13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-31, with 4,367 holding rows worth $337,448,794,000 by the sum of the rows.
- Accession
- 0000019617-13-000398
- Filer
- CIK 19617
- Filed
- 2013-10-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 26,127 entries on the cover page, a total value of $337,448,845,555,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $337,448,794,000 with VALUE read as thousands by filing date, 13F file number 028-00694. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $337,448,845,555,000, about 1,000 times the sum of the rows, $337,448,794,000. The filer likely wrote its cover total in dollars and its rows in thousands. This page uses the sum of the rows.
Other managers
- included managerJ.P. Morgan Trust Co of Delaware028-12125
- included managerJPMorgan Chase Bank, N.A.028-00123
- included managerJ.P. Morgan Partners, LLC028-11933
- included managerJ.P. Morgan Investment Management Inc.028-11937
- included managerJ.P. Morgan Securities LLC028-11925
- included managerJ.P. Morgan Securities plc028-12006
- included managerJPMorgan Chase Funding Inc.028-11949
- included managerJ.P. Morgan Whitefriars Inc.028-12007
- included managerJPMorgan Asset Management (UK) Ltd028-11947
- included managerBear Stearns Companies LLC028-13153
- included managerJPMorgan Asset Management (Japan) Ltd028-14958
- included managerJPMorgan Asset Management (Canada) Inc.028-14957
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 94,862 | $225,000 | thousands by filing date | |
| PHILIP MORRIS INTL INC | 718172950 | OPTION | 2,600 | $225,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 29,562 | $224,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 105,671 | $224,000 | thousands by filing date | |
| PHH CORP | 693320AN3 | CORPORATE OBLIG | 205,000 | $223,000 | thousands by filing date | principal |
| Pimco Income Oppty Fund | 72202B100 | COM | 8,100 | $223,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 2,992 | $223,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 12,784 | $223,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 10,379 | $222,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 8,447 | $222,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 8,871 | $221,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 12,818 | $221,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 12,842 | $219,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 9,928 | $218,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,959 | $218,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 18,350 | $217,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 39,108 | $216,000 | thousands by filing date | |
| NOVARTIS A G | 66987V901 | OPTION | 2,800 | $215,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 23,088 | $214,000 | thousands by filing date | |
| YUM BRANDS INC | 988498952 | OPTION | 3,000 | $214,000 | thousands by filing date | put |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 10,175 | $213,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 13,140 | $213,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 11,309 | $213,000 | thousands by filing date | |
| AMGEN INC | 031162951 | OPTION | 1,900 | $213,000 | thousands by filing date | put |
| ARCELORMITTAL SA LUXEMBOURG | 03938L906 | OPTION | 15,600 | $213,000 | thousands by filing date | call |
| PREFORMED LINE PRODS CO | 740444104 | COM | 2,955 | $212,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 88,205 | $212,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 7,114 | $212,000 | thousands by filing date | |
| DEERE & CO | 244199907 | OPTION | 2,600 | $212,000 | thousands by filing date | call |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 9,180 | $211,000 | thousands by filing date | |
| RAYONIER TRS HLDGS INC | 75508AAC0 | NOTE 4.500% 8/1 | 124,000 | $210,000 | thousands by filing date | principal |
| ANADIGICS INC | 032515108 | COM | 106,266 | $210,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 14,910 | $209,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,138 | $208,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 16,414 | $207,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 35,150 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 4,696 | $206,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 28,742 | $206,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 204,000 | $206,000 | thousands by filing date | principal |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 12,063 | $205,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 8,459 | $205,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 15,254 | $205,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 19,897 | $205,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467901 | OPTION | 5,600 | $204,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 8,736 | $203,000 | thousands by filing date | |
| KEYCORP | 493267900 | OPTION | 17,800 | $203,000 | thousands by filing date | call |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 2,030 | $202,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 95,000 | $202,000 | thousands by filing date | principal |
| ZYGO CORP | 989855101 | COM | 12,644 | $202,000 | thousands by filing date | |
| MGM MIRAGE INC | 552953952 | OPTION | 9,900 | $202,000 | thousands by filing date | put |
| DATALINK CORP | 237934104 | COMMON STOCK | 14,870 | $201,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 34,309 | $200,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 11,062 | $198,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 19,414 | $198,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 27,288 | $197,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 33,696 | $197,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 10,363 | $197,000 | thousands by filing date | |
| COACH INC | 189754906 | OPTION | 3,600 | $196,000 | thousands by filing date | call |
| JOHNSON CONTROLS, INC. | 478366958 | OPTION | 4,700 | $195,000 | thousands by filing date | put |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 10,833 | $194,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 35,460 | $194,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 185,000 | $194,000 | thousands by filing date | principal |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 52,774 | $194,000 | thousands by filing date | |
| DELL INC | 24702R903 | OPTION | 14,100 | $194,000 | thousands by filing date | call |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 14,358 | $193,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 12,666 | $193,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 148,000 | $193,000 | thousands by filing date | principal |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 30,640 | $192,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 35,753 | $191,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336909 | OPTION | 7,700 | $191,000 | thousands by filing date | call |
| BEST BUY CO INC | 086516903 | OPTION | 5,100 | $191,000 | thousands by filing date | call |
| OMNICARE INC | 681904AP3 | NOTE 3.750% 4/0 | 135,000 | $190,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 68,999 | $189,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AM9 | NOTE | 123,000 | $189,000 | thousands by filing date | principal |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 39,022 | $188,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 17,448 | $188,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 15,263 | $186,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 150,000 | $186,000 | thousands by filing date | principal |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 11,363 | $183,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 63,624 | $182,000 | thousands by filing date | |
| FIRST SOLAR INC | 336433958 | OPTION | 4,500 | $181,000 | thousands by filing date | put |
| NUCOR CORP | 670346907 | OPTION | 3,700 | $181,000 | thousands by filing date | call |
| ARCH COAL INC | 039380902 | OPTION | 43,500 | $179,000 | thousands by filing date | call |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 14,592 | $178,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 15,989 | $177,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 11,742 | $176,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 23,060 | $176,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 19,206 | $176,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 90,491 | $175,000 | thousands by filing date | |
| COSTCO WHOLESALE | 22160K907 | OPTION | 1,500 | $173,000 | thousands by filing date | call |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 12,500 | $169,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 16,872 | $169,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 118,519 | $167,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 128,009 | $166,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 26,028 | $164,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 11,069 | $164,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 57,878 | $163,000 | thousands by filing date | |
| EXELON CORP | 30161N903 | OPTION | 5,500 | $163,000 | thousands by filing date | call |
| EMERSON ELECTRIC | 291011906 | OPTION | 2,500 | $162,000 | thousands by filing date | call |
| 8X8 INC | 282914100 | COMMON STOCK | 15,941 | $160,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 23,041 | $158,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 133,226 | $158,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 11,385 | $156,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 151,000 | $156,000 | thousands by filing date | principal |
| WHITESTONE REIT | 966084204 | COM | 10,582 | $155,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 12,779 | $153,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 49,669 | $150,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 11,036 | $149,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 148,000 | $149,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 136,000 | $147,000 | thousands by filing date | |
| TJX COS INC | 872540950 | OPTION | 2,600 | $147,000 | thousands by filing date | put |
| SPRINT CORP | 85207U907 | OPTION | 23,700 | $147,000 | thousands by filing date | call |
| MERCER INTL INC | 588056101 | COM | 20,371 | $145,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 36,763 | $145,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 20,000 | $144,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 19,786 | $144,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 58,333 | $144,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 10,267 | $143,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,335 | $143,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 36,219 | $142,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 32,641 | $141,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,063 | $141,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 71,685 | $140,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 11,728 | $139,000 | thousands by filing date | |
| KEYCORP | 493267959 | OPTION | 12,100 | $138,000 | thousands by filing date | put |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 17,004 | $137,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 110,000 | $137,000 | thousands by filing date | principal |
| NABORS INDUSTRIES LTD | G6359F954 | OPTION | 8,500 | $137,000 | thousands by filing date | put |
| INCONTACT INC | 45336E109 | COM | 16,491 | $136,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 34,851 | $136,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 17,560 | $135,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 40,984 | $135,000 | thousands by filing date | |
| SYMANTEC CORP | 871503900 | OPTION | 5,400 | $134,000 | thousands by filing date | call |
| Newbridge Bancorp | 65080T102 | Com | 18,218 | $133,000 | thousands by filing date | |
| CBS CORP NEW | 124857954 | OPTION | 2,400 | $133,000 | thousands by filing date | put |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 12,332 | $131,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X904 | OPTION | 22,000 | $131,000 | thousands by filing date | call |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 20,401 | $129,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 11,527 | $129,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 169656907 | OPTION | 300 | $129,000 | thousands by filing date | call |
| TARGACEPT INC | 87611R306 | COM | 23,992 | $128,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 16,205 | $128,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 15,968 | $127,000 | thousands by filing date | |
| THOMAS PPTYS GROUP INC | 884453101 | COM | 18,857 | $127,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 13,755 | $126,000 | thousands by filing date | |
| NETFLIX INC | 64110L908 | OPTION | 400 | $124,000 | thousands by filing date | call |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 16,887 | $122,000 | thousands by filing date | |
| RED HAT | 756577904 | OPTION | 2,600 | $120,000 | thousands by filing date | call |
| REALD INC | 75604L105 | COMMON STOCK | 16,975 | $119,000 | thousands by filing date | |
| COLDWATER CREEK INC | 193068202 | COM | 69,368 | $119,000 | thousands by filing date | |
| EXELON CORP | 30161N952 | OPTION | 4,000 | $119,000 | thousands by filing date | put |
| IMMUNOMEDICS INC | 452907108 | COM | 19,071 | $118,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 19,830 | $117,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604907 | OPTION | 5,600 | $117,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336958 | OPTION | 4,700 | $116,000 | thousands by filing date | put |
| JDS UNIPHASE CORP | 46612J952 | OPTION | 7,800 | $115,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIE | 00971T952 | OPTION | 2,200 | $114,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 54,881 | $113,000 | thousands by filing date | |
| WEATHERFORD INTERNATIONAL LTD | H27013905 | OPTION | 7,400 | $113,000 | thousands by filing date | call |
| JUNIPER NETWORKS | 48203R906 | OPTION | 5,700 | $113,000 | thousands by filing date | call |
| ABBOTT LABS | 002824951 | OPTION | 3,400 | $113,000 | thousands by filing date | put |
| WABASH NATL CORP | 929566AH0 | CNV | 86,000 | $112,000 | thousands by filing date | principal |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 56,251 | $111,000 | thousands by filing date | |
| MONDELEZ INTL INC | 609207956 | OPTION | 3,500 | $110,000 | thousands by filing date | put |
| AH RLTY TR INC | 04208T108 | COM | 10,997 | $109,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 20,885 | $109,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 63,741 | $108,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 15,067 | $107,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 20,618 | $106,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 11,200 | $105,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 17,279 | $105,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 53,051 | $105,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 12,610 | $104,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 14,021 | $104,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 15,342 | $103,000 | thousands by filing date | |
| GSE HOLDING INC | 36191X100 | COM | 49,571 | $103,000 | thousands by filing date | |
| MPG OFFICE TR INC | 553274101 | COM | 33,019 | $103,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 31,346 | $101,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 24,659 | $100,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 18,873 | $99,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 15,335 | $99,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376951 | OPTION | 1,400 | $99,000 | thousands by filing date | put |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 14,857 | $98,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 21,623 | $98,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 56,723 | $98,000 | thousands by filing date | |
| PRIMUS TELECOMMUNICATIONS GR | 741929301 | COM | 28,645 | $97,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549955 | OPTION | 5,600 | $97,000 | thousands by filing date | put |
| PARKERVISION INC | 701354102 | COM | 28,320 | $95,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350908 | OPTION | 1,600 | $95,000 | thousands by filing date | call |
| POZEN INC | 73941U102 | COMMON STOCK | 16,346 | $94,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 29,655 | $94,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 35,965 | $94,000 | thousands by filing date | |
| WHOLE FOODS MARKET | 966837908 | OPTION | 1,600 | $94,000 | thousands by filing date | call |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 33,500 | $93,000 | thousands by filing date | |
| ANADARKO PETE CORP | 032511909 | OPTION | 1,000 | $93,000 | thousands by filing date | call |
| DEPOMED INC | 249908104 | COM | 12,245 | $92,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 30,565 | $92,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 54,039 | $91,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 12,946 | $90,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F905 | OPTION | 5,600 | $90,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 17,030 | $89,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246906 | OPTION | 5,400 | $89,000 | thousands by filing date | call |
| EDGIO INC | 53261M104 | COM | 45,853 | $88,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 42,176 | $88,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 26,022 | $87,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 11,771 | $87,000 | thousands by filing date | |
| AFLAC INC | 001055904 | OPTION | 1,400 | $87,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 11,364 | $84,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,774 | $84,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 209,876 | $84,000 | thousands by filing date | |
| GROUPON INC | 399473909 | OPTION | 7,400 | $83,000 | thousands by filing date | call |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 11,613 | $82,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 11,082 | $82,000 | thousands by filing date | |
| ARCHER DANIELS MID | 039483953 | OPTION | 2,200 | $81,000 | thousands by filing date | put |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 36,762 | $78,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071952 | OPTION | 1,000 | $78,000 | thousands by filing date | put |
| WASTE MANAGEMENT | 94106L901 | OPTION | 1,900 | $78,000 | thousands by filing date | call |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 65,981 | $77,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604956 | OPTION | 3,700 | $77,000 | thousands by filing date | put |
| ARBOR REALTY TRUST INC | 038923108 | COM | 11,281 | $76,000 | thousands by filing date | |
| XEROX CORP | 984121905 | OPTION | 7,400 | $76,000 | thousands by filing date | call |
| UR-ENERGY INC | 91688R108 | COM | 63,891 | $74,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 13,780 | $74,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589950 | OPTION | 2,400 | $74,000 | thousands by filing date | put |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 11,508 | $73,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 34,571 | $72,000 | thousands by filing date | |
| PETROL BRASILEIROS | 71654V952 | OPTION | 4,300 | $72,000 | thousands by filing date | put |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 69,960 | $71,000 | thousands by filing date | |
| SPRINT CORP | 85207U956 | OPTION | 11,200 | $70,000 | thousands by filing date | put |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 30,584 | $68,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 24,558 | $68,000 | thousands by filing date | |
| KB HOME | 48666K901 | OPTION | 3,700 | $67,000 | thousands by filing date | call |
| PRIMERO MNG CORP | 74164W106 | COM | 12,100 | $66,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 34,820 | $66,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 23,955 | $65,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 28,268 | $65,000 | thousands by filing date | |
| LEUCADIA NATIONAL CORP | 527288AX2 | NOTE 3.750% | 50,000 | $65,000 | thousands by filing date | principal |
| HORIZON PHARMA INC | 44047T109 | COM | 19,025 | $64,000 | thousands by filing date | |
| NVIDIA CORP | 67066G955 | OPTION | 4,100 | $64,000 | thousands by filing date | put |
| NORDSTROM INC | 655664902 | OPTION | 1,100 | $62,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956904 | OPTION | 2,400 | $62,000 | thousands by filing date | call |
| VICAL INC | 925602104 | COM | 48,023 | $60,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 13,295 | $60,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 26,303 | $60,000 | thousands by filing date | |
| ANGLOGOLD ASHANTI LTD | 035128909 | OPTION | 4,500 | $60,000 | thousands by filing date | call |
| D R HORTON INC | 23331A901 | OPTION | 3,100 | $60,000 | thousands by filing date | call |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 19,118 | $58,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 18,716 | $57,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P901 | OPTION | 1,700 | $57,000 | thousands by filing date | call |
| REGIONS FINL CORP NEW | 7591EP902 | OPTION | 6,100 | $56,000 | thousands by filing date | call |
| JOY GLOBAL INC | 481165900 | OPTION | 1,100 | $56,000 | thousands by filing date | call |
| APPLIED MATERIALS | 038222956 | OPTION | 3,200 | $56,000 | thousands by filing date | put |
| SIRIUS XM RADIO INC | 82967N900 | OPTION | 14,100 | $55,000 | thousands by filing date | call |
| Enzo Biochem Inc | 294100102 | Common Stock | 21,476 | $54,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 32,382 | $54,000 | thousands by filing date | |
| APPLIED MATERIALS | 038222907 | OPTION | 3,000 | $53,000 | thousands by filing date | call |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 17,094 | $52,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 17,240 | $52,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 74,000 | $51,000 | thousands by filing date | principal |
| ONCOTHYREON INC | 682324108 | COM | 24,866 | $51,000 | thousands by filing date | |
| HARLEY DAVIDSON | 412822959 | OPTION | 800 | $51,000 | thousands by filing date | put |
| INTEROIL CORP | 460951957 | OPTION | 700 | $50,000 | thousands by filing date | put |
| MIMEDX GROUP INC | 602496101 | COM | 11,738 | $49,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 18,443 | $49,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 59,981 | $49,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,333 | $47,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 16,058 | $47,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 12,416 | $47,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 25,551 | $47,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 13,546 | $47,000 | thousands by filing date | |
| MARVELL TECH GROUP | G5876H907 | OPTION | 4,100 | $47,000 | thousands by filing date | call |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 28,732 | $46,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 75,595 | $46,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 35,133 | $45,000 | thousands by filing date | |
| GARMIN LTD | H2906T901 | OPTION | 1,000 | $45,000 | thousands by filing date | call |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 39,000 | $44,000 | thousands by filing date | principal |
| BAKER HUGHES INC | 057224909 | OPTION | 900 | $44,000 | thousands by filing date | call |
| TOWERSTREAM CORP | 892000100 | COM | 15,335 | $43,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 534,978 | $43,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 17,282 | $42,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 10,892 | $41,000 | thousands by filing date | |
| TIVO INC | 888706900 | OPTION | 3,300 | $41,000 | thousands by filing date | call |
| WASTE MANAGEMENT | 94106L950 | OPTION | 1,000 | $41,000 | thousands by filing date | put |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 40,000 | $39,000 | thousands by filing date | principal |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 12,818 | $38,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 11,811 | $38,000 | thousands by filing date | |
| COACH INC | 189754955 | OPTION | 700 | $38,000 | thousands by filing date | put |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 28,890 | $37,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021901 | OPTION | 500 | $37,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 14,689 | $34,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES S | 74343G303 | ADR CL B CONV | 18,100 | $34,000 | thousands by filing date | |
| TEVA PHARMA IND | 881624902 | OPTION | 900 | $34,000 | thousands by filing date | call |
| THERAPEUTICSMD INC | 88338N107 | COM | 10,850 | $32,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 18,126 | $32,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 13,505 | $31,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 13,270 | $30,000 | thousands by filing date | |
| GLAXOSMITHKLINE | 37733W907 | OPTION | 600 | $30,000 | thousands by filing date | call |
| AK STEEL HOLDING C | 001547900 | OPTION | 8,100 | $30,000 | thousands by filing date | call |
| INTEROIL CORP | 460951908 | OPTION | 400 | $29,000 | thousands by filing date | call |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 10,141 | $28,000 | thousands by filing date | |
| ARCH COAL INC | 039380951 | OPTION | 6,700 | $28,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 11,882 | $27,000 | thousands by filing date | |
| HECLA MINING CO | 422704908 | OPTION | 8,700 | $27,000 | thousands by filing date | call |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 18,880 | $26,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 25,000 | $25,000 | thousands by filing date | principal |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 15,729 | $25,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 13,728 | $25,000 | thousands by filing date | |
| CLOROX CO DEL | 189054901 | OPTION | 300 | $25,000 | thousands by filing date | call |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 21,000 | $24,000 | thousands by filing date | principal |
| L+L ENERGY INC | 50162D100 | COM | 19,227 | $24,000 | thousands by filing date | |
| SIEMENS A G | 826197956 | OPTION | 200 | $24,000 | thousands by filing date | put |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 17,000 | $22,000 | thousands by filing date | principal |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 22,140 | $21,000 | thousands by filing date | |
| GROUPON INC | 399473958 | OPTION | 1,800 | $20,000 | thousands by filing date | put |
| ARRIS GROUP INC 2.000 | 04269QAC4 | NOTE | 18,000 | $19,000 | thousands by filing date | principal |
| TJX COS INC | 872540901 | OPTION | 300 | $17,000 | thousands by filing date | call |
| ZAZA ENERGY CORP | 98919T100 | COM | 13,654 | $16,000 | thousands by filing date | |
| NORFOLK STHN CORP | 655844900 | OPTION | 200 | $15,000 | thousands by filing date | call |
| DRYSHIPS INC | Y2109Q903 | OPTION | 4,100 | $15,000 | thousands by filing date | call |
| ALLSTATE CORP | 020002952 | OPTION | 300 | $15,000 | thousands by filing date | put |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,138 | $14,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 11,000 | $13,000 | thousands by filing date | principal |
| REGIONS FINL CORP NEW | 7591EP951 | OPTION | 1,400 | $13,000 | thousands by filing date | put |
| KINROSS GOLD CORP | 496902909 | OPTION | 2,600 | $13,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 13,000 | $12,000 | thousands by filing date | principal |
| STAPLES INC | 855030904 | OPTION | 800 | $12,000 | thousands by filing date | call |
| TOTAL S A | 89151E950 | OPTION | 200 | $12,000 | thousands by filing date | put |
| SIEMENS A G | 826197907 | OPTION | 100 | $12,000 | thousands by filing date | call |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 18,477 | $11,000 | thousands by filing date | |
| AGNICO EAGLE MINES | 008474900 | OPTION | 400 | $11,000 | thousands by filing date | call |
| EXPEDIA INC DEL | 30212P907 | OPTION | 200 | $10,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807900 | OPTION | 200 | $10,000 | thousands by filing date | call |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 19,000 | $9,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020Y902 | OPTION | 500 | $9,000 | thousands by filing date | call |
| BOSTON SCIENTIFIC | 101137909 | OPTION | 800 | $9,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311909 | OPTION | 100 | $8,000 | thousands by filing date | call |
| CROWN CASTLE INTL CORP | 228227955 | OPTION | 100 | $7,000 | thousands by filing date | put |
| VALERO ENERGY(NEW) | 91913Y951 | OPTION | 200 | $7,000 | thousands by filing date | put |
| ALCATEL-LUCENT | 013904909 | OPTION | 1,900 | $7,000 | thousands by filing date | call |
| ARENA PHARMACEUTIC | 040047904 | OPTION | 1,300 | $7,000 | thousands by filing date | call |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 10,068 | $6,000 | thousands by filing date | |
| KELLOGG CO | 487836959 | OPTION | 100 | $6,000 | thousands by filing date | put |
| JDS UNIPHASE CORP | 46612J903 | OPTION | 400 | $6,000 | thousands by filing date | call |
| HARLEY DAVIDSON | 412822900 | OPTION | 100 | $6,000 | thousands by filing date | call |
| COMPUTER SCIENCES | 205363955 | OPTION | 100 | $5,000 | thousands by filing date | put |
| SANDRIDGE ENERGY INC | 80007P950 | OPTION | 800 | $5,000 | thousands by filing date | put |
| GLAXOSMITHKLINE | 37733W956 | OPTION | 100 | $5,000 | thousands by filing date | put |
| ALLSTATE CORP | 020002903 | OPTION | 100 | $5,000 | thousands by filing date | call |
| BOSTON SCIENTIFIC | 101137958 | OPTION | 400 | $5,000 | thousands by filing date | put |
| FRONTIER COMMUNICATIONS CORP | 35906A900 | OPTION | 1,300 | $5,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y902 | OPTION | 400 | $4,000 | thousands by filing date | call |
| ARENA PHARMACEUTIC | 040047953 | OPTION | 700 | $4,000 | thousands by filing date | put |
| ALCATEL-LUCENT | 013904958 | OPTION | 800 | $3,000 | thousands by filing date | put |
| CSX CORP | 126408905 | OPTION | 100 | $3,000 | thousands by filing date | call |
| ENCANA CORP | 292505955 | OPTION | 200 | $3,000 | thousands by filing date | put |
| RIVERBED TECHNOLOGY INC | 768573909 | OPTION | 200 | $3,000 | thousands by filing date | call |
| OMNIVISION TECHNOL | 682128905 | OPTION | 200 | $3,000 | thousands by filing date | call |
| OMNIVISION TECHNOL | 682128954 | OPTION | 200 | $3,000 | thousands by filing date | put |
| DONNELLEY(R.R) & S | 257867952 | OPTION | 100 | $2,000 | thousands by filing date | put |
| SANDRIDGE ENERGY INC | 80007P901 | OPTION | 400 | $2,000 | thousands by filing date | call |
| AVON PRODUCTS INC | 054303904 | OPTION | 100 | $2,000 | thousands by filing date | call |
| OWENS CORNING WARRANT | 690742127 | COMMON | 25,973 | $1,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438905 | OPTION | 200 | $1,000 | thousands by filing date | call |
| SIERRA BANCORP | 82655M909 | OPTION | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FRONTIER COMMUNICATIONS CORP | 35906A959 | OPTION | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| STEALTHGAS INC | Y8564M907 | OPTION | 2 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NEWS CORP NEW | 65249B901 | OPTION | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-13-000398 | this filing | 2013-10-31 | acceptance time not in the bulk data set |