0001615774-15-003253.txt : 20151113
0001615774-15-003253.hdr.sgml : 20151113
20151113131537
ACCESSION NUMBER: 0001615774-15-003253
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151113
DATE AS OF CHANGE: 20151113
EFFECTIVENESS DATE: 20151113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALPHAGEN SECURITIES LLC
CENTRAL INDEX KEY: 0001044205
IRS NUMBER: 364052401
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16806
FILM NUMBER: 151228196
BUSINESS ADDRESS:
STREET 1: 440 SOUTH LASALLE ST.
STREET 2: 36TH FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60605
BUSINESS PHONE: 312-477-8487
MAIL ADDRESS:
STREET 1: 440 SOUTH LASALLE
STREET 2: 36TH FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60605
FORMER COMPANY:
FORMER CONFORMED NAME: SALLERSON-TROOB LLC
DATE OF NAME CHANGE: 20140102
FORMER COMPANY:
FORMER CONFORMED NAME: ALPHAGEN SECURITIES LLC
DATE OF NAME CHANGE: 20130115
FORMER COMPANY:
FORMER CONFORMED NAME: SALLERSON-TROOB LLC
DATE OF NAME CHANGE: 20130103
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001044205
XXXXXXXX
09-30-2015
09-30-2015
false
ALPHAGEN SECURITIES LLC
440 South Lasalle
36th Floor
Chicago
IL
60605
13F HOLDINGS REPORT
028-16806
N
Mark Hively
FINOP
312-477-8400
/s/ Mark Hively
Chicago
IL
11-13-2015
0
129
13294
INFORMATION TABLE
2
infotable.xml
ACADIA PHARMACEUTICALS INC
COM
004225908
7
22
SH
Call
SOLE
22
0
0
AGCO CORP
COM
001084102
70
1500
SH
SOLE
1500
0
0
AGCO CORP
COM
001084952
9
20
SH
Put
SOLE
20
0
0
ALCOA INC
COM
013817101
11
1125
SH
SOLE
1125
0
0
ALCOA INC
COM
013817951
0
17
SH
Put
SOLE
17
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W952
1
1
SH
Put
SOLE
1
0
0
ALTERA CORP
COM
021441100
366
7300
SH
SOLE
7300
0
0
AMAZON COM INC
COM
023135106
272
531
SH
SOLE
531
0
0
AMERICAN EXPRESS CO
COM
025816109
98
1325
SH
SOLE
1325
0
0
AMERICAN EXPRESS CO
COM
025816959
12
20
SH
Put
SOLE
20
0
0
ANTHERA PHARMACEUTICALS INC
COM NEW
03674U201
33
5400
SH
SOLE
5400
0
0
ANTHERA PHARMACEUTICALS INC
COM NEW
03674U951
1
90
SH
Put
SOLE
90
0
0
APPLE INC
COM
037833100
1053
9550
SH
SOLE
9550
0
0
APPLIED MATLS INC
COM
038222105
8
555
SH
SOLE
555
0
0
APPLIED MATLS INC
COM
038222905
0
13
SH
Call
SOLE
13
0
0
AVON PRODS INC
COM
054303102
10
3000
SH
SOLE
3000
0
0
AVON PRODS INC
COM
054303952
3
40
SH
Put
SOLE
40
0
0
AXIS CAPITAL HOLDINGS LTD
SHS
G0692U109
107
2000
SH
SOLE
2000
0
0
BAKER HUGHES INC
COM
057224107
2892
55572
SH
SOLE
55572
0
0
BARNES & NOBLE ED INC
COM
06777U101
34
2650
SH
SOLE
2650
0
0
BARNES & NOBLE INC
COM
067774109
51
4200
SH
SOLE
4200
0
0
BARNES & NOBLE INC
COM
067774909
0
10
SH
Call
SOLE
10
0
0
BARNES & NOBLE INC
COM
067774959
26
50
SH
Put
SOLE
50
0
0
BARRICK GOLD CORP.
COM
067901908
3
190
SH
Call
SOLE
190
0
0
BROADCOM CORP
CL A
111320107
10
200
SH
SOLE
200
0
0
CALIFORNIA RES CORP
COM
13057Q107
21
8000
SH
SOLE
8000
0
0
CATERPILLAR INC DEL
COM
149123101
11
170
SH
SOLE
170
0
0
CATERPILLAR INC DEL
COM
149123951
2
2
SH
Put
SOLE
2
0
0
CBOE HLDGS INC
COM
12503M108
492
7332
SH
SOLE
7332
0
0
CELLULAR BIOMEDICINE GROUP I
COM NEW
15117P102
20
1200
SH
SOLE
1200
0
0
CENTURYLINK INC
COM
156700106
158
6300
SH
SOLE
6300
0
0
CENTURYLINK INC
COM
156700956
28
52
SH
Put
SOLE
52
0
0
CHINA ADVANCED CONSTR MATLS
COM NEW
169365202
4
1290
SH
SOLE
1290
0
0
CONOCOPHILLIPS
COM
20825C104
2
38
SH
SOLE
38
0
0
CONOCOPHILLIPS
COM
20825C904
0
2
SH
Call
SOLE
2
0
0
DARDEN RESTAURANTS INC
COM
237194105
14
200
SH
SOLE
200
0
0
EMAGIN CORP
COM NEW
29076N206
2
700
SH
SOLE
700
0
0
ENDOCYTE INC
COM
29269A102
26
5600
SH
SOLE
5600
0
0
ETHAN ALLEN INTERIORS INC
COM
297602904
2
20
SH
Call
SOLE
20
0
0
FACEBOOK INC
CL A
30303M952
0
5
SH
Put
SOLE
5
0
0
FIRST MAJESTIC SILVER CORP
COM
32076V103
0
90
SH
SOLE
90
0
0
FIVE PRIME THERAPEUTICS INC
COM
33830X104
29
1880
SH
SOLE
1880
0
0
FORD MTR CO DEL
COM PAR $0.01
345370900
1
29
SH
Call
SOLE
29
0
0
FREEPORT-MCMORAN INC
CL B
35671D907
4
307
SH
Call
SOLE
307
0
0
FRONTIER COMMUNICATIONS CORP
COM
35906A108
24
5000
SH
SOLE
5000
0
0
GOLDCORP INC NEW
COM
380956409
24
1880
SH
SOLE
1880
0
0
GOLDCORP INC NEW
COM
380956959
6
20
SH
Put
SOLE
20
0
0
GOOGLE INC
CL A
38259P958
7
10
SH
Put
SOLE
10
0
0
GRAN TIERRA ENERGY INC
COM
38500T101
2
900
SH
SOLE
900
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
94
1820
SH
SOLE
1820
0
0
HAIN CELESTIAL GROUP INC
COM
405217900
2
50
SH
Call
SOLE
50
0
0
HAIN CELESTIAL GROUP INC
COM
405217950
26
30
SH
Put
SOLE
30
0
0
HCC INS HLDGS INC
COM
404132102
1051
13572
SH
SOLE
13572
0
0
HERTZ GLOBAL HOLDINGS INC
COM
42805T105
26
1575
SH
SOLE
1575
0
0
HERTZ GLOBAL HOLDINGS INC
COM
42805T905
0
4
SH
Call
SOLE
4
0
0
HERTZ GLOBAL HOLDINGS INC
COM
42805T955
2
10
SH
Put
SOLE
10
0
0
HIMAX TECHNOLOGIES INC
SPONSORED ADR
43289P906
1
15
SH
Call
SOLE
15
0
0
INTEL CORP
COM
458140100
0
10
SH
SOLE
10
0
0
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
66
279
SH
SOLE
279
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
135
931
SH
SOLE
931
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200951
5
3
SH
Put
SOLE
3
0
0
INTUIT
COM
461202103
7
80
SH
SOLE
80
0
0
INVENSENSE INC
COM
46123D205
5
520
SH
SOLE
520
0
0
ISIS PHARMACEUTICALS INC
COM
464330109
117
2900
SH
SOLE
2900
0
0
ISIS PHARMACEUTICALS INC
COM
464330909
7
11
SH
Call
SOLE
11
0
0
ISIS PHARMACEUTICALS INC
COM
464330959
17
12
SH
Put
SOLE
12
0
0
JUNO THERAPEUTICS INC
COM
48205A109
12
300
SH
SOLE
300
0
0
KEURIG GREEN MTN INC
COM
49271M100
52
1000
SH
SOLE
1000
0
0
MARATHON OIL CORP
COM
565849106
31
2000
SH
SOLE
2000
0
0
MEAD JOHNSON NUTRITION CO
COM
582839106
53
750
SH
SOLE
750
0
0
MEAD JOHNSON NUTRITION CO
COM
582839906
1
10
SH
Call
SOLE
10
0
0
MEAD JOHNSON NUTRITION CO
COM
582839956
10
10
SH
Put
SOLE
10
0
0
MEDICINES CO
COM
584688105
21
550
SH
SOLE
550
0
0
MEDICINES CO
COM
584688905
7
11
SH
Call
SOLE
11
0
0
MENS WEARHOUSE INC
COM
587118100
106
2500
SH
SOLE
2500
0
0
MENS WEARHOUSE INC
COM
587118900
0
30
SH
Call
SOLE
30
0
0
MICRON TECHNOLOGY INC
COM
595112903
1
100
SH
Call
SOLE
100
0
0
MYLAN N V
SHS EURO
N59465109
411
10200
SH
SOLE
10200
0
0
NEKTAR THERAPEUTICS
COM
640268108
14
1300
SH
SOLE
1300
0
0
NETFLIX INC
COM
64110L106
589
5700
SH
SOLE
5700
0
0
NETFLIX INC
COM
64110L956
2
50
SH
Put
SOLE
50
0
0
NORFOLK SOUTHERN CORP
COM
655844108
66
860
SH
SOLE
860
0
0
NORFOLK SOUTHERN CORP
COM
655844908
1
5
SH
Call
SOLE
5
0
0
NORFOLK SOUTHERN CORP
COM
655844958
10
11
SH
Put
SOLE
11
0
0
NOVAVAX INC
COM
670002104
49
6870
SH
SOLE
6870
0
0
OFFICE DEPOT INC
COM
676220106
42
6600
SH
SOLE
6600
0
0
OHR PHARMACEUTICAL INC
COM NEW
67778H200
0
100
SH
SOLE
100
0
0
ONCOGENEX PHARMACEUTICALS IN
COM
68230A106
19
8402
SH
SOLE
8402
0
0
PACIRA PHARMACEUTICALS INC
COM
695127100
55
1350
SH
SOLE
1350
0
0
PARKERVISION INC
COM
701354902
0
26
SH
Call
SOLE
26
0
0
PEPCO HOLDINGS INC
COM
713291102
601
24802
SH
SOLE
24802
0
0
PEPCO HOLDINGS INC
COM
713291952
33
243
SH
Put
SOLE
243
0
0
PERRIGO CO PLC
SHS
G97822103
0
3
SH
SOLE
3
0
0
POST HLDGS INC
COM
737446104
127
2150
SH
SOLE
2150
0
0
PRECISION CASTPARTS CORP
COM
740189105
92
400
SH
SOLE
400
0
0
PRICELINE GRP INC
COM NEW
741503403
711
575
SH
SOLE
575
0
0
PROTHENA CORP PLC
SHS
G72800108
5
110
SH
SOLE
110
0
0
PROVECTUS BIOPHARMACEUTICALS
COM
74373P108
2
3700
SH
SOLE
3700
0
0
RELIANCE STEEL & ALUMINUM CO
COM
759509102
16
300
SH
SOLE
300
0
0
ROUNDYS INC
COM
779268101
3
1200
SH
SOLE
1200
0
0
SANGAMO BIOSCIENCES INC
COM
800677106
54
9650
SH
SOLE
9650
0
0
SANGAMO BIOSCIENCES INC
COM
800677956
18
38
SH
Put
SOLE
38
0
0
STILLWATER MNG CO
COM
86074Q102
12
1135
SH
SOLE
1135
0
0
STILLWATER MNG CO
COM
86074Q952
2
20
SH
Put
SOLE
20
0
0
SUNEDISON INC
COM
86732Y109
4
541
SH
SOLE
541
0
0
SUPPORT COM INC
COM
86858W101
3
100
SH
SOLE
100
0
0
SYNERGY PHARMACEUTICALS DEL
COM NEW
871639308
1
200
SH
SOLE
200
0
0
TANZANIAN ROYALTY EXPL CORP
COM
87600U104
2
5401
SH
SOLE
5401
0
0
TESLA MTRS INC
COM
88160R101
25
100
SH
SOLE
100
0
0
THOMPSON CREEK METALS CO INC
COM
884768102
0
300
SH
SOLE
300
0
0
TIME WARNER CABLE INC
COM
88732J207
63
350
SH
SOLE
350
0
0
TIME WARNER INC
COM NEW
887317303
7
100
SH
SOLE
100
0
0
TIVO INC
COM
888706108
6
725
SH
SOLE
725
0
0
TORONTO DOMINION BK ONT
COM NEW
891160959
17
58
SH
Put
SOLE
58
0
0
TWITTER INC
COM
90184L102
120
4440
SH
SOLE
4440
0
0
TWITTER INC
COM
90184L952
1
4
SH
Put
SOLE
4
0
0
UNILEVER PLC
SPON ADR NEW
904767704
1005
20000
SH
SOLE
20000
0
0
VERICEL CORP
COM
92346J108
2
650
SH
SOLE
650
0
0
VULCAN MATLS CO
COM
929160109
89
1000
SH
SOLE
1000
0
0
VULCAN MATLS CO
COM
929160909
6
15
SH
Call
SOLE
15
0
0
VULCAN MATLS CO
COM
929160959
21
40
SH
Put
SOLE
40
0
0
WELLS FARGO & CO NEW
COM
949746101
58
1120
SH
SOLE
1120
0
0
WELLS FARGO & CO NEW
COM
949746951
0
8
SH
Put
SOLE
8
0
0
WENDYS CO
COM
95058W100
34
3885
SH
SOLE
3885
0
0
WILLIAMS COS INC DEL
COM
969457100
221
6000
SH
SOLE
6000
0
0
WILLIAMS PARTNERS L P NEW
COM UNIT LTD PAR
96949L105
827
25898
SH
SOLE
25898
0
0
XENCOR INC
COM
98401F105
2
200
SH
SOLE
200
0
0
YELP INC
CL A
985817105
2
100
SH
SOLE
100
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
32
3600
SH
SOLE
3600
0
0