13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 6,544 holding rows worth $270,832,139,000.
- Accession
- 0000769993-13-000515
- Filer
- CIK 886982
- Filed
- 2013-11-14
- 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, 10,366 entries on the cover page, a total value of $270,832,139,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $270,832,139,000 with VALUE read as thousands by filing date, 13F file number 028-04981. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGOLDMAN SACHS & CO028-00687
- included managerGOLDMAN SACHS ASSET MANAGEMENT, L.P.028-10981
- included managerGOLDMAN SACHS INTERNATIONAL028-05109
- included managerGOLDMAN SACHS BANK AG028-05111
- included managerAYCO CO L P028-06738
- included managerGoldman Sachs Trust Company, N.A.028-12021
- included managerGoldman Sachs Financial Markets, L.P.028-14253
- included managerJ. ARON & Co028-14259
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 |
|---|---|---|---|---|---|---|
| ENERGIZER HLDGS INC | 29266R108 | COM | 1,700 | $155,000 | thousands by filing date | call |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 119,864 | $155,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 47,330 | $155,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 10,400 | $154,000 | thousands by filing date | call |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 7,800 | $153,000 | thousands by filing date | put |
| B & G FOODS INC | 05508R106 | COM | 4,400 | $152,000 | thousands by filing date | call |
| CHAMPION HOMES INC | 830830105 | COM | 30,685 | $152,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 48,872 | $152,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 14,535 | $152,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 180,413 | $152,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 46,184 | $152,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 147,000 | $152,000 | thousands by filing date | principal |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 18,300 | $151,000 | thousands by filing date | put |
| IMAX CORP | 45245E109 | COM | 5,000 | $151,000 | thousands by filing date | call |
| URS CORP NEW | 903236107 | COM | 2,800 | $151,000 | thousands by filing date | call |
| NYSE EURONEXT | 629491101 | COM | 3,600 | $151,000 | thousands by filing date | call |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 32,470 | $151,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 8,400 | $150,000 | thousands by filing date | call |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 16,528 | $150,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,828 | $149,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 3,400 | $149,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 10,000 | $149,000 | thousands by filing date | put |
| ASTA FUNDING INC | 046220109 | COM | 16,760 | $149,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 115,000 | $149,000 | thousands by filing date | principal |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 64,000 | $148,000 | thousands by filing date | call |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 26,075 | $148,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 12,888 | $148,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,000 | $147,000 | thousands by filing date | call |
| INPHI CORP | 45772F107 | COM | 10,963 | $147,000 | thousands by filing date | |
| E*TRADE FINANCIAL | 269246AZ7 | CONV BND | 92,000 | $147,000 | thousands by filing date | principal |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 61,368 | $147,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 4,900 | $146,000 | thousands by filing date | call |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 11,347 | $146,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 17,850 | $145,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 7,397 | $145,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 37,028 | $145,000 | thousands by filing date | |
| INSULET CORP | 45784PAC5 | CNV | 100,000 | $145,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A640 | COM | 10,218 | $145,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 5,300 | $144,000 | thousands by filing date | put |
| GSI GROUP INC | 36191C205 | COM | 15,093 | $144,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 37,906 | $144,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 8,389 | $143,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 13,200 | $143,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 5,900 | $143,000 | thousands by filing date | call |
| BAZAARVOICE INC | 073271108 | COM | 15,762 | $143,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 13,166 | $143,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 21,582 | $143,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 5,100 | $142,000 | thousands by filing date | put |
| WORLD KINECT CORPORATION | 981475106 | COM | 3,800 | $142,000 | thousands by filing date | call |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 15,646 | $142,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 23,315 | $142,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 22,869 | $142,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 2,700 | $140,000 | thousands by filing date | put |
| AGENUS INC | 00847G705 | COM NEW | 50,666 | $140,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 6,300 | $140,000 | thousands by filing date | call |
| NOVA LTD COM | M7516K103 | Stock | 15,652 | $139,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 15,406 | $139,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 56,569 | $139,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 2,100 | $139,000 | thousands by filing date | put |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 18,144 | $139,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 10,331 | $138,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 7,072 | $138,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 69,261 | $137,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 12,300 | $135,000 | thousands by filing date | put |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 3,400 | $135,000 | thousands by filing date | put |
| Accelerate Diagnostics | 00430H102 | COM | 10,092 | $135,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 11,437 | $135,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 10,692 | $135,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 8,150 | $134,000 | thousands by filing date | call |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 24,844 | $134,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 24,900 | $134,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 2,100 | $132,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 59,353 | $131,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 14,408 | $131,000 | thousands by filing date | |
| OFFICIAL PMTS HLDGS INC | 67623R106 | COM | 15,721 | $131,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 2,800 | $130,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 11,200 | $130,000 | thousands by filing date | put |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,900 | $130,000 | thousands by filing date | put |
| PARKERVISION INC | 701354102 | COM | 38,904 | $130,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 9,300 | $129,000 | thousands by filing date | put |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 16,660 | $128,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 1,800 | $128,000 | thousands by filing date | call |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 11,600 | $127,000 | thousands by filing date | call |
| ADVANTEST CORP. | 00762U200 | Common stock | 10,871 | $127,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 30,865 | $127,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 10,483 | $126,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 7,675 | $126,000 | thousands by filing date | put |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,600 | $126,000 | thousands by filing date | put |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 10,475 | $126,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,700 | $126,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 4,000 | $124,000 | thousands by filing date | call |
| XYRATEX LTD | G98268108 | COM | 11,180 | $124,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 122,055 | $124,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 46,676 | $124,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 10,010 | $124,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 26,620 | $122,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 59,434 | $122,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 49,411 | $122,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,100 | $121,000 | thousands by filing date | put |
| TECO ENERGY INC | 872375100 | COM | 7,300 | $121,000 | thousands by filing date | call |
| EXELIS INC | 30162A108 | COM | 7,700 | $121,000 | thousands by filing date | call |
| GENTEX CORP COM | 371901109 | Stock | 4,700 | $120,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 382,296 | $120,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 10,400 | $120,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 9,000 | $120,000 | thousands by filing date | put |
| METALICO INC | 591176102 | COM | 84,759 | $119,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 144,807 | $119,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 1,600 | $118,000 | thousands by filing date | call |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 49,379 | $118,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 83,000 | $118,000 | thousands by filing date | principal |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 25,324 | $117,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 8,100 | $117,000 | thousands by filing date | put |
| CALPINE CORP | 131347304 | COM | 6,000 | $117,000 | thousands by filing date | put |
| JUST ENERGY GROUP INC | 48213W101 | COM | 18,400 | $117,000 | thousands by filing date | put |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 95,000 | $117,000 | thousands by filing date | principal |
| Gulfport Energy | 402635304 | COM | 1,800 | $116,000 | thousands by filing date | put |
| HEARTWARE INTERNATIONAL | 422368AA8 | NOTE | 105,000 | $116,000 | thousands by filing date | principal |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 44,874 | $115,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 30,307 | $115,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 15,352 | $115,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 5,000 | $113,000 | thousands by filing date | put |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 99,000 | $113,000 | thousands by filing date | principal |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 30,880 | $113,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 11,462 | $112,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 185,274 | $112,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 3,700 | $111,000 | thousands by filing date | put |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 900 | $111,000 | thousands by filing date | call |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 22,340 | $111,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 483,000 | $111,000 | thousands by filing date | principal |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 15,900 | $110,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 39,707 | $110,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 11,818 | $110,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 10,894 | $109,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 13,900 | $108,000 | thousands by filing date | put |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 2,500 | $107,000 | thousands by filing date | call |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 58,906 | $107,000 | thousands by filing date | |
| NUPATHE INC | 67059M100 | COM | 44,244 | $107,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 3,400 | $106,000 | thousands by filing date | put |
| Anglogold Ashanti Plc | 035128206 | Common | 8,000 | $106,000 | thousands by filing date | put |
| ENGILITY HLDGS INC | 29285W104 | COM | 3,344 | $106,000 | thousands by filing date | put |
| BLUE NILE INC | 09578R103 | COM | 2,600 | $106,000 | thousands by filing date | call |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 50,990 | $106,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 6,200 | $105,000 | thousands by filing date | call |
| 51JOB INC | 316827104 | SPONSORED ADS | 1,432 | $103,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 55,000 | $103,000 | thousands by filing date | principal |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 1,100 | $103,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 44,100 | $102,000 | thousands by filing date | call |
| iShares Gold Trust | 464285105 | ISHARES | 7,900 | $102,000 | thousands by filing date | call |
| CAREER EDUCATION CORP | 141665109 | COM | 37,200 | $102,000 | thousands by filing date | put |
| IPASS INC | 46261V108 | COM | 50,375 | $101,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 457,742 | $101,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 4,400 | $100,000 | thousands by filing date | call |
| DIODES INC COM | 254543101 | Stock | 4,100 | $100,000 | thousands by filing date | call |
| IMAX CORP | 45245E109 | COM | 3,300 | $100,000 | thousands by filing date | put |
| GEO GROUP INC | 36159R103 | COMMON STOCK | 3,000 | $100,000 | thousands by filing date | put |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 17,000 | $100,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 4,000 | $100,000 | thousands by filing date | put |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 84,912 | $100,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 12,994 | $100,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 17,746 | $99,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 8,700 | $98,000 | thousands by filing date | put |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 20,423 | $98,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 50,600 | $98,000 | thousands by filing date | call |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,901 | $97,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 4,100 | $97,000 | thousands by filing date | call |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 7,347 | $97,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 6,900 | $96,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 4,900 | $96,000 | thousands by filing date | call |
| ARRIS GROUP INC | 04270V106 | COM | 5,600 | $95,000 | thousands by filing date | put |
| MICRON TECHNOLOGY INC | 595112AH6 | NOTE | 75,000 | $95,000 | thousands by filing date | principal |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 16,467 | $94,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 900 | $94,000 | thousands by filing date | call |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 44,384 | $94,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 19,561 | $94,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 48,419 | $94,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 11,876 | $94,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 3,700 | $93,000 | thousands by filing date | call |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 13,015 | $92,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 6,600 | $92,000 | thousands by filing date | call |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 24,539 | $92,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 14,311 | $92,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 3,400 | $91,000 | thousands by filing date | put |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 26,274 | $90,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 12,225 | $90,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 28,898 | $90,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 3,000 | $89,000 | thousands by filing date | call |
| UAL CORP | 902549AJ3 | NOTE 6.000%10/1 | 25,000 | $89,000 | thousands by filing date | principal |
| NANOSPHERE INC | 63009F105 | COM | 44,376 | $89,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 9,600 | $88,000 | thousands by filing date | put |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,683 | $88,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 43,906 | $88,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 25,594 | $88,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 91,758 | $87,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 28,970 | $87,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 86,000 | $87,000 | thousands by filing date | principal |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 2,800 | $86,000 | thousands by filing date | call |
| WORLD KINECT CORPORATION | 981475106 | COM | 2,300 | $86,000 | thousands by filing date | put |
| JUST ENERGY GROUP INC | 48213W101 | COM | 13,500 | $86,000 | thousands by filing date | call |
| CON-WAY INC | 205944101 | COM | 2,000 | $86,000 | thousands by filing date | call |
| MILLER ENERGY RES INC | 600527105 | COM | 11,802 | $86,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 11,667 | $86,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 42,537 | $86,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 25,000 | $85,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 5,200 | $84,000 | thousands by filing date | put |
| SYNOPSYS INC COM | 871607107 | Stock | 2,200 | $83,000 | thousands by filing date | put |
| TERADATA CORP DEL | 88076W103 | COM | 1,500 | $83,000 | thousands by filing date | call |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,107 | $83,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 26,033 | $83,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 70,000 | $83,000 | thousands by filing date | principal |
| TRUETT-HURST INC THST | 897871109 | COMMON | 15,158 | $83,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 22,200 | $82,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 92,000 | $82,000 | thousands by filing date | principal |
| GENUINE PARTS CO COM | 372460105 | Stock | 1,000 | $81,000 | thousands by filing date | put |
| BIOAMBER INC | 09072Q106 | COM | 16,500 | $81,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 10,583 | $80,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 18,418 | $80,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 26,178 | $80,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 3,000 | $79,000 | thousands by filing date | put |
| HILLSHIRE BRANDS CO | 432589109 | COM | 2,560 | $79,000 | thousands by filing date | put |
| LANDSTAR SYS INC COM | 515098101 | Stock | 1,400 | $78,000 | thousands by filing date | put |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 63,000 | $78,000 | thousands by filing date | principal |
| CINEDIGM DIGITAL CINEMA - A | 172407108 | COM | 52,172 | $78,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 33,000 | $77,000 | thousands by filing date | put |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 12,335 | $77,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 2,000 | $76,000 | thousands by filing date | call |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 25,342 | $76,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 2,000 | $75,000 | thousands by filing date | put |
| NET ELEMENT INTL INC | 64111R102 | CMN | 16,399 | $75,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,700 | $74,000 | thousands by filing date | put |
| DESTINATION XL GROUP INC | 25065K104 | COM | 11,429 | $74,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 4,900 | $74,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 19,545 | $74,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 15,291 | $74,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 21,600 | $73,000 | thousands by filing date | put |
| COTY INC | 222070203 | COM CL A | 4,500 | $73,000 | thousands by filing date | call |
| AWARE INC MASS | 05453N100 | CMN | 13,444 | $73,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 77,000 | $73,000 | thousands by filing date | principal |
| GENTEX CORP COM | 371901109 | Stock | 2,800 | $72,000 | thousands by filing date | call |
| MICRON TECHNOLOGY INC | 595112AQ6 | NOTE 1.500% 8/0 | 39,000 | $72,000 | thousands by filing date | principal |
| NEONODE INC | 64051M402 | COM NEW | 11,258 | $72,000 | thousands by filing date | |
| BIOFUEL ENERGY CORP | 09064Y307 | COM | 19,661 | $72,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 15,814 | $71,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 1,800 | $71,000 | thousands by filing date | call |
| MODEL N INC | 607525102 | COM | 7,165 | $71,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 49,588 | $71,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 17,208 | $71,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 1,600 | $70,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 23,300 | $70,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 6,229 | $70,000 | thousands by filing date | |
| PVF CAPITAL CORP | 693654105 | COM | 17,027 | $70,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 1,950 | $69,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 87,529 | $69,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 29,500 | $68,000 | thousands by filing date | put |
| DIGITAL RIV INC | 25388B104 | COM | 3,800 | $68,000 | thousands by filing date | put |
| JAMBA INC | 47023A309 | COM NEW | 5,100 | $68,000 | thousands by filing date | call |
| NASDAQ INC COM | 631103108 | Stock | 2,100 | $67,000 | thousands by filing date | call |
| MOSYS INC COM | 619718109 | COM | 17,931 | $67,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 10,868 | $67,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 35,360 | $67,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 5,800 | $66,000 | thousands by filing date | put |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 28,695 | $65,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 19,064 | $64,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 2,100 | $63,000 | thousands by filing date | put |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 300 | $63,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 16,980 | $63,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 11,925 | $63,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 1,500 | $62,000 | thousands by filing date | put |
| ANADIGICS INC | 032515108 | COM | 31,345 | $62,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 10,972 | $61,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,100 | $61,000 | thousands by filing date | put |
| ROCKET COMPANIES CLA A CLASS A | 772739207 | COM | 600 | $61,000 | thousands by filing date | call |
| NOVACOPPER INC | 66988K102 | COM | 32,023 | $61,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 2,700 | $60,000 | thousands by filing date | call |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 55,000 | $60,000 | thousands by filing date | principal |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 2,500 | $60,000 | thousands by filing date | put |
| PMC-SIERRA INC | 69344F106 | COM | 8,900 | $59,000 | thousands by filing date | call |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 2,400 | $58,000 | thousands by filing date | call |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 35,962 | $58,000 | thousands by filing date | |
| MASTEC INC | 576323AL3 | NOTE 4.000% 6/1 | 30,000 | $58,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 12,882 | $58,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 1,000 | $57,000 | thousands by filing date | put |
| MERGE HEALTHCARE INC | 589499102 | COM | 21,819 | $57,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 17,043 | $57,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 2,500 | $56,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 900 | $56,000 | thousands by filing date | call |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 10,601 | $56,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 2,100 | $56,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 23,500 | $55,000 | thousands by filing date | call |
| EXELIS INC | 30162A108 | COM | 3,500 | $55,000 | thousands by filing date | put |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 10,689 | $55,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 6,700 | $54,000 | thousands by filing date | call |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 47,000 | $54,000 | thousands by filing date | principal |
| GENCORP INC | 368682AN0 | SDCV | 30,000 | $54,000 | thousands by filing date | principal |
| TRIMBLE INC COM | 896239100 | Stock | 1,800 | $53,000 | thousands by filing date | put |
| AMERISERV FINL INC | 03074A102 | COM | 16,942 | $53,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 20,403 | $53,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 700 | $52,000 | thousands by filing date | call |
| REALTY INCOME CORP COM | 756109104 | REIT | 1,300 | $52,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 10,042 | $52,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 1,500 | $52,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 3,200 | $52,000 | thousands by filing date | put |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 700 | $52,000 | thousands by filing date | call |
| FLOWERS FOODS INC COM | 343498101 | Stock | 2,400 | $51,000 | thousands by filing date | put |
| GENERAC HLDGS INC | 368736104 | COM | 1,200 | $51,000 | thousands by filing date | put |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 20,107 | $51,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 51,000 | $51,000 | thousands by filing date | principal |
| PDL BIOPHARMA INC | 69329Y104 | COM | 6,300 | $50,000 | thousands by filing date | put |
| PMC-SIERRA INC | 69344F106 | COM | 7,600 | $50,000 | thousands by filing date | put |
| CAREER EDUCATION CORP | 141665109 | COM | 18,100 | $50,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 3,000 | $49,000 | thousands by filing date | put |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 1,500 | $49,000 | thousands by filing date | put |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 22,000 | $49,000 | thousands by filing date | principal |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 12,161 | $49,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 1,200 | $48,000 | thousands by filing date | call |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 3,800 | $48,000 | thousands by filing date | call |
| KIOR INC - CL A | 497217109 | CL A | 17,070 | $48,000 | thousands by filing date | |
| AFFORDABLE RESIDENTIAL CMNTY | 00828UAB9 | BOND | 35,000 | $48,000 | thousands by filing date | principal |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 12,909 | $48,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 5,129 | $47,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 9,075 | $47,000 | thousands by filing date | call |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 40,000 | $47,000 | thousands by filing date | principal |
| THOR INDS INC | 885160101 | COM | 800 | $46,000 | thousands by filing date | call |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 14,990 | $46,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 1,800 | $45,000 | thousands by filing date | put |
| MIMEDX GROUP INC | 602496101 | COM | 10,823 | $45,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 1,600 | $45,000 | thousands by filing date | call |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 12,233 | $45,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 33,675 | $45,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 19,700 | $45,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R100 | COM | 61,072 | $45,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 34,429 | $45,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 400 | $44,000 | thousands by filing date | call |
| Concho Resources Inc. | 20605P101 | COM | 400 | $44,000 | thousands by filing date | call |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 10,000 | $43,000 | thousands by filing date | call |
| GENERAC HLDGS INC | 368736104 | COM | 1,000 | $43,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,600 | $43,000 | thousands by filing date | call |
| INNERWORKINGS INC | 45773Y105 | COM | 4,400 | $43,000 | thousands by filing date | call |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 28,000 | $43,000 | thousands by filing date | principal |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 11,103 | $43,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 15,356 | $43,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 200 | $42,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 200 | $42,000 | thousands by filing date | call |
| HARRIS CORP INC | 413875105 | COM | 700 | $42,000 | thousands by filing date | put |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 1,400 | $42,000 | thousands by filing date | call |
| BIG LOTS INC | 089302103 | COM | 1,100 | $41,000 | thousands by filing date | call |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 1,700 | $41,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 24,881 | $41,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 15,468 | $41,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 7,300 | $41,000 | thousands by filing date | call |
| ROCKWELL MED INC | 774374102 | COM | 3,601 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 1,500 | $40,000 | thousands by filing date | call |
| Broadcom Inc | Y0486S104 | Common | 900 | $39,000 | thousands by filing date | call |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 22,528 | $39,000 | thousands by filing date | |
| PRIMUS TELECOMMUNICATIONS GR | 741929301 | COM | 11,609 | $39,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 1,000 | $38,000 | thousands by filing date | call |
| WESCO INTL INC COM | 95082P105 | Stock | 500 | $38,000 | thousands by filing date | call |
| SAP SE SPON ADR | 803054204 | ADR | 500 | $37,000 | thousands by filing date | put |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 3,900 | $37,000 | thousands by filing date | put |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 8,700 | $37,000 | thousands by filing date | put |
| INNERWORKINGS INC | 45773Y105 | COM | 3,800 | $37,000 | thousands by filing date | put |
| DRESSER-RAND GROUP INC | 261608103 | COM | 600 | $37,000 | thousands by filing date | put |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 6,000 | $37,000 | thousands by filing date | call |
| MONSTER WORLDWIDE INC | 611742107 | COM | 7,900 | $35,000 | thousands by filing date | put |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 17,300 | $34,000 | thousands by filing date | put |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 300 | $33,000 | thousands by filing date | put |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 71,000 | $33,000 | thousands by filing date | principal |
| DOT HILL SYS CORP | 25848T109 | COM | 15,644 | $33,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 30,616 | $33,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 18,136 | $33,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 12,400 | $33,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 1,500 | $32,000 | thousands by filing date | call |
| CHEMOCENTRYX INC | 16383L106 | COM | 5,800 | $32,000 | thousands by filing date | put |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 1,200 | $32,000 | thousands by filing date | call |
| LIFEVANTAGE CORP | 53222K106 | COM | 13,306 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 500 | $31,000 | thousands by filing date | put |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 1,400 | $31,000 | thousands by filing date | put |
| ZOGENIX INC | 98978L105 | COM | 16,841 | $31,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 25,000 | $31,000 | thousands by filing date | principal |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 1,500 | $30,000 | thousands by filing date | put |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 8,600 | $30,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 12,811 | $30,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 44,610 | $30,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,912 | $29,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 1,200 | $29,000 | thousands by filing date | put |
| PENDRELL CORP | 70686R104 | COM | 14,899 | $29,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 23,217 | $29,000 | thousands by filing date | |
| CHINA MARINE | 16943R106 | COM | 77,463 | $29,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 4,100 | $28,000 | thousands by filing date | put |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 600 | $28,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,300 | $27,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 900 | $27,000 | thousands by filing date | put |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 26,000 | $27,000 | thousands by filing date | principal |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 19,625 | $27,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 1,000 | $27,000 | thousands by filing date | call |
| TEEKAY CORPORATION | Y8564W103 | COM | 600 | $26,000 | thousands by filing date | call |
| GREEN PLAINS RENEWABLE ENERG | 393222AB0 | BOND | 20,000 | $26,000 | thousands by filing date | principal |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 560 | $25,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,700 | $25,000 | thousands by filing date | call |
| CALPINE CORP | 131347304 | COM | 1,300 | $25,000 | thousands by filing date | call |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 27,000 | $25,000 | thousands by filing date | principal |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 2,000 | $25,000 | thousands by filing date | put |
| ENGILITY HLDGS INC | 29285W104 | COM | 784 | $25,000 | thousands by filing date | call |
| ATHERSYS INC | 04744L106 | COM | 15,323 | $25,000 | thousands by filing date | |
| AAR CORP | 000361AK1 | NOTE 1.625% 3/0 | 25,000 | $25,000 | thousands by filing date | principal |
| SAVIENT PHARMACEUTICALS INC | 80517QAA8 | CNV | 129,000 | $25,000 | thousands by filing date | principal |
| GENUINE PARTS CO COM | 372460105 | Stock | 300 | $24,000 | thousands by filing date | call |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 15,350 | $24,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 25,848 | $24,000 | thousands by filing date | |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 29,000 | $24,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 900 | $24,000 | thousands by filing date | put |
| METHES ENERGIES INTL LTD | 591517107 | COM | 10,068 | $24,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 600 | $23,000 | thousands by filing date | call |
| GEO GROUP INC | 36159R103 | COMMON STOCK | 700 | $23,000 | thousands by filing date | call |
| BPZ RESOURCES INC | 055639AB4 | MTNF 6.500% 3/0 | 25,000 | $23,000 | thousands by filing date | principal |
| FAIR ISAAC CORP COM | 303250104 | Stock | 400 | $22,000 | thousands by filing date | call |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,000 | $22,000 | thousands by filing date | call |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 15,000 | $22,000 | thousands by filing date | principal |
| SOLTA MED INC | 83438K103 | COM | 10,587 | $22,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 11,006 | $22,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 13,422 | $22,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 700 | $21,000 | thousands by filing date | call |
| WESTLAKE CORPORATION | 960413102 | COM | 200 | $21,000 | thousands by filing date | put |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 300 | $21,000 | thousands by filing date | call |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 20,000 | $21,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 16,386 | $21,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 16,301 | $21,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 300 | $20,000 | thousands by filing date | put |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| APPLOVIN CORP CLASS A | 023850100 | COM | 15,136 | $20,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 1,100 | $20,000 | thousands by filing date | call |
| OFFICEMAX INC DEL | 67622P101 | COM | 1,600 | $20,000 | thousands by filing date | put |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,100 | $19,000 | thousands by filing date | call |
| BEAM INC | 073730103 | COMMON STOCK | 300 | $19,000 | thousands by filing date | call |
| WELLTOWER INC | 42217K106 | COM | 300 | $19,000 | thousands by filing date | put |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 40,230 | $19,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 16,608 | $19,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 12,578 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 700 | $18,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 3,100 | $18,000 | thousands by filing date | call |
| DEVRY INC DEL | 251893103 | COM | 600 | $18,000 | thousands by filing date | put |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 4,200 | $18,000 | thousands by filing date | put |
| D.R. HORTON INC | 23331ABB4 | NOTE | 12,000 | $18,000 | thousands by filing date | principal |
| STEWART ENTERPRISES INC | 860370AK1 | NOTE 3.375% 7/1 | 14,000 | $18,000 | thousands by filing date | principal |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,000 | $17,000 | thousands by filing date | call |
| OFFICEMAX INC DEL | 67622P101 | COM | 1,300 | $17,000 | thousands by filing date | call |
| VELTI PLC ST HELIER | G93285107 | SHS | 46,157 | $17,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 10,000 | $17,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 19,000 | $17,000 | thousands by filing date | principal |
| ONEOK INC NEW | 682680103 | COM | 300 | $16,000 | thousands by filing date | put |
| REALTY INCOME CORP COM | 756109104 | REIT | 400 | $16,000 | thousands by filing date | put |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 500 | $16,000 | thousands by filing date | put |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 800 | $16,000 | thousands by filing date | put |
| GLOBAL PMTS INC | 37940X102 | COM | 300 | $15,000 | thousands by filing date | put |
| NISOURCE INC COM | 65473P105 | Stock | 500 | $15,000 | thousands by filing date | call |
| AMDOCS LTD | G02602103 | SHS | 400 | $15,000 | thousands by filing date | call |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 900 | $15,000 | thousands by filing date | put |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 15,000 | $15,000 | thousands by filing date | principal |
| BANRO CORP | 066800103 | COM | 22,121 | $15,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 200 | $14,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 12,371 | $14,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 100 | $14,000 | thousands by filing date | call |
| LAKE SHORE GOLD CORP | 510728108 | COM | 33,815 | $14,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 11,000 | $14,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 11,000 | $14,000 | thousands by filing date | principal |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 14,954 | $14,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 300 | $13,000 | thousands by filing date | call |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 290 | $13,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 800 | $13,000 | thousands by filing date | call |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 200 | $13,000 | thousands by filing date | call |
| ROVI CORP | 779376102 | COM | 700 | $13,000 | thousands by filing date | call |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 21,104 | $13,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 200 | $12,000 | thousands by filing date | call |
| TIMKEN CO | 887389104 | COM | 200 | $12,000 | thousands by filing date | call |
| SIEMENS A G - ADR | 826197501 | COM | 100 | $12,000 | thousands by filing date | call |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 12,275 | $12,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,000 | $11,000 | thousands by filing date | put |
| NETSUITE INC | 64118Q107 | COM | 100 | $11,000 | thousands by filing date | call |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 500 | $10,000 | thousands by filing date | call |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 1,200 | $10,000 | thousands by filing date | put |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 3,100 | $10,000 | thousands by filing date | call |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 100 | $9,000 | thousands by filing date | put |
| TOTAL SYS SVCS INC | 891906109 | COM | 300 | $9,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,800 | $9,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 300 | $9,000 | thousands by filing date | put |
| Delcath Systems Inc | 24661p104 | COM | 26,464 | $9,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 500 | $8,000 | thousands by filing date | call |
| CARTERS INC | 146229109 | COM | 100 | $8,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,500 | $8,000 | thousands by filing date | call |
| UNILEVER N V | 904784709 | N Y SHS NEW | 200 | $8,000 | thousands by filing date | call |
| COSAN LTD | G25343107 | SHS A | 500 | $8,000 | thousands by filing date | put |
| COSAN LTD | G25343107 | SHS A | 500 | $8,000 | thousands by filing date | call |
| WABCO HLDGS INC | 92927K102 | COM | 100 | $8,000 | thousands by filing date | call |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 477 | $8,000 | thousands by filing date | put |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 500 | $8,000 | thousands by filing date | put |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 100 | $8,000 | thousands by filing date | call |
| PLY GEM HLDGS INC | 72941W100 | COM | 600 | $8,000 | thousands by filing date | put |
| MONSTER WORLDWIDE INC | 611742107 | COM | 1,700 | $8,000 | thousands by filing date | call |
| MOODYS CORP COM | 615369105 | Stock | 100 | $7,000 | thousands by filing date | put |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 100 | $7,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-13-000515 | this filing | 2013-11-14 | acceptance time not in the bulk data set |