FNY Investment Advisers, LLC - Q3 2019 holdings

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$327 Million is the total value of FNY Investment Advisers, LLC's 976 reported holdings in Q3 2019. The portfolio turnover from Q2 2019 to Q3 2019 was 91.5% .

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New
Buy
Sell
Exit
Unchanged
 Value Shares↓ Weighting
VVR  INVESCO SNR INCOME CF$95,000
-3.1%
22,7500.0%0.03%0.0%
LSXMK  LIBRTY MEDIA LRTY SIRIUSXM SRS C ORD$86,000
+10.3%
2,0600.0%0.03%
+13.0%
LIQT  LIQTECH INTERNATIONAL ORD$79,000
-20.2%
10,0000.0%0.02%
-17.2%
MFACU  MEGALITH FINANCIAL ACQUISITION UNT$80,000
+2.6%
7,7000.0%0.02%
+4.3%
SFE  SAFEGUARD SCIENTIFICS ORD$73,000
-6.4%
6,5000.0%0.02%
-4.3%
MHPRC  MAIDEN HLDNG 7.125 SRS C NON CUM PRF$70,000
+42.9%
10,0000.0%0.02%
+50.0%
CYRX  CRYOPORT INC$65,000
-11.0%
4,0000.0%0.02%
-9.1%
RUSHA  RUSH ENTERPRISES CL A ORD$40,000
+5.3%
1,0500.0%0.01%
+9.1%
VKTX  VIKING THERAPEUTICS ORD$35,000
-18.6%
5,2200.0%0.01%
-15.4%
PAHC  PHIBRO ANIMAL HEALTH CL A ORD$22,000
-33.3%
1,0400.0%0.01%
-30.0%
PAAS  PAN AMER SILVER ORD$19,000
+18.8%
1,2700.0%0.01%
+20.0%
SPAQ  SPARTAN ENERGY ACQUISITION CL A ORD$16,000
+6.7%
1,5900.0%0.01%
+25.0%
UPLD  UPLAND SOFTWARE ORD$10,000
-23.1%
3000.0%0.00%
-25.0%
TTE  TOTAL ADR REP 1 ORDsponsored adr$10,000
-9.1%
2000.0%0.00%0.0%
GMHIU  GORES METROPOULOS UNT$11,0000.0%1,1000.0%0.00%0.0%
WATT  ENERGOUS ORD$11,000
-26.7%
3,5000.0%0.00%
-25.0%
NAK  NORTHERN DYNASTY MINERALS ORD$11,000
-8.3%
20,0000.0%0.00%
-25.0%
BIDU  BAIDU ADR REP 1/10 CL A ORDcall$10,000
-9.1%
1000.0%0.00%0.0%
CARV  CARVER BANCORP ORD$6,0000.0%2,0000.0%0.00%0.0%
CIND  CHINA INDUSTRIAL GROUP ORD$6,000
+200.0%
1,397,6370.0%0.00%
+100.0%
SNP  CHINA PETRO & CHEM ADR REP 100 H ORDsponsored adr$5,000
-16.7%
990.0%0.00%0.0%
HPE  HEWLETT PACKARD ENTERPRISE ORD$8,0000.0%5860.0%0.00%0.0%
WTR  AQUA AMERICA ORD$5,0000.0%1260.0%0.00%
+100.0%
BLPH  BELLEROPHON THERAPEUTICS ORD$3,000
-25.0%
6,8000.0%0.00%0.0%
GYBCL  CABCO FLO RA CALL SR 2004-101 CERT$2,0000.0%1000.0%0.00%0.0%
CRSAU  CRESCENT ACQUISITION UNT$4,0000.0%4000.0%0.00%0.0%
CRIS  CURIS ORD$4,000
+33.3%
2,0000.0%0.00%0.0%
HJLI  HANCOCK JAFFE$4,000
-20.0%
5,0000.0%0.00%0.0%
HYACU  HAYMAKER ACQUISITION UNT$2,0000.0%2000.0%0.00%0.0%
KB  KB FINANCIAL GROUP ADR REP ONE ORDsponsored adr$3,0000.0%990.0%0.00%0.0%
MSPRE  MORGAN STANL DS REP 1/1000 SRS E PRF$2,0000.0%920.0%0.00%0.0%
PRTK  PARATEK PHARMACEUTICALS ORD$2,000
+100.0%
5000.0%0.00%–
ACTTU  ACT II GLOBAL ACQUISITION UNT$3,0000.0%3000.0%0.00%0.0%
TNPPRE  TSAKOS ENR NVG CUM RED PRP SRS E PRF$4,0000.0%2000.0%0.00%0.0%
PAAS  PAN AMER SILVER ORDput$0–160.0%0.00%–
OPK  OPKO HEALTH ORD$0–2000.0%0.00%–
OKE  ONEOK ORD$0–60.0%0.00%–
TIDE  TIDELANDS OIL AND GAS ORD$0–526,3230.0%0.00%–
OMER  OMEROS ORD (NMS)call$0–50.0%0.00%–
TVTY  TIVITY HEALTH ORD (NMS)put$0–380.0%0.00%–
OAK  OAKTREE CAPITAL GROUP CL A UNT (NYS)put$0–20.0%0.00%–
NBEV  NEW AGE BEVERAGES ORDcall$0–510.0%0.00%–
NXCN  NXCHAIN ORD$0
-100.0%
8000.0%0.00%–
KSHB  KUSHCO HOLDINGS ORD$1,000
-80.0%
1,0000.0%0.00%
-100.0%
KL  KIRKLAND LAKE GOLD ORD (NYS)call$0–10.0%0.00%–
 KHIRON LIFE SCIENCES ORD$0
-100.0%
1,0000.0%0.00%–
TLT  ISHARES 20 PLS YEAR TREASURY BND ETFcall$0–10.0%0.00%–
INPC  INPHONIC ORD (OTC)$0–14,4720.0%0.00%–
HHC  HOWARD HUGHES ORD (NYS)put$0–10.0%0.00%–
HMNY  HELIOS AND MATHESON ANALYTICS ORDput$0–20.0%0.00%–
VICR  VICOR ORDcall$0–210.0%0.00%–
HMNY  HELIOS AND MATHESON ANALYTICS ORDcall$0–20.0%0.00%–
HMNY  HELIOS AND MATHESON ANALYTICS ORD$0–1,0040.0%0.00%–
GT  GOODYEAR TIRE AND RUBBER ORDcall$0–640.0%0.00%–
GSAT  GLOBALSTAR VTG ORD$0–1100.0%0.00%–
VUZI  VUZIX ORD (NMS)call$0–500.0%0.00%–
GNPR  GENIUS PRODUCTS ORD$0–1220.0%0.00%–
FNBCQ  FIRST NBC BANK HOLDING ORD$0
-100.0%
20,0000.0%0.00%–
EXEL  EXELIXIS ORD (NMS)call$0–250.0%0.00%–
ETCK  ENERTECK ORD$0–7,5000.0%0.00%–
EE  EL PASO ELECTRIC ORDput$0–70.0%0.00%–
DVAX  DYNAVAX TECHNOLOGIES ORD (NMS)call$0–50.0%0.00%–
QEP  QEP RESOURCES ORD (NYS)call$0–320.0%0.00%–
DELL  DELL TECHNOLOGIES CL C ORD$0–10.0%0.00%–
RAD  RITE AID ORD$1,0000.0%2050.0%0.00%–
CLVS  CLOVIS ONCOLOGY ORD (NMS)call$0–50.0%0.00%–
LFC  CHINA LIFE INSURNCE ADR REP 5 H ORDsponsored adr$0–10.0%0.00%–
ZIOP  ZIOPHARM ONCOLGY ORD (NMS)call$0–50.0%0.00%–
 CATABASIS PHARMACEUTICALS ORD$1,0000.0%2000.0%0.00%–
HLF  HERBALIFE NUTRITION ORD$0–40.0%0.00%–
BMWYY  BAYERISCHE MOTOREN WERKE ADR$0–10.0%0.00%–
BAYRY  BAYER AKTIENGESELLSCHAFT EACH RE ADR$0–10.0%0.00%–
GOLD  BARRICK GOLD ORDcall$0–10.0%0.00%–
ACB  AURORA CANNABIS ORDcall$0–400.0%0.00%–
ATHX  ATHERSYS ORD$1,000
-50.0%
1,5000.0%0.00%
-100.0%
CRSP  CRISPR THERAPEUTICS ORDcall$1,0000.0%250.0%0.00%–
ATROB  ASTRONICS CL B ORD$1,000
-50.0%
670.0%0.00%
-100.0%
ASRT  ASSERTIO THERAPEUTICS ORD$0–1000.0%0.00%–
AQMS  AQUA METALS ORD$0–4400.0%0.00%–
AIMC  ALTRA INDUSTRIAL MOTION ORD$0–10.0%0.00%–
AMRQQ  ALTA MESA RESOURCES CL A ORD$0–2,5000.0%0.00%–
NPCUF  ALLON THERAPEUTICS ORD$0–30,0000.0%0.00%–
ACHC  ACADIA HEALTHCARE COMPANY ORD$1,0000.0%400.0%0.00%–
 SAMSUNG ELECTRONICS REG S GDR$1,0000.0%10.0%0.00%–
SDTTU  SANDRIDGE MISSISSIPPIAN UNT$1,0000.0%2,2340.0%0.00%–
SAMA  SCHULTZE SPECIAL PURPOSE ACQUISI ORD$0–620.0%0.00%–
CTON  SECOND STREET CAPITAL ORD$0–200.0%0.00%–
SIGM  SIGMA DESIGNS ORD$1,000–6,3000.0%0.00%–
PHUN  PHUNWARE ORD$0
-100.0%
4000.0%0.00%–
POTN  POTNETWORK HOLDINGS INC$0–3,0000.0%0.00%–
Other managers

Other managers that, in addition to the filing manager(s), that filed the EDGAR filing(s):

Original filings

The following EDGAR filing(s) were analyzed to create this report:

  • View 13F-HR filed 2019-10-25
Signatures

The EDGAR filing(s) were signed by:

Top long-term holdings
NameQuarters ownedLatest quarter ownedMax weighting
CENTRAL GARDEN AND PET CL A ORD22Q3 20230.1%
ENERTECK ORD (PNK)22Q3 20230.0%
GENIUS PRODUCTS ORD22Q3 20230.0%
INPHONIC ORD (OTC)22Q3 20230.0%
SPDR S&P 500 ETF21Q3 20230.5%
CHINA INDUSTRIAL GROUP ORD (PNK)21Q3 20230.0%
MONEYGRAM INTERNATIONAL ORD20Q1 20233.2%
INTERNATIONAL BUSINESS MACHINES ORD20Q3 20230.9%
INVSC QQQ TRUST SRS 1 ETF20Q3 20230.1%
MSC INDUSTRIAL CL A ORD20Q3 20230.0%

View FNY Investment Advisers, LLC's complete holdings history.

Latest filings
TypeFiled
13F-HR2024-05-03
13F-HR2024-01-12
13F-HR2023-10-10
13F-HR2023-07-11
13F-HR2023-04-12
13F-HR2023-01-10
13F-HR2022-10-19
13F-HR2022-07-12
13F-HR2022-04-25
13F-HR/A2022-02-01

View FNY Investment Advisers, LLC's complete filings history.

All filings

View complete filings history.

Compare quarters

Issues

The following issues were detected while analyzing the report:

  • The reported total value is incorrect (327482000.0 != 327039000.0)

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