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 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1,029 | 5,250 | SH | SOLE | 0 | 5,250 | 0 | 0 | |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 313 | 1,350 | SH | SOLE | 0 | 1,350 | 0 | 0 | |
EVERSOURCE ENERGY | COM | 30040W108 | 300 | 3,464 | SH | SOLE | 0 | 3,464 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 552 | 2,400 | SH | SOLE | 0 | 2,400 | 0 | 0 | |
CONAGRA BRANDS INC | COM | 205887102 | 1,370 | 37,779 | SH | SOLE | 0 | 37,779 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 299 | 6,000 | SH | SOLE | 0 | 6,000 | 0 | 0 | |
ILLINOIS TOOL WKS INC | COM | 452308109 | 510 | 2,500 | SH | SOLE | 0 | 2,500 | 0 | 0 | |
NEWELL BRANDS INC | COM | 651229106 | 420 | 19,768 | SH | SOLE | 0 | 19,768 | 0 | 0 | |
DISNEY WALT CO | COM | 254687106 | 598 | 3,301 | SH | SOLE | 0 | 3,301 | 0 | 0 | |
HONEYWELL INTL INC | COM | 438516106 | 723 | 3,400 | SH | SOLE | 0 | 3,400 | 0 | 0 | |
SYSCO CORP | COM | 871829107 | 260 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
MEDTRONIC PLC | SHS | G5960L103 | 410 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 202 | 5,500 | SH | SOLE | 0 | 5,500 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 667 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 639 | 22,207 | SH | SOLE | 0 | 22,207 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 995 | 16,134 | SH | SOLE | 0 | 16,134 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 719 | 16,071 | SH | SOLE | 0 | 16,071 | 0 | 0 | |
COCA COLA CO | COM | 191216100 | 357 | 6,502 | SH | SOLE | 0 | 6,502 | 0 | 0 | |
PEPSICO INC | COM | 713448108 | 445 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
BK OF AMERICA CORP | COM | 060505104 | 725 | 23,924 | SH | SOLE | 0 | 23,924 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 589 | 14,299 | SH | SOLE | 0 | 14,299 | 0 | 0 | |
CAPITAL ONE FINL CORP | COM | 14040H105 | 5,717 | 57,837 | SH | SOLE | 0 | 57,837 | 0 | 0 | |
CVS HEALTH CORP | COM | 126650100 | 669 | 9,802 | SH | SOLE | 0 | 9,802 | 0 | 0 | |
MERCK & CO. INC | COM | 58933Y105 | 245 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
MORGAN STANLEY | COM NEW | 617446448 | 1,944 | 28,363 | SH | SOLE | 0 | 28,363 | 0 | 0 | |
PROCTER AND GAMBLE CO | COM | 742718109 | 577 | 4,150 | SH | SOLE | 0 | 4,150 | 0 | 0 | |
KIMBERLY-CLARK CORP | COM | 494368103 | 607 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 287 | 4,922 | SH | SOLE | 0 | 4,922 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 425 | 1,600 | SH | SOLE | 0 | 1,600 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 470 | 3,700 | SH | SOLE | 0 | 3,700 | 0 | 0 | |
3M CO | COM | 88579Y101 | 700 | 4,004 | SH | SOLE | 0 | 4,004 | 0 | 0 | |
WASTE MGMT INC DEL | COM | 94106L109 | 531 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 504 | 5,500 | SH | SOLE | 0 | 5,500 | 0 | 0 | |
APPLE INC | COM | 037833100 | 663 | 5,000 | SH | SOLE | 0 | 5,000 | 0 | 0 | |
DUKE REALTY CORP | COM NEW | 264411505 | 686 | 17,157 | SH | SOLE | 0 | 17,157 | 0 | 0 | |
CHUBB LIMITED | COM | H1467J104 | 1,796 | 11,666 | SH | SOLE | 0 | 11,666 | 0 | 0 | |
CENTERPOINT ENERGY INC | COM | 15189T107 | 708 | 32,715 | SH | SOLE | 0 | 32,715 | 0 | 0 | |
KELLOGG CO | COM | 487836108 | 610 | 9,801 | SH | SOLE | 0 | 9,801 | 0 | 0 | |
EASTMAN CHEM CO | COM | 277432100 | 451 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
EVEREST RE GROUP LTD | COM | G3223R108 | 1,602 | 6,844 | SH | SOLE | 0 | 6,844 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 245 | 1,000 | SH | SOLE | 0 | 1,000 | 0 | 0 | |
EATON CORP PLC | SHS | G29183103 | 541 | 4,500 | SH | SOLE | 0 | 4,500 | 0 | 0 | |
EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 160 | 13,579 | SH | SOLE | 0 | 13,579 | 0 | 0 | |
CUMMINS INC | COM | 231021106 | 341 | 1,500 | SH | SOLE | 0 | 1,500 | 0 | 0 | |
PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 71654V408 | 937 | 83,399 | SH | SOLE | 0 | 83,399 | 0 | 0 | |
SPDR GOLD TR | GOLD SHS | 78463V107 | 1,900 | 10,653 | SH | SOLE | 0 | 10,653 | 0 | 0 | |
BLACKROCK INC | COM | 09247X101 | 505 | 700 | SH | SOLE | 0 | 700 | 0 | 0 | |
GARMIN LTD | SHS | H2906T109 | 1,719 | 14,363 | SH | SOLE | 0 | 14,363 | 0 | 0 | |
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 183 | 11,516 | SH | SOLE | 0 | 11,516 | 0 | 0 | |
ISHARES SILVER TR | ISHARES | 46428Q109 | 1,028 | 41,831 | SH | SOLE | 0 | 41,831 | 0 | 0 | |
HESS CORP | COM | 42809H107 | 550 | 10,416 | SH | SOLE | 0 | 10,416 | 0 | 0 | |
ALEXANDRIA REAL ESTATE EQ IN | COM | 015271109 | 1,500 | 8,419 | SH | SOLE | 0 | 8,419 | 0 | 0 | |
DIGITAL RLTY TR INC | COM | 253868103 | 424 | 3,036 | SH | SOLE | 0 | 3,036 | 0 | 0 | |
WESTERN UN CO | COM | 959802109 | 868 | 39,562 | SH | SOLE | 0 | 39,562 | 0 | 0 | |
ISHARES TR | SHORT TREAS BD | 464288679 | 2,270 | 20,534 | SH | SOLE | 0 | 20,534 | 0 | 0 | |
SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 | 5,251 | 1,539,949 | SH | SOLE | 0 | 1,539,949 | 0 | 0 | |
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 525 | 8,100 | SH | SOLE | 0 | 8,100 | 0 | 0 | |
ISHARES TR | MORTGE REL ETF | 46435G342 | 278 | 8,732 | SH | SOLE | 0 | 8,732 | 0 | 0 | |
SPDR SER TR | SPDR BLOOMBERG | 78468R663 | 16,866 | 184,284 | SH | SOLE | 0 | 184,284 | 0 | 0 | |
BGC PARTNERS INC | CL A | 05541T101 | 136 | 34,052 | SH | SOLE | 0 | 34,052 | 0 | 0 | |
WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 314 | 4,734 | SH | SOLE | 0 | 4,734 | 0 | 0 | |
MARATHON PETE CORP | COM | 56585A102 | 538 | 13,000 | SH | SOLE | 0 | 13,000 | 0 | 0 | |
ABBVIE INC | COM | 00287Y109 | 1,322 | 12,338 | SH | SOLE | 0 | 12,338 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 739 | 422 | SH | SOLE | 0 | 422 | 0 | 0 | |
KRAFT HEINZ CO | COM | 500754106 | 798 | 23,029 | SH | SOLE | 0 | 23,029 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 2,207 | 67,568 | SH | SOLE | 0 | 67,568 | 0 | 0 | |
AXSOME THERAPEUTICS INC | COM | 05464T104 | 82,268 | 1,009,799 | SH | SOLE | 0 | 1,009,799 | 0 | 0 | |
CIDARA THERAPEUTICS INC | COM | 171757107 | 2,308 | 1,154,131 | SH | SOLE | 0 | 1,154,131 | 0 | 0 | |
EVERGY INC | COM | 30034W106 | 941 | 16,951 | SH | SOLE | 0 | 16,951 | 0 | 0 | |
RA MED SYS INC | COM | 74933X203 | 92 | 12,320 | SH | SOLE | 0 | 12,320 | 0 | 0 | |
DOW INC | COM | 260557103 | 294 | 5,300 | SH | SOLE | 0 | 5,300 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 400 | SH | Put | SOLE | 0 | 400 | 0 | 0 |
AVIDITY BIOSCIENCES INC | COM | 05370A108 | 40,096 | 1,571,160 | SH | SOLE | 0 | 1,571,160 | 0 | 0 | |
SPDR GOLD TR | GOLD SHS | 78463V107 | 0 | 400 | SH | Put | SOLE | 0 | 400 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 300 | SH | Put | SOLE | 0 | 300 | 0 | 0 |
SPDR GOLD TR | GOLD SHS | 78463V107 | 0 | 500 | SH | Call | SOLE | 0 | 500 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 300 | SH | Call | SOLE | 0 | 300 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1 | 400 | SH | Call | SOLE | 0 | 400 | 0 | 0 |
SPDR GOLD TR | GOLD SHS | 78463V107 | 0 | 500 | SH | Put | SOLE | 0 | 500 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 400 | SH | Put | SOLE | 0 | 400 | 0 | 0 |
SPDR GOLD TR | GOLD SHS | 78463V107 | 0 | 400 | SH | Call | SOLE | 0 | 400 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 300 | SH | Call | SOLE | 0 | 300 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 300 | SH | Put | SOLE | 0 | 300 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 0 | 400 | SH | Put | SOLE | 0 | 400 | 0 | 0 |
AMGEN INC | COM | 031162100 | 2 | 500 | SH | Call | SOLE | 0 | 500 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 400 | SH | Call | SOLE | 0 | 400 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 400 | SH | Put | SOLE | 0 | 400 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 200 | SH | Call | SOLE | 0 | 200 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 0 | 200 | SH | Put | SOLE | 0 | 200 | 0 | 0 |