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

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

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.

Q4 2014: Stock GLD; Country of operation United States; Class GOLD SHS · Put; Shares before 540,000.
Q3 2014: Stock IWM; Country of operation —; Class RUSSELL 2000 ETF · Put; Shares before 130,000.
Q2 2014: Stock SPY; Country of operation —; Class TR UNIT · Put; Shares before 550,000.
Q2 2014: Stock IWM; Country of operation —; Class RUSSELL 2000 ETF · Put; Shares before 150,000.

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
Q4 2014	GLD SPDR GOLD TRUST	United States	GOLD SHS · Put	540,000	190,000	-350,000	$62,755,000	$21,580,000	-$41,175,000	2015-01-29
Q3 2014	IWM ISHARES TR		RUSSELL 2000 ETF · Put	130,000	100,000	-30,000	$15,445,000	$10,935,000	-$4,510,000	2014-11-03
Q2 2014	SPY SPDR S&P 500 ETF TR		TR UNIT · Put	550,000	400,000	-150,000	$102,856,000	$78,288,000	-$24,568,000	2014-08-01
Q2 2014	IWM ISHARES		RUSSELL 2000 ETF · Put	150,000	130,000	-20,000	$17,451,000	$15,445,000	-$2,006,000	2014-08-01
Q1 2014	GLD SPDR GOLD TRUST	United States	GOLD SHS · Put	110,000	50,000	-60,000	$12,773,000	$6,181,000	-$6,592,000	2014-04-28
Q4 2013	GLD SPDR GOLD TRUST	United States	GOLD SHS · Put	400,000	110,000	-290,000	$51,272,000	$12,773,000	-$38,499,000	2014-01-29
Q3 2013	GLD SPDR GOLD TRUST	United States	GOLD SHS · Call	610,000	20,000	-590,000	$72,657,000	$2,564,000	-$70,093,000	2013-10-25
Q3 2013	SPY SPDR S&P 500 ETF TR		TR UNIT · Put	650,000	300,000	-350,000	$104,273,000	$50,403,000	-$53,870,000	2013-10-25
Q3 2013	SPY SPDR S&P 500 ETF TR		TR UNIT · Call	60,000	50,000	-10,000	$9,625,000	$8,401,000	-$1,224,000	2013-10-25

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