SEC FORM 13F-HR/A
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete.
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| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
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OMB APPROVAL |
OMB Number: | 3235-0006 |
Expires: | Oct 31, 2018 |
Estimated average burden |
hours per response: | 23.8 |
|
|
Report for the Calendar Year or Quarter Ended: | 03-31-2022 |
Check here if Amendment | X | Amendment Number: | 1 |
This Amendment (Check only one.): | X | is a restatement. |
| | adds new holdings entries. |
Institutional Investment Manager Filing this Report: |
Name: | StoneX Group Inc. |
Address: | 230 Park Ave |
| 10th Floor |
| New York,
NY
10169 |
Form 13F File Number: | 028-17573 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager: |
Name: | John Calvano |
Title: | CCO, SA Stone Investment Advisors |
Phone: | 2054143367 |
Signature, Place, and Date of Signing: |
John Calvano | Birmingham,
AL | 05-11-2022 |
[Signature] | [City, State] | [Date] |
|
Report Type (Check only one.): |
X | 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
Form 13F Summary Page |
| Report Summary: |
| Number of Other Included Managers: | 2 | | |
| Form 13F Information Table Entry Total: | 74 |
| Form 13F Information Table Value Total: | 138,748 |
| (thousands) |
|
List of Other Included Managers: |
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
| No. | Form 13F File Number | Name |
| 1 | 028-17766 | SA Stone Investment Advisors Inc. |
| 2 | 028-21283 | STONEX FINANCIAL INC. |
SEC FORM 13-F Information Table
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
OMB APPROVAL |
OMB Number: | 3235-0006 |
Expires: | Oct 31, 2018 |
Estimated average burden |
hours per response: | 23.8 |
|
|
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 |
TESLA INC | COM | 88160R101 | 431 | 400 | SH | | DFND | 1 | 0 | 0 | 400 |
AMERCO | COM | 023586100 | 265 | 444 | SH | | DFND | 1 | 0 | 0 | 444 |
SVB FINANCIAL GROUP | COM | 78486Q101 | 441 | 788 | SH | | DFND | 1,2 | 778 | 0 | 10 |
PROLOGIS INC. | COM | 74340W103 | 205 | 1,269 | SH | | DFND | 1,2 | 1,219 | 0 | 50 |
MODERNA INC | COM | 60770K107 | 231 | 1,343 | SH | | DFND | 1,2 | 1,255 | 0 | 88 |
SIGNATURE BK NEW YORK N Y | COM | 82669G104 | 430 | 1,464 | SH | | DFND | 1,2 | 1,414 | 0 | 50 |
NUCOR CORP | COM | 670346105 | 254 | 1,708 | SH | | DFND | 1,2 | 1,700 | 0 | 8 |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 986 | 2,010 | SH | | DFND | 1,2 | 2,000 | 0 | 10 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 943 | 2,084 | SH | | DFND | 1,2 | 1,970 | 0 | 114 |
QUALCOMM INC | COM | 747525103 | 514 | 3,360 | SH | | DFND | 1,2 | 3,334 | 0 | 26 |
SHELL PLC | SPON ADS | 780259305 | 202 | 3,685 | SH | | DFND | 1,2 | 3,669 | 0 | 16 |
BROWN & BROWN INC | COM | 115236101 | 289 | 3,998 | SH | | DFND | 1 | 0 | 0 | 3,998 |
INVESCO EXCHANGE TRADED FD T | DWA CYCLICALS | 46137V803 | 338 | 4,509 | SH | | DFND | 1 | 0 | 0 | 4,509 |
DBX ETF TR | XTRACK MSCI JAPN | 233051507 | 236 | 4,815 | SH | | DFND | 1 | 0 | 0 | 4,815 |
INVESCO EXCH TRADED FD TR II | S&P ULTRA DIVIDE | 46138G656 | 219 | 5,000 | SH | | DFND | 1 | 0 | 0 | 5,000 |
ROYAL CARIBBEAN GROUP | COM | V7780T103 | 497 | 5,933 | SH | | DFND | 1,2 | 5,833 | 0 | 100 |
DBX ETF TR | XTRACK MSCI EAFE | 233051200 | 226 | 6,000 | SH | | DFND | 2 | 6,000 | 0 | 0 |
GOLDMAN SACHS ETF TR | INNOVAT EQ ETF | 38149W820 | 330 | 6,110 | SH | | DFND | 2 | 6,110 | 0 | 0 |
ISHARES INC | MSCI EURZONE ETF | 464286608 | 267 | 6,175 | SH | | DFND | 1,2 | 6,000 | 0 | 175 |
PLDT INC | SPONSORED ADR | 69344D408 | 228 | 6,502 | SH | | DFND | 2 | 6,502 | 0 | 0 |
WYNN RESORTS LTD | COM | 983134107 | 538 | 6,749 | SH | | DFND | 1,2 | 6,649 | 0 | 100 |
PROSHARES TR | ULTRAPRO QQQ | 74347X831 | 471 | 8,100 | SH | | DFND | 2 | 8,100 | 0 | 0 |
INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 205 | 9,400 | SH | | DFND | 1 | 0 | 0 | 9,400 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 1,043 | 9,583 | SH | | DFND | 1,2 | 9,568 | 0 | 15 |
THE MUSIC ACQUISITION CORP | *W EXP 02/05/202 | 62752R118 | 2 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
ZOMEDICA CORP | COM | 98980M109 | 3 | 10,000 | SH | | DFND | 1 | 0 | 0 | 10,000 |
STAR GROUP L P | UNIT LTD PARTNR | 85512C105 | 111 | 10,000 | SH | | DFND | 1 | 0 | 0 | 10,000 |
FRESENIUS MED CARE AG&CO KGA | SPONSORED ADR | 358029106 | 339 | 10,072 | SH | | DFND | 1,2 | 9,891 | 0 | 181 |
CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 85 | 10,390 | SH | | DFND | 2 | 10,390 | 0 | 0 |
DUNXIN FINL HLDGS LTD | SPONSORED ADS | 26605Q106 | 7 | 10,488 | SH | | DFND | 2 | 10,488 | 0 | 0 |
WELLS FARGO CO NEW | COM | 949746101 | 514 | 10,608 | SH | | DFND | 1,2 | 10,555 | 0 | 53 |
METROMILE INC | COM | 591697107 | 17 | 13,000 | SH | | DFND | 1 | 0 | 0 | 13,000 |
SELECT SECTOR SPDR TR | FINANCIAL | 81369Y605 | 534 | 13,934 | SH | | DFND | 1,2 | 12,000 | 0 | 1,934 |
THERATECHNOLOGIES INC | COM | 88338H100 | 34 | 14,000 | SH | | DFND | 1 | 0 | 0 | 14,000 |
BIORESTORATIVE THERAPIES INC | COM NEW | 090655606 | 78 | 14,954 | SH | | DFND | 1,2 | 74 | 0 | 14,880 |
NORWEGIAN CRUISE LINE HLDG L | SHS | G66721104 | 345 | 15,769 | SH | | DFND | 1,2 | 15,491 | 0 | 278 |
ENPHASE ENERGY INC | COM | 29355A107 | 3,311 | 16,411 | SH | | DFND | 1,2 | 16,358 | 0 | 53 |
WISDOMTREE TR | EM MKTS QTLY DIV | 97717W323 | 450 | 17,300 | SH | | DFND | 2 | 17,300 | 0 | 0 |
DEVON ENERGY CORP NEW | COM | 25179M103 | 1,061 | 17,946 | SH | | DFND | 1,2 | 17,910 | 0 | 36 |
ERICSSON | ADR B SEK 10 | 294821608 | 165 | 18,029 | SH | | DFND | 1,2 | 17,722 | 0 | 307 |
INVESCO DB COMMDY INDX TRCK | UNIT | 46138B103 | 514 | 19,740 | SH | | DFND | 1,2 | 17,545 | 0 | 2,195 |
ISHARES INC | MSCI SPAIN ETF | 464286764 | 518 | 20,362 | SH | | DFND | 2 | 20,362 | 0 | 0 |
GOLDMAN SACHS ETF TR | FUTURE | 38149W796 | 728 | 20,982 | SH | | DFND | 2 | 20,982 | 0 | 0 |
IRIDEX CORP | COM | 462684101 | 104 | 22,400 | SH | | DFND | 1 | 0 | 0 | 22,400 |
ETF SER SOLUTIONS | US GLB JETS | 26922A842 | 526 | 24,188 | SH | | DFND | 1,2 | 24,000 | 0 | 188 |
ALCOA CORP | COM | 013872106 | 2,233 | 24,805 | SH | | DFND | 1,2 | 24,800 | 0 | 5 |
SPDR SER TR | S&P OILGAS EXP | 78468R556 | 3,552 | 26,400 | SH | | DFND | 1,2 | 26,150 | 0 | 250 |
LAS VEGAS SANDS CORP | COM | 517834107 | 1,070 | 27,532 | SH | | DFND | 1,2 | 27,477 | 0 | 55 |
PIMCO ETF TR | 1-5 US TIP IDX | 72201R205 | 1,582 | 29,045 | SH | | DFND | 2 | 29,045 | 0 | 0 |
ROKU INC | COM CL A | 77543R102 | 3,796 | 30,301 | SH | | DFND | 1,2 | 30,300 | 0 | 1 |
VODAFONE GROUP PLC NEW | SPONSORED ADR | 92857W308 | 510 | 30,676 | SH | | DFND | 1,2 | 30,585 | 0 | 91 |
WASTE MGMT INC DEL | COM | 94106L109 | 5,132 | 32,376 | SH | | DFND | 1,2 | 32,366 | 0 | 10 |
NOKIA CORP | SPONSORED ADR | 654902204 | 180 | 32,937 | SH | | DFND | 1,2 | 32,797 | 0 | 140 |
SMITH & NEPHEW PLC | SPDN ADR NEW | 83175M205 | 1,082 | 33,917 | SH | | DFND | 2 | 33,917 | 0 | 0 |
GENPREX INC | COM | 372446104 | 79 | 35,150 | SH | | DFND | 1 | 0 | 0 | 35,150 |
CREDIT SUISSE GROUP | SPONSORED ADR | 225401108 | 280 | 35,674 | SH | | DFND | 2 | 35,674 | 0 | 0 |
APPLE INC | COM | 037833100 | 7,404 | 42,401 | SH | | DFND | 1,2 | 42,373 | 0 | 28 |
BLOCK INC | CL A | 852234103 | 6,113 | 45,083 | SH | | DFND | 1,2 | 45,068 | 0 | 15 |
SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 86562M209 | 285 | 45,398 | SH | | DFND | 2 | 45,398 | 0 | 0 |
YUM CHINA HLDGS INC | COM | 98850P109 | 2,014 | 48,477 | SH | | DFND | 1,2 | 48,400 | 0 | 77 |
CHEWY INC | CL A | 16679L109 | 2,094 | 51,359 | SH | | DFND | 1,2 | 50,987 | 0 | 372 |
DIAMONDBACK ENERGY INC | COM | 25278X109 | 7,201 | 52,534 | SH | | DFND | 1,2 | 52,520 | 0 | 14 |
META PLATFORMS INC | CL A | 30303M102 | 13,777 | 61,959 | SH | | DFND | 1,2 | 61,955 | 0 | 4 |
ISHARES INC | MSCI SWITZERLAND | 464286749 | 3,683 | 75,000 | SH | | DFND | 2 | 75,000 | 0 | 0 |
ISHARES INC | MSCI CHILE ETF | 464286640 | 2,439 | 83,902 | SH | | DFND | 2 | 83,902 | 0 | 0 |
OCCIDENTAL PETE CORP | COM | 674599105 | 5,040 | 88,824 | SH | | DFND | 1,2 | 88,699 | 0 | 125 |
FIRST TR EXCHNG TRADED FD VI | TCW SECURITIZED | 33740U109 | 2,414 | 100,000 | SH | | DFND | 1 | 0 | 0 | 100,000 |
SK TELECOM LTD | SPONSORED ADR | 78440P306 | 3,769 | 147,041 | SH | | DFND | 2 | 147,041 | 0 | 0 |
GOLDMAN SACHS ETF TR | FUTURE HEALTH | 38149W770 | 5,998 | 176,104 | SH | | DFND | 2 | 176,104 | 0 | 0 |
BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR | 05946K101 | 1,263 | 221,968 | SH | | DFND | 2 | 221,968 | 0 | 0 |
GRUPO AVAL ACCIONES Y VALORE | SPONSORED ADS | 40053W101 | 1,264 | 277,900 | SH | | DFND | 2 | 277,900 | 0 | 0 |
GOLDMAN SACHS ETF TR | FUTURE TECH LEAD | 38149W812 | 10,316 | 330,752 | SH | | DFND | 1,2 | 330,508 | 0 | 244 |
SPDR SER TR | PORTFOLIO SHORT | 78464A474 | 11,632 | 386,059 | SH | | DFND | 1,2 | 386,000 | 0 | 59 |
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 13,311 | 503,828 | SH | | DFND | 1,2 | 503,816 | 0 | 12 |