0001085146-18-001397.txt : 20180514 0001085146-18-001397.hdr.sgml : 20180514 20180514120820 ACCESSION NUMBER: 0001085146-18-001397 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180514 DATE AS OF CHANGE: 20180514 EFFECTIVENESS DATE: 20180514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NINE MASTS CAPITAL Ltd CENTRAL INDEX KEY: 0001569356 IRS NUMBER: 980691159 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16783 FILM NUMBER: 18829422 BUSINESS ADDRESS: STREET 1: 22&23/F, SHANGHAI COMMERCIAL BANK TOWER STREET 2: 12 QUEEN'S ROAD CITY: CENTRAL STATE: K3 ZIP: HONG KONG BUSINESS PHONE: 852 2105 5800 MAIL ADDRESS: STREET 1: 22&23/F, SHANGHAI COMMERCIAL BANK TOWER STREET 2: 12 QUEEN'S ROAD CITY: CENTRAL STATE: K3 ZIP: HONG KONG 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001569356 XXXXXXXX 03-31-2018 03-31-2018 NINE MASTS CAPITAL Ltd
22&23/F, SHANGHAI COMMERCIAL BANK TOWER 12 QUEEN'S ROAD CENTRAL K3 HONG KONG
13F HOLDINGS REPORT 028-16783 N
Elaine Davis Chief Operating Officer 8 522 105-5803 /s/ Elaine Davis Hong Kong K3 05-11-2018 0 251 653657 false
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 51JOB INCSP ADR REP COM316827104449152199SHSOLE 521990058 COM INCSPON ADR REP A31680Q1041261584SHSOLE 15840058 COM INCSPON ADR REP A31680Q1047709SHPutSOLE 70900ACCENTURE PLC IRELANDSHS CLASS AG1151C101272617762SHSOLE 1776200ACCENTURE PLC IRELANDSHS CLASS AG1151C101156355SHPutSOLE 35500ADVANCED MICRO DEVICES INCCOM0079031072724271017SHSOLE 27101700ADVANCED MICRO DEVICES INCCOM0079031078333950SHPutSOLE 395000ALASKA AIR GROUP INCCOM011659109431569643SHSOLE 6964300ALASKA AIR GROUP INCCOM0116591093600SHCallSOLE 60000ALASKA AIR GROUP INCCOM011659109604750SHPutSOLE 75000ALEXION PHARMACEUTICALS INCCOM015351109278424977SHSOLE 2497700ALEXION PHARMACEUTICALS INCCOM015351109484450SHPutSOLE 45000ALLIANCEBERNSTEIN GBL HGH INCOM01879R1061402117900SHSOLE 11790000ALLIANZGI CONV & INCOME FDCOM0188281039914700SHSOLE 1470000ALLIANZGI CONV & INCOME FD ICOM0188251096510900SHSOLE 1090000ALPHABET INCCAP STK CL A02079K305128042123457SHSOLE 12345700ALPINE GLOBAL PREMIER PPTYSCOM SBI02083A1038012900SHSOLE 1290000ALPINE TOTAL DYNAMIC DIVID FCOM SH BEN INT N021060207932104300SHSOLE 10430000ARCHER DANIELS MIDLAND COCOM0394831022664SHCallSOLE 6400ARCHER DANIELS MIDLAND COCOM039483102564SHPutSOLE 6400ARCONIC INCCOM03965L100226320SHPutSOLE 32000ARCONIC INCCOM03965L10074332227SHSOLE 3222700ARCONIC INCCOM03965L1001320SHCallSOLE 32000BAIDU INCSPON ADR REP A056752108624928000SHSOLE 2800000BANK AMER CORPCOM0605051041911000SHPutSOLE 100000BANK AMER CORPCOM0605051043022350SHCallSOLE 235000BB&T CORPCOM0549371078157SHSOLE 15700BB&T CORPCOM05493710713SHPutSOLE 300BHP BILLITON LTDSPONSORED ADR088606108420497051SHSOLE 9705100BLACKROCK ENERGY & RES TRCOM09250U10156742891SHSOLE 4289100BLACKROCK ENHANCED EQT DIV TCOM09251A10442448600SHSOLE 4860000BLACKROCK ENHANCED GBL DIV TCOM09250110511910300SHSOLE 1030000BLACKROCK ENHANCED INTL DIVCOM BENE INTER09252410757394100SHSOLE 9410000BLACKROCK MUN 2030 TAR TERMCOM SHS BEN IN09257P10526212300SHSOLE 1230000BLACKROCK RES & COMM STRAT TSHS09257A10886497300SHSOLE 9730000BOEING COCOM09702310525217688SHSOLE 768800BOEING COCOM097023105272150SHPutSOLE 15000BUNGE LIMITEDCOMG16962105258134910SHSOLE 3491000BUNGE LIMITEDCOMG16962105159600SHPutSOLE 60000CATERPILLAR INC DELCOM149123101189700SHCallSOLE 70000CATERPILLAR INC DELCOM14912310175400SHPutSOLE 40000CBRE CLARION GLOBAL REAL ESTCOM12504G10035748800SHSOLE 4880000CF INDS HLDGS INCCOM12526910055814798SHSOLE 1479800CF INDS HLDGS INCCOM12526910063300SHPutSOLE 30000CHINA MOBILE LIMITEDSPONSORED ADR16941M109109523881SHSOLE 2388100CISCO SYS INCCOM17275R102319850SHCallSOLE 85000CISCO SYS INCCOM17275R10272850SHPutSOLE 85000CLEARBRIDGE AMERN ENERG MLPCOM1846911039513900SHSOLE 1390000CLEARBRIDGE ENERGY MLP FD INCOM1846921011375109200SHSOLE 10920000CLEARBRIDGE ENERGY MLP TR FDCOM18469Q10816116400SHSOLE 1640000CLOROX CO DELCOM1890541092121589SHSOLE 158900CLOROX CO DELCOM1890541091655SHPutSOLE 5500COSTCO WHSL CORP NEWCOM22160K105376400SHCallSOLE 40000COSTCO WHSL CORP NEWCOM22160K105149950SHPutSOLE 95000COSTCO WHSL CORP NEWCOM22160K10514167514SHSOLE 751400CROCS INCCOM22704610941025200SHSOLE 2520000CSX CORPCOM1264081034037242SHSOLE 724200CSX CORPCOM126408103220750SHCallSOLE 75000CSX CORPCOM1264081032151300SHPutSOLE 130000CTRIP COM INTL LTDNOTE 1.000% 7/022943FAF71887417500000PRNSOLE 1750000000CTRIP COM INTL LTDNOTE 1.250%10/122943FAD22192618000000PRNSOLE 1800000000CTRIP COM INTL LTDNOTE 1.990% 7/022943FAH392738000000PRNSOLE 800000000DOUBLELINE OPPORTUNISTIC CRCOM258623107713300SHSOLE 330000DUFF & PHELPS GLB UTL INC FDCOM26433C105846000SHSOLE 600000EXACT SCIENCES CORPCOM30063P10579219632SHSOLE 1963200EXACT SCIENCES CORPCOM30063P105132256SHPutSOLE 25600EXPEDIA GROUP INCCOM NEW30212P303530548052SHSOLE 4805200EXPEDIA GROUP INCCOM NEW30212P3038375SHCallSOLE 7500EXPEDIA GROUP INCCOM NEW30212P303583900SHPutSOLE 90000F5 NETWORKS INCCOM31561610251356SHSOLE 35600F5 NETWORKS INCCOM31561610269SHPutSOLE 900FANG HLDGS LTDADR30711Y1022941572200SHSOLE 57220000FEDEX CORPCOM31428X106470119577SHSOLE 1957700FEDEX CORPCOM31428X106287300SHCallSOLE 30000FEDEX CORPCOM31428X106728408SHPutSOLE 40800FIREEYE INCCOM31816Q101231000SHPutSOLE 100000FIREEYE INCCOM31816Q1011659717SHSOLE 971700FIRST TR ENERGY INFRASTRCTRCOM33738C103513400SHSOLE 340000FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E10830615744SHSOLE 1574400FIRST TR MLP & ENERGY INCOMECOM33739B10478063714SHSOLE 6371400FLAHERTY&CRMN PFD SEC INCOMCOM3384781001437500SHSOLE 750000FLEETCOR TECHNOLOGIES INCCOM339041105244012051SHSOLE 1205100FLEETCOR TECHNOLOGIES INCCOM339041105188400SHPutSOLE 40000FLIR SYS INCCOM302445101150SHPutSOLE 5000FLIR SYS INCCOM30244510133668SHSOLE 66800FOOT LOCKER INCCOM344849104144672SHPutSOLE 67200FOOT LOCKER INCCOM344849104117025692SHSOLE 2569200FOOT LOCKER INCCOM3448491048400SHCallSOLE 40000FST TR NEW OPPORT MLP & ENECOM33739M100818300SHSOLE 830000GENERAL AMERN INVS INCCOM3688021041544600SHSOLE 460000GRUBHUB INCCOM400110102147714558SHSOLE 1455800GRUBHUB INCCOM400110102255446SHPutSOLE 44600HELMERICH & PAYNE INCCOM423452101172925972SHSOLE 2597200HELMERICH & PAYNE INCCOM423452101211724SHPutSOLE 72400HEWLETT PACKARD ENTERPRISE CCOM42824C10916917SHSOLE 91700HEWLETT PACKARD ENTERPRISE CCOM42824C109130SHCallSOLE 3000HEWLETT PACKARD ENTERPRISE CCOM42824C109630SHPutSOLE 3000HSBC HLDGS PLCSPON ADR NEW40428040670500SHPutSOLE 50000IKANG HEALTHCARE GROUP INCSPONSORED ADR45174L1088829442552SHSOLE 44255200INDIA FD INCCOM45408910358623800SHSOLE 2380000INFOSYS LTDSPONSORED ADR45678810810240573651SHSOLE 57365100INTEL CORPCOM458140100108200SHCallSOLE 20000INTEL CORPCOM45814010026200SHPutSOLE 20000IPG PHOTONICS CORPCOM44980X109165708SHSOLE 70800IPG PHOTONICS CORPCOM44980X1099200SHPutSOLE 20000IROBOT CORPCOM46272610072711320SHSOLE 1132000IROBOT CORPCOM462726100130311SHPutSOLE 31100ISHARES TR20 YR TR BD ETF464287432157274SHCallSOLE 27400ISHARES TR20 YR TR BD ETF4642874321511000SHPutSOLE 100000ISHARES TR20 YR TR BD ETF464287432129210595SHSOLE 1059500ITAU UNIBANCO HLDG SASPON ADR REP PFD465562106202000SHPutSOLE 200000ITAU UNIBANCO HLDG SASPON ADR REP PFD46556210623214867SHSOLE 1486700JD COM INCSPON ADR CL A47215P1065482135400SHSOLE 13540000KAYNE ANDERSON MDSTM ENERGYCOM48661E108605100SHSOLE 510000KRAFT HEINZ COCOM500754106130100SHPutSOLE 10000KRAFT HEINZ COCOM5007541066079738SHSOLE 973800KRAFT HEINZ COCOM5007541065900SHCallSOLE 90000KROGER COCOM5010441011411102SHPutSOLE 110200KROGER COCOM50104410193539056SHSOLE 3905600KROGER COCOM501044101050SHCallSOLE 5000KT CORPSPONSORED ADR48268K1016406467592SHSOLE 46759200L BRANDS INCCOM5017971044600120395SHSOLE 12039500L BRANDS INCCOM5017971041134SHCallSOLE 13400L BRANDS INCCOM5017971048811552SHPutSOLE 155200LAUDER ESTEE COS INCCL A5184391044442SHPutSOLE 44200LAUDER ESTEE COS INCCL A5184391048763SHCallSOLE 6300LG DISPLAY CO LTDSPONS ADR REP50186V1026924564306SHSOLE 56430600LULULEMON ATHLETICA INCCOM550021109891SHSOLE 9100LULULEMON ATHLETICA INCCOM550021109110SHPutSOLE 1000MACQUARIE GLBL INFRA TOTL RECOM55608D101512300SHSOLE 230000MARATHON PETE CORPCOM56585A102186800SHCallSOLE 80000MARATHON PETE CORPCOM56585A1029357SHPutSOLE 35700MICHAEL KORS HLDGS LTDSHSG607541014046500SHSOLE 650000MOMO INCADR60879B107281370SHCallSOLE 37000MOMO INCADR60879B1071682850SHPutSOLE 285000MONEYGRAM INTL INCCOM NEW60935Y2082919338577SHSOLE 33857700MONSANTO CO NEWCOM61166W101855573314SHSOLE 7331400MORGAN STANLEY CHINA A SH FDCOM617468103102841300SHSOLE 4130000MORGAN STANLEY EM MKTS DM DECOM61747710465984300SHSOLE 8430000MYLAN N VSHS EURON59465109214452067SHSOLE 5206700MYLAN N VSHS EURON594651093191400SHPutSOLE 140000NETEASE INCSPONSORED ADR64110W1021128340239SHSOLE 4023900NETEASE INCSPONSORED ADR64110W102988475SHPutSOLE 47500NEW ORIENTAL ED & TECH GRP ISPON ADR6475811072673050SHSOLE 305000NEW ORIENTAL ED & TECH GRP ISPON ADR64758110712450SHPutSOLE 45000NIKE INCCL B65410610369010381SHSOLE 1038100NIKE INCCL B6541061038500SHPutSOLE 50000NOAH HLDGS LTDSPON ADS CL A65487X102154032613SHSOLE 3261300NOMURA HLDGS INCSPONSORED ADR65535H2081237213923SHSOLE 21392300NUVEEN AMT FREE QLTY MUN INCCOM67065710525519600SHSOLE 1960000NUVEEN CR STRATEGIES INCM FDCOM SHS67073D1021418178600SHSOLE 17860000NUVEEN INTER DURATION MN TMFCOM670671106514100SHSOLE 410000NUVEEN MUN VALUE FD INCCOM6709281001682177600SHSOLE 17760000NUVEEN NASDAQ 100 DYNAMIC OVCOM SHS670699107645515790SHPutSOLE 1579000NUVEEN REAL ASSET INM AND GWCOM67074Y105623800SHSOLE 380000NVIDIA CORPCOM67066G10444192SHSOLE 19200NVIDIA CORPCOM67066G104213SHPutSOLE 1300NXP SEMICONDUCTORS N VCOMN6596X10924578210072SHSOLE 21007200OCCIDENTAL PETE CORP DELCOM6745991057727118945SHSOLE 11894500OCCIDENTAL PETE CORP DELCOM6745991058851450SHPutSOLE 145000PAYPAL HLDGS INCCOM70450Y103102513508SHSOLE 1350800PAYPAL HLDGS INCCOM70450Y103104500SHPutSOLE 50000PETROLEO BRASILEIRO SA PETROSPONSORED ADR71654V40873800SHCallSOLE 80000PETROLEO BRASILEIRO SA PETROSPONSORED ADR71654V40893800SHPutSOLE 80000PETROLEO BRASILEIRO SA PETROSPONSORED ADR71654V408161160SHSOLE 116000PFIZER INCCOM7170811032025700SHSOLE 570000POSCOSPONSORED ADR693483109229029995SHSOLE 2999500POWERSHARES ETF TR IISOVEREIGN DEBT73936T57331011000SHSOLE 1100000POWERSHARES ETF TR IIVAR RATE PFD POR73937B59727210820SHSOLE 1082000PRICE T ROWE GROUP INCCOM74144T108110610248SHSOLE 1024800PRICE T ROWE GROUP INCCOM74144T10850300SHPutSOLE 30000PROCTER AND GAMBLE COCOM7427181094045100SHSOLE 510000PRUDENTIAL GLB SHT DUR HG YLCOM74433A10964846700SHSOLE 4670000PRUDENTIAL SHT DURATION HG YCOM74442F107113080000SHSOLE 8000000QUDIAN INCADR747798106239252044901SHSOLE 204490100RALPH LAUREN CORPCL A7512121014544060SHSOLE 406000RALPH LAUREN CORPCL A75121210118200SHPutSOLE 20000RED HAT INCCOM7565771022031356SHSOLE 135600RED HAT INCCOM7565771029400SHPutSOLE 40000SEAGATE TECHNOLOGY PLCSHSG7945M10776313031SHSOLE 1303100SEAGATE TECHNOLOGY PLCSHSG7945M1073171200SHCallSOLE 120000SEAGATE TECHNOLOGY PLCSHSG7945M1077544570SHPutSOLE 457000SHOPIFY INCCL A82509L107648952083SHSOLE 5208300SHOPIFY INCCL A82509L10717501150SHPutSOLE 115000SINA CORPNOTE 1.000%12/082922RAD510422394000000PRNSOLE 9400000000SINA CORPORDG8147710413032124985SHSOLE 12498500SKECHERS U S A INCCL A83056610538910000SHSOLE 1000000SMUCKER J M COCOM NEW8326964051911542SHSOLE 154200SMUCKER J M COCOM NEW8326964055300SHPutSOLE 30000SONY CORPSPONSORED ADR835699307229547478SHSOLE 4747800SPDR S&P 500 ETF TRTR UNIT78462F1033302500SHCallSOLE 250000SPLUNK INCCOM848637104153415594SHSOLE 1559400SPLUNK INCCOM848637104229857SHPutSOLE 85700STANLEY BLACK & DECKER INCCOM854502101184012012SHSOLE 1201200STANLEY BLACK & DECKER INCCOM854502101132160SHPutSOLE 16000SUMITOMO MITSUI FINL GROUP ISPONSORED ADR86562M20910512518SHSOLE 1251800TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR87403910034332784547SHSOLE 78454700TATA MTRS LTDSPONSORED ADR8765685026732267366SHSOLE 26736600TATA MTRS LTDSPONSORED ADR8765685022831000SHPutSOLE 100000TD AMERITRADE HLDG CORPCOM87236Y108176800SHCallSOLE 80000TD AMERITRADE HLDG CORPCOM87236Y10813350SHPutSOLE 35000TE CONNECTIVITY LTDREG SHSH849891041237SHPutSOLE 3700TE CONNECTIVITY LTDREG SHSH849891041281286SHSOLE 128600TEKLA HEALTHCARE INVSSH BEN INT87911J10355225640SHSOLE 2564000TEMPLETON GLOBAL INCOME FDCOM8801981069114200SHSOLE 1420000TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR88162420997256860SHSOLE 5686000TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR881624209941609SHCallSOLE 160900TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR8816242095041609SHPutSOLE 160900TIME WARNER INCCOM NEW887317303805285134SHSOLE 8513400TOTAL SYS SVCS INCCOM89190610926200SHPutSOLE 20000TOTAL SYS SVCS INCCOM8919061094074715SHSOLE 471500TRINITY INDS INCCOM89652210937300SHCallSOLE 30000TRINITY INDS INCCOM89652210915531SHPutSOLE 53100TYSON FOODS INCCL A902494103187825662SHSOLE 2566200TYSON FOODS INCCL A90249410348600SHCallSOLE 60000TYSON FOODS INCCL A902494103186750SHPutSOLE 75000UNDER ARMOUR INCCL A9043111073071250SHCallSOLE 125000UNDER ARMOUR INCCL A9043111071702000SHPutSOLE 200000UNITED CONTL HLDGS INCCOM9100471091902742SHSOLE 274200UNITED CONTL HLDGS INCCOM910047109145350SHCallSOLE 35000UNITED CONTL HLDGS INCCOM910047109181455SHPutSOLE 45500UNITED MICROELECTRONICS CORPSPON ADR NEW9108734051163440626SHSOLE 44062600UNITED STATES STL CORP NEWCOM91290910857216255SHSOLE 1625500UNITED STATES STL CORP NEWCOM91290910849415SHPutSOLE 41500VALEANT PHARMACEUTICALS INTLCOM91911K10256835695SHSOLE 3569500VALEANT PHARMACEUTICALS INTLCOM91911K1022241000SHPutSOLE 100000VANECK VECTORS ETF TRJP MORGAN MKTS92189F4945127261600SHSOLE 26160000VIPSHOP HLDGS LTDSPONSORED ADR92763W1033451207625SHSOLE 20762500VIPSHOP HLDGS LTDSPONSORED ADR92763W1034582300SHPutSOLE 230000VOYA GLBL EQTY DIV & PREM OPCOM92912T10013017800SHSOLE 1780000WASTE MGMT INC DELCOM94106L1093874605SHSOLE 460500WASTE MGMT INC DELCOM94106L10910505SHPutSOLE 50500WEIBO CORPSPONSORED ADR948596101557582SHPutSOLE 58200WEIGHT WATCHERS INTL INC NEWCOM9486261063593SHPutSOLE 9300WEIGHT WATCHERS INTL INC NEWCOM9486261061552431SHSOLE 243100WELLS FARGO CO NEWCOM949746101280500SHPutSOLE 50000WELLS FARGO CO NEWCOM94974610181615562SHSOLE 1556200WELLS FARGO CO NEWCOM94974610173500SHCallSOLE 50000WESTERN ASSET EMRG MKT DEBTCOM95766A10169047500SHSOLE 4750000WESTERN ASSET GLB HI INCOMECOM95766B109606400SHSOLE 640000WESTERN ASST MNGD MUN FD INCCOM95766M105534100SHSOLE 410000WESTROCK COCOM96145D1051105SHCallSOLE 10500WESTROCK COCOM96145D10525SHPutSOLE 500XEROX CORPCOM NEW9841216082207660SHSOLE 766000XEROX CORPCOM NEW984121608551136SHCallSOLE 113600XEROX CORPCOM NEW984121608102386SHPutSOLE 38600YAHOO INCNOTE 12/0984332AF33488625000000PRNSOLE 2500000000YY INCADS REPCOM CLA98426T1066476146SHSOLE 614600YY INCADS REPCOM CLA98426T10614394SHPutSOLE 9400ZAI LAB LTDADR98887Q104136664000SHSOLE 6400000ZTO EXPRESS CAYMAN INCSPONSORED ADR98980A105104970000SHSOLE 7000000