | SOLE | 0 | 500 | 0 | 0 |
DISNEY WALT CO | COM | 254687106 | 0 | 600 | SH | Call | SOLE | 0 | 600 | 0 | 0 |
DISNEY WALT CO | COM | 254687106 | 1 | 600 | SH | Put | SOLE | 0 | 600 | 0 | 0 |