Neuberger Berman Canada ULC Historic Quarter Change: USA Options, Added

Neuberger Berman Canada ULC historic quarter change: USA Options, Added

In put and call options, at their filed underlying value (listed in the US), over 13 quarters from 2013-06-30 to 2016-09-30, Neuberger Berman Canada ULC opened 32 positions, added to 15, reduced 9 and sold out of 19.

Q3 2016: Stock GAP; Country of operation United States; Class COM · Put; Shares before 110.
Q3 2016: Stock WHOLE FOODS MKT INC; Country of operation —; Class COM · Put; Shares before 50.
Q3 2016: Stock MSFT; Country of operation United States; Class COM · Put; Shares before 50.
Q3 2016: Stock BBY; Country of operation United States; Class COM · Put; Shares before 60.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1531987), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-10-19); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-07-12); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-12); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-01-29); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-10-14); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-07-20); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-04-30); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-01-29); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-03); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-01); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-04-28); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-01-29); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-10-25). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2012-12-31.

Quarter	Stock	Country of operation	Class	Shares before	Shares after	Share change	Value before	Value after	Value change	Filed
Q3 2016	GAP GAP INC DEL	United States	COM · Put	110	350	+240	$1,000	$6,000	+$5,000	2016-10-19
Q3 2016	WHOLE FOODS MKT INC CUSIP 966837106		COM · Put	50	250	+200	$0	$4,000	+$4,000	2016-10-19
Q3 2016	MSFT MICROSOFT CORP	United States	COM · Put	50	80	+30	$0	$1,000	+$1,000	2016-10-19
Q3 2016	BBY BEST BUY INC	United States	COM · Put	60	110	+50	$1,000	$1,000	$0	2016-10-19
Q3 2016	AAPL APPLE INC	United States	COM · Put	50	100	+50	$0	$0	$0	2016-10-19
Q4 2014	SPY SPDR S&P 500 ETF TR		TR UNIT · Call	50,000	270,000	+220,000	$9,851,000	$55,496,000	+$45,645,000	2015-01-29
Q4 2014	SPY SPDR S&P 500 ETF TR		TR UNIT · Put	430,000	440,000	+10,000	$84,719,000	$90,437,000	+$5,718,000	2015-01-29
Q3 2014	SPY SPDR S&P 500 ETF TR		TR UNIT · Put	400,000	430,000	+30,000	$78,288,000	$84,719,000	+$6,431,000	2014-11-03
Q3 2014	GLD SPDR GOLD TRUST	United States	GOLD SHS · Put	440,000	540,000	+100,000	$56,338,000	$62,755,000	+$6,417,000	2014-11-03
Q2 2014	GLD SPDR GOLD TRUST	United States	GOLD SHS · Put	50,000	440,000	+390,000	$6,181,000	$56,338,000	+$50,157,000	2014-08-01
Q1 2014	SPY SPDR S&P 500 ETF TR		TR UNIT · Put	300,000	550,000	+250,000	$55,407,000	$102,856,000	+$47,449,000	2014-04-28
Q1 2014	SPY SPDR S&P 500 ETF TR		TR UNIT · Call	50,000	300,000	+250,000	$9,235,000	$56,103,000	+$46,868,000	2014-04-28
Q1 2014	IWM ISHARES		RUSSELL 2000 ETF · Put	130,000	150,000	+20,000	$14,997,000	$17,451,000	+$2,454,000	2014-04-28
Q4 2013	GLD SPDR GOLD TRUST	United States	GOLD SHS · Call	20,000	190,000	+170,000	$2,564,000	$22,063,000	+$19,499,000	2014-01-29
Q4 2013	IWM ISHARES		RUSSELL 2000 ETF · Put	50,000	130,000	+80,000	$5,331,000	$14,997,000	+$9,666,000	2014-01-29

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