SEC FORM 13F-HR
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 COVER PAGE
|
| 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: |
12-31-2022 |
| Check here if Amendment |
|
Amendment Number: |
| This Amendment (Check only one.): |
|
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, Inc. |
| Phone: |
2054143367 |
| Signature, Place, and Date of Signing: |
| John Calvano |
Birmingham,
AL
|
02-10-2023 |
| [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: |
111 |
|
Form 13F Information Table Value Total: |
151,924 |
|
(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 |
| KATAPULT HOLDINGS INC |
*W EXP 06/09/202 |
485859110 |
1 |
10,000 |
SH |
|
DFND |
2 |
10,000 |
0 |
0 |
| SATELLOGIC INC |
*W EXP 01/25/202 |
G7823S119 |
2 |
10,000 |
SH |
|
DFND |
2 |
10,000 |
0 |
0 |
| SEELOS THERAPEUTICS INC |
COM |
81577F109 |
7 |
10,000 |
SH |
|
DFND |
1 |
0 |
0 |
10,000 |
| ACCELERATE DIAGNOSTICS INC |
COM |
00430H102 |
8 |
10,740 |
SH |
|
DFND |
1 |
0 |
0 |
10,740 |
| BERKSHIRE GREY INC |
*W EXP 07/21/202 |
084656115 |
1 |
11,010 |
SH |
|
DFND |
2 |
11,010 |
0 |
0 |
| EATON VANCE TX ADV GLBL DIV |
COM |
27828S101 |
178 |
11,760 |
SH |
|
DFND |
1 |
0 |
0 |
11,760 |
| GRAPHEX GROUP LTD |
SPONSORED ADS |
38867H104 |
15 |
13,004 |
SH |
|
DFND |
2 |
13,004 |
0 |
0 |
| MEDICAL PPTYS TRUST INC |
COM |
58463J304 |
154 |
13,464 |
SH |
|
DFND |
1 |
0 |
0 |
13,464 |
| BABCOCK & WILCOX ENTERPRISES |
COM |
05614L209 |
78 |
13,503 |
SH |
|
DFND |
1 |
0 |
0 |
13,503 |
| MFS HIGH INCOME MUN TR |
SH BEN INT |
59318D104 |
48 |
13,740 |
SH |
|
DFND |
2 |
13,740 |
0 |
0 |
| EPIPHANY TECHNOLOGY ACQUISIT |
*W EXP 01/12/202 |
29429X117 |
0 |
14,000 |
SH |
|
DFND |
2 |
14,000 |
0 |
0 |
| THERATECHNOLOGIES INC |
COM |
88338H100 |
12 |
14,000 |
SH |
|
DFND |
1 |
0 |
0 |
14,000 |
| CORE SCIENTIFIC INC |
COMMON STOCK |
21873J108 |
1 |
14,100 |
SH |
|
DFND |
2 |
14,100 |
0 |
0 |
| BIORESTORATIVE THERAPIES INC |
COM NEW |
090655606 |
41 |
14,954 |
SH |
|
DFND |
1,2 |
74 |
0 |
14,880 |
| STAR GROUP L P |
UNIT LTD PARTNR |
85512C105 |
181 |
15,000 |
SH |
|
DFND |
1 |
0 |
0 |
15,000 |
| COEUR MNG INC |
COM NEW |
192108504 |
51 |
15,100 |
SH |
|
DFND |
1 |
0 |
0 |
15,100 |
| MINK THERAPEUTICS INC |
COM |
603693102 |
47 |
17,821 |
SH |
|
DFND |
2 |
17,821 |
0 |
0 |
| ZOMEDICA CORP |
COM |
98980M109 |
3 |
20,000 |
SH |
|
DFND |
1 |
0 |
0 |
20,000 |
| AMPIO PHARMACEUTICALS INC |
COM NEW |
03209T208 |
5 |
20,109 |
SH |
|
DFND |
2 |
20,109 |
0 |
0 |
| IRIDEX CORP |
COM |
462684101 |
55 |
25,400 |
SH |
|
DFND |
1 |
0 |
0 |
25,400 |
| GENPREX INC |
COM |
372446104 |
51 |
35,150 |
SH |
|
DFND |
1 |
0 |
0 |
35,150 |
| RENALYTIX PLC |
ADS |
75973T101 |
92 |
49,056 |
SH |
|
DFND |
2 |
49,056 |
0 |
0 |
| SHARECARE INC |
COM CL A |
81948W104 |
165 |
103,328 |
SH |
|
DFND |
1 |
0 |
0 |
103,328 |
| BARRICK GOLD CORP |
COM |
067901108 |
218 |
12,685 |
SH |
|
DFND |
1 |
0 |
0 |
12,685 |
| INVESCO EXCH TRADED FD TR II |
INTL CORP BD |
46138E636 |
239 |
11,292 |
SH |
|
DFND |
2 |
11,292 |
0 |
0 |
| TEKLA HEALTHCARE INVS |
SH BEN INT |
87911J103 |
267 |
14,857 |
SH |
|
DFND |
1 |
0 |
0 |
14,857 |
| TRINSEO PLC |
SHS |
G9059U107 |
277 |
12,189 |
SH |
|
DFND |
1 |
0 |
0 |
12,189 |
| TEKLA HEALTHCARE OPPORTUNITI |
SHS |
879105104 |
286 |
14,418 |
SH |
|
DFND |
1 |
0 |
0 |
14,418 |
| VIR BIOTECHNOLOGY INC |
COM |
92764N102 |
298 |
11,755 |
SH |
|
DFND |
1 |
0 |
0 |
11,755 |
| SILVERCREST METALS INC |
COM |
828363101 |
312 |
51,990 |
SH |
|
DFND |
1 |
0 |
0 |
51,990 |
| B2GOLD CORP |
COM |
11777Q209 |
372 |
104,150 |
SH |
|
DFND |
1 |
0 |
0 |
104,150 |
| MAG SILVER CORP |
COM |
55903Q104 |
381 |
24,350 |
SH |
|
DFND |
1 |
0 |
0 |
24,350 |
| BP PRUDHOE BAY RTY TR |
UNIT BEN INT |
055630107 |
382 |
32,710 |
SH |
|
DFND |
1 |
0 |
0 |
32,710 |
| WALGREENS BOOTS ALLIANCE INC |
COM |
931427108 |
407 |
10,898 |
SH |
|
DFND |
1 |
0 |
0 |
10,898 |
| ENBRIDGE INC |
COM |
29250N105 |
427 |
10,914 |
SH |
|
DFND |
1 |
0 |
0 |
10,914 |
| FORD MTR CO DEL |
COM |
345370860 |
451 |
38,766 |
SH |
|
DFND |
1 |
0 |
0 |
38,766 |
| SPROTT PHYSICAL GOLD & SILVE |
TR UNIT |
85208R101 |
461 |
25,700 |
SH |
|
DFND |
1 |
0 |
0 |
25,700 |
| INTEL CORP |
COM |
458140100 |
463 |
17,508 |
SH |
|
DFND |
1 |
0 |
0 |
17,508 |
| EXELON CORP |
COM |
30161N101 |
470 |
10,891 |
SH |
|
DFND |
1 |
0 |
0 |
10,891 |
| LIVENT CORP |
COM |
53814L108 |
485 |
24,407 |
SH |
|
DFND |
1 |
0 |
0 |
24,407 |
| CITIZENS FINL GROUP INC |
COM |
174610105 |
493 |
12,523 |
SH |
|
DFND |
1 |
0 |
0 |
12,523 |
| GOLDMAN SACHS ETF TR |
FUTURE HEALTH |
38149W770 |
514 |
16,340 |
SH |
|
DFND |
2 |
16,340 |
0 |
0 |
| SPROTT PHYSICAL SILVER TR |
TR UNIT |
85207K107 |
517 |
62,694 |
SH |
|
DFND |
1 |
0 |
0 |
62,694 |
| ALTRIA GROUP INC |
COM |
02209S103 |
519 |
11,138 |
SH |
|
DFND |
1 |
0 |
0 |
11,138 |
| ENERGY TRANSFER L P |
COM UT LTD PTN |
29273V100 |
525 |
44,267 |
SH |
|
DFND |
1 |
0 |
0 |
44,267 |
| VANECK ETF TRUST |
GOLD MINERS ETF |
92189F106 |
558 |
19,456 |
SH |
|
DFND |
2 |
19,456 |
0 |
0 |
| FIRST TR SR FLTG RATE INCOME |
COM |
33733U108 |
581 |
60,962 |
SH |
|
DFND |
1,2 |
60,762 |
0 |
200 |
| KEYCORP |
COM |
493267108 |
623 |
35,745 |
SH |
|
DFND |
1 |
0 |
0 |
35,745 |
| BCE INC |
COM NEW |
05534B760 |
625 |
14,000 |
SH |
|
DFND |
1 |
0 |
0 |
14,000 |
| GOLDMAN SACHS ETF TR |
FUTURE REAL ESTA |
38149W762 |
647 |
20,108 |
SH |
|
DFND |
2 |
20,108 |
0 |
0 |
| BLOCK INC |
CL A |
852234103 |
648 |
10,306 |
SH |
|
DFND |
1 |
0 |
0 |
10,306 |
| FREEPORT-MCMORAN INC |
CL B |
35671D857 |
704 |
18,525 |
SH |
|
DFND |
1 |
0 |
0 |
18,525 |
| TRUIST FINL CORP |
COM |
89832Q109 |
719 |
16,707 |
SH |
|
DFND |
1 |
0 |
0 |
16,707 |
| NUVEEN S&P 500 BUY-WRITE INC |
COM |
6706ER101 |
725 |
57,319 |
SH |
|
DFND |
1 |
0 |
0 |
57,319 |
| SPROTT PHYSICAL GOLD TR |
UNIT |
85207H104 |
728 |
51,600 |
SH |
|
DFND |
1 |
0 |
0 |
51,600 |
| ENTERPRISE PRODS PARTNERS L |
COM |
293792107 |
745 |
30,866 |
SH |
|
DFND |
1 |
0 |
0 |
30,866 |
| INFOSYS LTD |
SPONSORED ADR |
456788108 |
780 |
43,302 |
SH |
|
DFND |
1 |
0 |
0 |
43,302 |
| CORNING INC |
COM |
219350105 |
783 |
24,524 |
SH |
|
DFND |
1 |
0 |
0 |
24,524 |
| PINNACLE WEST CAP CORP |
COM |
723484101 |
784 |
10,310 |
SH |
|
DFND |
1 |
0 |
0 |
10,310 |
| BANK AMERICA CORP |
COM |
060505104 |
789 |
23,832 |
SH |
|
DFND |
1 |
0 |
0 |
23,832 |
| REAVES UTIL INCOME FD |
COM SH BEN INT |
756158101 |
868 |
30,514 |
SH |
|
DFND |
1 |
0 |
0 |
30,514 |
| US BANCORP DEL |
COM NEW |
902973304 |
914 |
20,721 |
SH |
|
DFND |
1 |
0 |
0 |
20,721 |
| COMCAST CORP NEW |
CL A |
20030N101 |
927 |
26,491 |
SH |
|
DFND |
1,2 |
436 |
0 |
26,055 |
| CSX CORP |
COM |
126408103 |
935 |
30,172 |
SH |
|
DFND |
1 |
0 |
0 |
30,172 |
| GOLDMAN SACHS ETF TR |
FUTURE TECH LEAD |
38149W812 |
974 |
46,550 |
SH |
|
DFND |
2 |
46,550 |
0 |
0 |
| GOLDMAN SACHS ETF TR |
FUTURE |
38149W796 |
1,007 |
34,319 |
SH |
|
DFND |
2 |
34,319 |
0 |
0 |
| INSTEEL INDS INC |
COM |
45774W108 |
1,008 |
36,628 |
SH |
|
DFND |
1 |
0 |
0 |
36,628 |
| KINDER MORGAN INC DEL |
COM |
49456B101 |
1,054 |
58,297 |
SH |
|
DFND |
1 |
0 |
0 |
58,297 |
| AT&T INC |
COM |
00206R102 |
1,107 |
60,067 |
SH |
|
DFND |
1 |
0 |
0 |
60,067 |
| SHOPIFY INC |
CL A |
82509L107 |
1,148 |
33,031 |
SH |
|
DFND |
1 |
0 |
0 |
33,031 |
| DNP SELECT INCOME FD INC |
COM |
23325P104 |
1,166 |
103,037 |
SH |
|
DFND |
1 |
0 |
0 |
103,037 |
| ALPHABET INC |
CAP STK CL C |
02079K107 |
1,210 |
13,622 |
SH |
|
DFND |
1,2 |
22 |
0 |
13,600 |
| CVS HEALTH CORP |
COM |
126650100 |
1,360 |
14,590 |
SH |
|
DFND |
1 |
0 |
0 |
14,590 |
| COCA COLA CO |
COM |
191216100 |
1,398 |
21,979 |
SH |
|
DFND |
1 |
0 |
0 |
21,979 |
| WALMART INC |
COM |
931142103 |
1,596 |
11,211 |
SH |
|
DFND |
1 |
0 |
0 |
11,211 |
| PHILIP MORRIS INTL INC |
COM |
718172109 |
1,644 |
16,043 |
SH |
|
DFND |
1 |
0 |
0 |
16,043 |
| BLACKSTONE INC |
COM |
09260D107 |
1,658 |
22,351 |
SH |
|
DFND |
1 |
0 |
0 |
22,351 |
| BRISTOL-MYERS SQUIBB CO |
COM |
110122108 |
1,663 |
23,115 |
SH |
|
DFND |
1 |
0 |
0 |
23,115 |
| ISHARES TR |
IBOXX INV CP ETF |
464287242 |
1,665 |
15,789 |
SH |
|
DFND |
2 |
15,789 |
0 |
0 |
| INTERNATIONAL BUSINESS MACHS |
COM |
459200101 |
1,731 |
12,289 |
SH |
|
DFND |
1 |
0 |
0 |
12,289 |
| GOLDMAN SACHS ETF TR |
INNOVAT EQ ETF |
38149W820 |
1,751 |
42,894 |
SH |
|
DFND |
2 |
42,894 |
0 |
0 |
| ALPHABET INC |
CAP STK CL A |
02079K305 |
1,809 |
20,483 |
SH |
|
DFND |
1 |
0 |
0 |
20,483 |
| FIRST HORIZON CORPORATION |
COM |
320517105 |
1,870 |
75,848 |
SH |
|
DFND |
1 |
0 |
0 |
75,848 |
| TESLA INC |
COM |
88160R101 |
1,909 |
15,387 |
SH |
|
DFND |
1 |
0 |
0 |
15,387 |
| UNITED PARCEL SERVICE INC |
CL B |
911312106 |
2,061 |
11,852 |
SH |
|
DFND |
1 |
0 |
0 |
11,852 |
| VERIZON COMMUNICATIONS INC |
COM |
92343V104 |
2,078 |
52,749 |
SH |
|
DFND |
1 |
0 |
0 |
52,749 |
| DOW INC |
COM |
260557103 |
2,085 |
41,376 |
SH |
|
DFND |
1 |
0 |
0 |
41,376 |
| QUALCOMM INC |
COM |
747525103 |
2,106 |
19,107 |
SH |
|
DFND |
1,2 |
37 |
0 |
19,070 |
| SELECT SECTOR SPDR TR |
SBI CONS STPLS |
81369Y308 |
2,198 |
29,480 |
SH |
|
DFND |
1 |
0 |
0 |
29,480 |
| PFIZER INC |
COM |
717081103 |
2,311 |
45,103 |
SH |
|
DFND |
1 |
0 |
0 |
45,103 |
| CISCO SYS INC |
COM |
17275R102 |
2,412 |
50,634 |
SH |
|
DFND |
1 |
0 |
0 |
50,634 |
| MERCK & CO INC |
COM |
58933Y105 |
2,437 |
21,816 |
SH |
|
DFND |
1 |
0 |
0 |
21,816 |
| SELECT SECTOR SPDR TR |
ENERGY |
81369Y506 |
2,560 |
29,263 |
SH |
|
DFND |
1,2 |
900 |
0 |
28,363 |
| PEPSICO INC |
COM |
713448108 |
2,580 |
14,193 |
SH |
|
DFND |
1 |
0 |
0 |
14,193 |
| ISHARES TR |
NATIONAL MUN ETF |
464288414 |
2,629 |
24,910 |
SH |
|
DFND |
2 |
24,910 |
0 |
0 |
| NVIDIA CORPORATION |
COM |
67066G104 |
2,647 |
18,112 |
SH |
|
DFND |
1 |
0 |
0 |
18,112 |
| PROCTER AND GAMBLE CO |
COM |
742718109 |
2,863 |
18,889 |
SH |
|
DFND |
1 |
0 |
0 |
18,889 |
| JPMORGAN CHASE & CO |
COM |
46625H100 |
3,065 |
22,855 |
SH |
|
DFND |
1 |
0 |
0 |
22,855 |
| EXXON MOBIL CORP |
COM |
30231G102 |
3,198 |
28,990 |
SH |
|
DFND |
1 |
0 |
0 |
28,990 |
| HOME DEPOT INC |
COM |
437076102 |
3,379 |
10,697 |
SH |
|
DFND |
1 |
0 |
0 |
10,697 |
| SOUTHERN CO |
COM |
842587107 |
3,429 |
48,029 |
SH |
|
DFND |
1 |
0 |
0 |
48,029 |
| BERKSHIRE HATHAWAY INC DEL |
CL B NEW |
084670702 |
3,454 |
11,181 |
SH |
|
DFND |
1 |
0 |
0 |
11,181 |
| ABBVIE INC |
COM |
00287Y109 |
3,476 |
21,511 |
SH |
|
DFND |
1,2 |
22 |
0 |
21,489 |
| JOHNSON & JOHNSON |
COM |
478160104 |
3,540 |
20,040 |
SH |
|
DFND |
1 |
0 |
0 |
20,040 |
| SPDR INDEX SHS FDS |
S&P EM MKT DIV |
78463X533 |
3,751 |
156,272 |
SH |
|
DFND |
2 |
156,272 |
0 |
0 |
| CHEVRON CORP NEW |
COM |
166764100 |
4,427 |
24,663 |
SH |
|
DFND |
1 |
0 |
0 |
24,663 |
| ORANGE |
SPONSORED ADR |
684060106 |
5,155 |
521,779 |
SH |
|
DFND |
1,2 |
519,307 |
0 |
2,472 |
| AMETEK INC |
COM |
031100100 |
5,183 |
37,096 |
SH |
|
DFND |
1 |
0 |
0 |
37,096 |
| AMAZON COM INC |
COM |
023135106 |
5,838 |
69,210 |
SH |
|
DFND |
1 |
0 |
0 |
69,210 |
| MICROSOFT CORP |
COM |
594918104 |
6,503 |
27,102 |
SH |
|
DFND |
1 |
0 |
0 |
27,102 |
| APPLE INC |
COM |
037833100 |
13,788 |
105,977 |
SH |
|
DFND |
1 |
0 |
0 |
105,977 |
