0001085146-16-004879.txt : 20161115 0001085146-16-004879.hdr.sgml : 20161115 20161114183801 ACCESSION NUMBER: 0001085146-16-004879 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161115 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NINE MASTS CAPITAL Ltd CENTRAL INDEX KEY: 0001569356 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16783 FILM NUMBER: 161997206 BUSINESS ADDRESS: STREET 1: 901 LHT TOWER STREET 2: 31 QUEEN'S ROAD CITY: CENTRAL STATE: K3 ZIP: HONG KONG BUSINESS PHONE: 852 2105 5800 MAIL ADDRESS: STREET 1: 901 LHT TOWER STREET 2: 31 QUEEN'S ROAD CITY: CENTRAL STATE: K3 ZIP: HONG KONG 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569356 XXXXXXXX 09-30-2016 09-30-2016 NINE MASTS CAPITAL Ltd

901 LHT TOWER 31 QUEEN'S ROAD CENTRAL K3 HONG KONG

13F HOLDINGS REPORT 028-16783 N Elaine Davis 8 522 105-5803 /s/ Elaine Davis Hong Kong K3 11-08-2016 0 76 498102 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABERDEEN ASIA PACIFIC INCOMCOM003009107587114657SHSOLE 11465700ADAMS DIVERSIFIED EQUITY FDCOM00621210428021260SHSOLE 2126000ADVANCED SEMICONDUCTOR ENGRSPONSORED ADR00756M404158612645314SHSOLE 264531400ADVENT CLAYMORE CV SECS & INCOM00764C109624241SHSOLE 424100ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1023121020SHPutSOLE 102000ALLIANCEBERNSTEIN GBL HGH INCOM01879R10615912596SHSOLE 1259600AU OPTRONICS CORPSPONSORED ADR002255107735200300SHSOLE 20030000BHP BILLITON LTDSPONSORED ADR0886061088748255046SHSOLE 25504600BLACKROCK CORPOR HI YLD FD ICOM09255P10740737651SHSOLE 3765100BLACKROCK INTL GRWTH & INC TCOM BENE INTER09252410719432641SHSOLE 3264100BLACKROCK TAX MUNICPAL BD TRSHS09248X100236898809SHSOLE 9880900CALAMOS CONV & HIGH INCOME FCOM SHS12811P10833430350SHSOLE 3035000CALAMOS CONV OPP AND INC FDSH BEN INT12811710836235088SHSOLE 3508800CALAMOS DYNAMIC CONV & INCOMCOM12811V10535319000SHSOLE 1900000CBRE CLARION GLOBAL REAL ESTCOM12504G10017520883SHSOLE 2088300CHINA LIFE INS CO LTDSPON ADR REP H16939P106103180000SHSOLE 8000000CHINA MOBILE LIMITEDSPONSORED ADR16941M109410867900SHSOLE 6790000CHINA UNICOM (HONG KONG) LTDSPONSORED ADR16945R1048264688396SHSOLE 68839600CNOOC LTDSPONSORED ADR1261321095834700SHSOLE 470000CORNERSTONE STRATEGIC VALUECOM21924B3022448164170SHSOLE 16417000CTRIP COM INTL LTDNOTE 1.000% 7/022943FAF73266330000000PRNSOLE 3000000000CTRIP COM INTL LTDNOTE 1.250%10/122943FAD22583820000000PRNSOLE 2000000000CTRIP COM INTL LTDNOTE 1.990% 7/022943FAH32257520000000PRNSOLE 2000000000DR REDDYS LABS LTDADR256135203261355800SHSOLE 5580000DUFF & PHELPS GLB UTL INC FDCOM26433C10538322400SHSOLE 2240000EATON VANCE LTD DUR INCOME FCOM27828H1051672121989SHSOLE 12198900EATON VANCE RISK MNGD DIV EQCOM27829G10632734711SHSOLE 3471100EATON VANCE TAX MNGD GBL DVCOM27829F1081983228425SHSOLE 22842500EATON VANCE TX MGD DIV EQ INCOM27828N10215114143SHSOLE 1414300FIRST TR INTER DUR PFD & INCOM33718W1033349143498SHSOLE 14349800GABELLI DIVD & INCOME TRCOM36242H104107555941SHSOLE 5594100GAMCO GLOBAL GOLD NAT RES &COM SH BEN INT36465A10918228500SHSOLE 2850000GENERAL AMERN INVS INCCOM3688021041735300SHSOLE 530000HERBALIFE LTDCOM USD SHSG4412G101236838200SHSOLE 3820000HONDA MOTOR LTDAMERN SHS4381283084928173048SHSOLE 17304800HSBC HLDGS PLCSPON ADR NEW40428040617217467286SHSOLE 46728600ICICI BK LTDADR45104G104143271880709SHSOLE 188070900INGRAM MICRO INCCL A4571531047459209170SHSOLE 20917000INTERSIL CORPCL A46069S10910498478690SHSOLE 47869000INVESCO SR INCOME TRCOM46131H1077918256SHSOLE 1825600ISHARES TRCORE US AGGBD ET464287226500344500SHSOLE 4450000ISHARES TRIBOXX INV CP ETF464287242501340700SHSOLE 4070000ISHARES TRJP MOR EM MK ETF464288281497042400SHSOLE 4240000LEXMARK INTL INCCL A5297711076557164094SHSOLE 16409400LG DISPLAY CO LTDSPONS ADR REP50186V1021490116670SHSOLE 11667000MGM RESORTS INTERNATIONALCOM5529531015276202700SHSOLE 20270000MITSUBISHI UFJ FINL GROUP INSPONSORED ADR60682210490341813630SHSOLE 181363000NOMURA HLDGS INCSPONSORED ADR65535H208116802654891SHSOLE 265489100NUVEEN CR STRATEGIES INCM FDCOM SHS67073D10260070700SHSOLE 7070000NUVEEN PFD INCOME OPPRTNY FDCOM67073B10680980756SHSOLE 8075600PETROCHINA CO LTDSPONSORED ADR71646E10017SHSOLE 700PIMCO CORPORATE & INCOME OPPCOM72201B101211416SHSOLE 141600PIMCO HIGH INCOME FDCOM SHS72201410747948104SHSOLE 4810400POSCOSPONSORED ADR693483109464690084SHSOLE 9008400POWERSHARES ETF TRUST IISENIOR LN PORT73936Q7692321100000SHSOLE 10000000PRUDENTIAL SHT DURATION HG YCOM74442F10724815520SHSOLE 1552000QUNAR CAYMAN IS LTDSPNS ADR CL B74906P104282597422SHSOLE 9742200RYANAIR HLDGS PLCSPONSORED ADR NE783513203344745944SHSOLE 4594400SEADRILL LIMITEDSHSG7945E10595718250SHPutSOLE 1825000SONY CORPADR NEW835699307406661252216SHSOLE 125221600SOUFUN HLDGS LTDNOTE 2.000%12/1836034AB44471945000000PRNSOLE 4500000000SPDR SERIES TRUSTBRC HGH YLD BD78464A4175016136600SHSOLE 13660000SUMITOMO MITSUI FINL GROUP ISPONSORED ADR86562M209497667464920SHSOLE 746492000TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR87403910028120919254SHSOLE 91925400TATA MTRS LTDSPONSORED ADR876568502390396900SHSOLE 9690000TEKLA HEALTHCARE INVSSH BEN INT87911J103154364808SHSOLE 6480800TEMPLETON GLOBAL INCOME FDCOM880198106416582SHSOLE 658200TERRAFORM PWR INCCL A COM88104R1008694625000SHSOLE 62500000TRINA SOLAR LIMITEDDBCV 3.500% 6/189628EAC82363724150000PRNSOLE 2415000000VANGUARD BD INDEX FD INCINTERMED TERM921937819347139600SHSOLE 3960000VANGUARD BD INDEX FD INCSHORT TRM BOND921937827499961845SHSOLE 6184500VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835500659500SHSOLE 5950000VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409306138000SHSOLE 3800000WESTERN ASSET EMRG MKT DEBTCOM95766A10147729335SHSOLE 2933500YY INCADS REPCOM CLA98426T1065441102129SHSOLE 10212900YY INCNOTE 2.250% 4/098426TAB269347000000PRNSOLE 700000000