PT ASSET MANAGEMENT, LLC Historic Quarter Change: USA ETF, Added

PT ASSET MANAGEMENT, LLC historic quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), over 7 quarters from 2014-12-31 to 2016-09-30, PT ASSET MANAGEMENT, LLC opened 12 positions, added to 4, reduced 9 and sold out of 25.

Q1 2015: Stock NHS; Country of operation —; Class COM; Shares before 26,798.
Q1 2015: Stock JLS; Country of operation —; Class COM; Shares before 408,392.
Q1 2015: Stock ETX; Country of operation —; Class SHS; Shares before 44,664.
Q1 2015: Stock CIK; Country of operation —; Class COM; Shares before 1,135,960.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1654913), 7 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-10); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-12); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-05-13); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-12); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-13); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-10-16); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-10-16). 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 2014-12-31.

Quarter	Stock	Class	Shares before	Shares after	Share change	Value before	Value after	Value change	Filed
Q1 2015	NHS NEUBERGER BERMAN HGH YLD FD	COM	26,798	311,685	+284,887	$330,000	$3,846,000	+$3,516,000	2015-10-16
Q1 2015	JLS NUVEEN MTG OPPORTUNITY TERM	COM	408,392	509,620	+101,228	$9,454,000	$11,869,000	+$2,415,000	2015-10-16
Q1 2015	ETX EATON VANCE MUN INCOME 2028	SHS	44,664	152,933	+108,269	$782,000	$2,725,000	+$1,943,000	2015-10-16
Q1 2015	CIK CREDIT SUISSE ASSET MGMT INC	COM	1,135,960	1,273,335	+137,375	$3,737,000	$4,087,000	+$350,000	2015-10-16

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