13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 6,631 holding rows worth $304,116,935,000.
- Accession
- 0000769993-14-000296
- Filer
- CIK 886982
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 10,243 entries on the cover page, a total value of $304,116,935,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $304,116,935,000 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
- included managerGOLDMAN SACHS EXECUTION & CLEARING, L.P.028-10292
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 |
|---|---|---|---|---|---|---|
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 6,500 | $187,000 | thousands by filing date | call |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 20,759 | $186,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 11,063 | $186,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 14,096 | $184,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 180,000 | $184,000 | thousands by filing date | principal |
| B & G FOODS INC | 05508R106 | COM | 5,400 | $183,000 | thousands by filing date | call |
| DESTINATION XL GROUP INC | 25065K104 | COM | 27,997 | $183,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 11,548 | $183,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 14,659 | $183,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 11,365 | $182,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 3,661 | $182,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 11,900 | $182,000 | thousands by filing date | call |
| PARK STERLING CORP | 70086Y105 | COM | 25,377 | $181,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 5,200 | $180,000 | thousands by filing date | call |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 2,900 | $180,000 | thousands by filing date | put |
| CITIZENS INC | 174740100 | COMMON STOCK | 20,615 | $180,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 6,593 | $180,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 34,007 | $180,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 6,700 | $179,000 | thousands by filing date | put |
| INTERMUNE INC | 45884XAF0 | NOTE 2.500%12/1 | 130,000 | $179,000 | thousands by filing date | principal |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 2,500 | $178,000 | thousands by filing date | put |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 30,942 | $178,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 17,917 | $178,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 148,000 | $176,000 | thousands by filing date | principal |
| AMERESCO INC | 02361E108 | CL A | 18,145 | $175,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 3,600 | $175,000 | thousands by filing date | call |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 5,465 | $175,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 23,915 | $175,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 12,234 | $174,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 14,090 | $174,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 24,027 | $174,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 27,691 | $173,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 4,000 | $173,000 | thousands by filing date | put |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 1,900 | $172,000 | thousands by filing date | put |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 35,773 | $172,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 70,655 | $172,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 16,664 | $171,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 28,722 | $171,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 14,000 | $170,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 41,955 | $170,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 56,892 | $170,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 113,000 | $170,000 | thousands by filing date | principal |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 1,700 | $169,000 | thousands by filing date | put |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 900 | $169,000 | thousands by filing date | put |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 25,562 | $169,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 122,235 | $169,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 14,207 | $169,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 161,000 | $169,000 | thousands by filing date | principal |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 6,100 | $168,000 | thousands by filing date | call |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 15,000 | $168,000 | thousands by filing date | call |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 30,209 | $168,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 19,214 | $167,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 149,000 | $167,000 | thousands by filing date | principal |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 20,639 | $167,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 4,200 | $167,000 | thousands by filing date | call |
| JAMES RIVER COAL CO | 470355207 | COM | 123,713 | $167,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,000 | $166,000 | thousands by filing date | call |
| BURLINGTON STORES INC COM | 122017106 | Stock | 5,200 | $166,000 | thousands by filing date | put |
| THOR INDS INC | 885160101 | COM | 3,000 | $166,000 | thousands by filing date | put |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 10,089 | $166,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 4,300 | $165,000 | thousands by filing date | put |
| Heritage Commerce Corp | 426927109 | Common Stock | 20,013 | $165,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 81,889 | $165,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 4,900 | $164,000 | thousands by filing date | call |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 13,822 | $164,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 12,636 | $163,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 5,100 | $163,000 | thousands by filing date | call |
| RADISYS CORP | 750459109 | COM | 71,349 | $163,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,000 | $162,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 11,819 | $162,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 14,406 | $162,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 63,300 | $161,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 49,329 | $161,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 483,000 | $161,000 | thousands by filing date | principal |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 40,911 | $160,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 19,970 | $159,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 11,637 | $159,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 13,972 | $159,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 3,900 | $158,000 | thousands by filing date | put |
| UNILIFE CORP NEW | 90478E103 | COM | 36,000 | $158,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 88,100 | $157,000 | thousands by filing date | put |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 31,305 | $157,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,902 | $157,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 12,305 | $157,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 25,448 | $157,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 2,988 | $156,000 | thousands by filing date | call |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 12,733 | $156,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 2,700 | $155,000 | thousands by filing date | put |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 19,233 | $155,000 | thousands by filing date | |
| ING U S INC | 45685E106 | COM | 4,400 | $155,000 | thousands by filing date | put |
| CHEROKEE INC | 16444H102 | COM | 11,234 | $155,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,900 | $154,000 | thousands by filing date | put |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 46,929 | $154,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 24,102 | $154,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 35,024 | $154,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 25,000 | $153,000 | thousands by filing date | put |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 14,087 | $153,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 2,700 | $153,000 | thousands by filing date | call |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 20,438 | $153,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 12,582 | $152,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 26,575 | $152,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 6,600 | $152,000 | thousands by filing date | put |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 23,498 | $152,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 24,287 | $151,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 47,214 | $151,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 4,700 | $150,000 | thousands by filing date | call |
| NMI HLDGS INC | 629209305 | COM | 11,800 | $150,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 12,369 | $150,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 61,159 | $150,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 11,607 | $150,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 29,270 | $150,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 20,103 | $149,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 11,328 | $149,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 34,866 | $149,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 30,637 | $148,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 20,500 | $148,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 4,452 | $147,000 | thousands by filing date | call |
| HARRIS CORP INC | 413875105 | COM | 2,100 | $147,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 30,582 | $147,000 | thousands by filing date | |
| INSULET CORP | 45784PAC5 | CNV | 100,000 | $147,000 | thousands by filing date | principal |
| NEWS CORP NEW | 65249B208 | CL B | 8,175 | $146,000 | thousands by filing date | put |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 14,586 | $146,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 19,863 | $145,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 198,406 | $145,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 107,244 | $145,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 10,568 | $144,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 11,803 | $143,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 1,600 | $143,000 | thousands by filing date | put |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 3,400 | $143,000 | thousands by filing date | put |
| Saexploration Holdings Inc. | 78636X105 | COM | 15,983 | $143,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 11,900 | $142,000 | thousands by filing date | |
| XYRATEX LTD | G98268108 | COM | 10,720 | $142,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 22,068 | $142,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 11,593 | $141,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 54,900 | $141,000 | thousands by filing date | put |
| JAMBA INC | 47023A309 | COM NEW | 11,300 | $140,000 | thousands by filing date | call |
| ALUMINA LTD ADR | 022205108 | COM | 35,122 | $140,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 109,114 | $140,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 84,919 | $140,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 6,848 | $139,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 17,049 | $139,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 4,300 | $139,000 | thousands by filing date | call |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 19,484 | $139,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 71,029 | $139,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 44,568 | $139,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 3,400 | $138,000 | thousands by filing date | put |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 140,000 | $138,000 | thousands by filing date | principal |
| STRAYER ED INC | 863236105 | COM | 4,000 | $138,000 | thousands by filing date | call |
| RADIAN GROUP INC | 750236AK7 | BOND | 97,000 | $138,000 | thousands by filing date | principal |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 52,319 | $138,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 66,181 | $137,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 21,894 | $137,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 12,224 | $137,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 5,900 | $136,000 | thousands by filing date | call |
| REALD INC | 75604L105 | COMMON STOCK | 15,924 | $136,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 3,900 | $135,000 | thousands by filing date | put |
| CAVIUM INC | 14964U108 | COM | 3,900 | $135,000 | thousands by filing date | call |
| POOL CORP COM | 73278L105 | Stock | 2,300 | $134,000 | thousands by filing date | call |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 10,392 | $134,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 18,891 | $134,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 19,200 | $134,000 | thousands by filing date | put |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 131,000 | $134,000 | thousands by filing date | principal |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 19,259 | $134,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 1,700 | $133,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 46,600 | $133,000 | thousands by filing date | call |
| RENESOLA LTD | 75971T103 | SPONS ADS | 38,466 | $133,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 29,084 | $133,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 22,320 | $133,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 1,300 | $132,000 | thousands by filing date | put |
| EZCORP INC | 302301106 | CL A NON VTG | 11,300 | $132,000 | thousands by filing date | call |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 3,700 | $131,000 | thousands by filing date | put |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 14,500 | $131,000 | thousands by filing date | call |
| MANNKIND CORP | 56400P201 | COM | 25,000 | $130,000 | thousands by filing date | call |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 14,364 | $130,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 9,400 | $130,000 | thousands by filing date | put |
| INTERSIL CORP | 46069S109 | CL A | 11,300 | $130,000 | thousands by filing date | put |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 91,970 | $130,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 3,900 | $129,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 51,100 | $129,000 | thousands by filing date | call |
| TECHTARGET INC | 87874R100 | COM | 18,780 | $129,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 5,600 | $129,000 | thousands by filing date | call |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 3,900 | $128,000 | thousands by filing date | put |
| CINEDIGM CORP COM | 172406100 | COM | 63,484 | $128,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 14,178 | $127,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 1,400 | $127,000 | thousands by filing date | call |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 7,300 | $127,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 119,000 | $126,000 | thousands by filing date | principal |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 54,459 | $126,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 7,700 | $126,000 | thousands by filing date | call |
| WORLD KINECT CORPORATION | 981475106 | COM | 2,900 | $125,000 | thousands by filing date | call |
| CRAWFORD & CO | 224633107 | COM | 13,582 | $125,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 8,700 | $125,000 | thousands by filing date | put |
| TUTOR PERINI CORP | 901109108 | COM | 4,700 | $124,000 | thousands by filing date | call |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 5,400 | $124,000 | thousands by filing date | call |
| STRAYER ED INC | 863236105 | COM | 3,600 | $124,000 | thousands by filing date | put |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 52,524 | $123,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 2,700 | $123,000 | thousands by filing date | put |
| VELTI PLC ST HELIER | G93285107 | SHS | 2,184,589 | $123,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 104,035 | $123,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 124,000 | $123,000 | thousands by filing date | principal |
| INTERSECTIONS INC | 460981301 | COM | 15,781 | $123,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 1,400 | $122,000 | thousands by filing date | call |
| Knight Capital Group, Inc. | 48244B100 | common stock | 10,210 | $122,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 9,400 | $121,000 | thousands by filing date | call |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 47,977 | $121,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 16,946 | $120,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 25,694 | $120,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 60,400 | $119,000 | thousands by filing date | put |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 14,900 | $119,000 | thousands by filing date | call |
| BAZAARVOICE INC | 073271108 | COM | 15,035 | $119,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 95,000 | $119,000 | thousands by filing date | principal |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 287,475 | $118,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 3,800 | $118,000 | thousands by filing date | put |
| ENGILITY HLDGS INC | 29285W104 | COM | 3,520 | $118,000 | thousands by filing date | put |
| BIOAMBER INC | 09072Q106 | COM | 15,833 | $118,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 3,600 | $117,000 | thousands by filing date | put |
| ABM INDS INC | 000957100 | COM | 4,100 | $117,000 | thousands by filing date | call |
| SONOCO PRODS CO | 835495102 | COM | 2,800 | $117,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 87,226 | $117,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,500 | $117,000 | thousands by filing date | call |
| NANOSPHERE INC | 63009F105 | COM | 51,131 | $117,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 57,000 | $117,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1,500 | $116,000 | thousands by filing date | put |
| BEAM INC | 073730103 | COMMON STOCK | 1,700 | $116,000 | thousands by filing date | call |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 14,557 | $116,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 12,968 | $115,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,900 | $115,000 | thousands by filing date | call |
| DIGITAL RIV INC | 25388B104 | COM | 6,200 | $115,000 | thousands by filing date | call |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 5,100 | $114,000 | thousands by filing date | put |
| BIOTELEMETRY INC | 090672106 | COM | 14,336 | $114,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 69,700 | $114,000 | thousands by filing date | call |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 122,454 | $114,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 457,742 | $114,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 127,079 | $112,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 28,742 | $112,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 4,100 | $112,000 | thousands by filing date | call |
| THE ADT CORPORATION | 00101J106 | COM | 2,750 | $111,000 | thousands by filing date | put |
| EXELIS INC | 30162A108 | COM | 5,800 | $111,000 | thousands by filing date | call |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 4,900 | $111,000 | thousands by filing date | call |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 12,318 | $111,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 13,000 | $110,000 | thousands by filing date | put |
| UAL CORP | 902549AJ3 | NOTE 6.000%10/1 | 25,000 | $110,000 | thousands by filing date | principal |
| MONSTER WORLDWIDE INC | 611742107 | COM | 15,400 | $110,000 | thousands by filing date | call |
| INTERSIL CORP | 46069S109 | CL A | 9,600 | $110,000 | thousands by filing date | call |
| EMERALD OIL INC | 29101U209 | COM NEW | 14,327 | $110,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 1,900 | $109,000 | thousands by filing date | call |
| ZAZA ENERGY CORP | 98919T100 | COM | 113,361 | $109,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 10,582 | $109,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 2,200 | $108,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 6,100 | $108,000 | thousands by filing date | call |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 4,100 | $108,000 | thousands by filing date | put |
| PLY GEM HLDGS INC | 72941W100 | COM | 6,000 | $108,000 | thousands by filing date | put |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 17,027 | $108,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 58,834 | $107,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 14,952 | $107,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 20,028 | $107,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 6,000 | $106,000 | thousands by filing date | put |
| GEO GROUP INC | 36159R103 | COMMON STOCK | 3,300 | $106,000 | thousands by filing date | put |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 57,455 | $106,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 24,325 | $106,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 17,474 | $106,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 83,527 | $106,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 3,100 | $105,000 | thousands by filing date | put |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 24,500 | $105,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 13,493 | $105,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 11,411 | $105,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,802 | $104,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 16,200 | $104,000 | thousands by filing date | call |
| CENVEO INC | 15670S105 | COM | 30,279 | $104,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 16,302 | $103,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 157,988 | $103,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,300 | $102,000 | thousands by filing date | put |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 12,166 | $102,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 13,278 | $102,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 10,056 | $102,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 2,425 | $101,000 | thousands by filing date | call |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 1,000 | $100,000 | thousands by filing date | call |
| TRANSCANADA CORP | 89353D107 | COM | 2,200 | $100,000 | thousands by filing date | call |
| Female Health Company | 314462102 | COM | 11,754 | $100,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 6,700 | $100,000 | thousands by filing date | call |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 16,621 | $100,000 | thousands by filing date | |
| NUPATHE INC | 67059M100 | COM | 30,582 | $100,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 100,000 | $100,000 | thousands by filing date | principal |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 10,787 | $99,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 13,768 | $99,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,700 | $99,000 | thousands by filing date | call |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 3,100 | $99,000 | thousands by filing date | put |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,512 | $99,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 18,994 | $98,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 99,000 | $98,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 14,123 | $98,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 27,002 | $97,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 13,174 | $96,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 3,800 | $96,000 | thousands by filing date | call |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 16,211 | $96,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 20,347 | $96,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 20,015 | $96,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 70,000 | $96,000 | thousands by filing date | principal |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 11,257 | $96,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 3,700 | $95,000 | thousands by filing date | put |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 110,421 | $94,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 1,300 | $93,000 | thousands by filing date | call |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 9,100 | $93,000 | thousands by filing date | put |
| MCCLATCHY CO | 579489105 | CL A | 27,221 | $93,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 11,375 | $92,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 27,410 | $92,000 | thousands by filing date | |
| FORCEFIELD ENERGY | 34520U103 | COM | 15,483 | $92,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 1,600 | $91,000 | thousands by filing date | call |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 193,577 | $91,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 12,159 | $91,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 55,121 | $91,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 15,778 | $91,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 44,729 | $91,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 14,500 | $89,000 | thousands by filing date | call |
| EMULEX CORP | 292475209 | COM NEW | 12,400 | $89,000 | thousands by filing date | call |
| Newbridge Bancorp | 65080T102 | Com | 12,015 | $89,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 13,306 | $88,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,800 | $87,000 | thousands by filing date | put |
| CNH INDL N V SHS | N20944109 | Stock | 7,640 | $87,000 | thousands by filing date | call |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 23,150 | $87,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 16,400 | $87,000 | thousands by filing date | put |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 13,720 | $87,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 56,552 | $87,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 84,000 | $86,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 6,200 | $86,000 | thousands by filing date | call |
| HILLSHIRE BRANDS CO | 432589109 | COM | 2,560 | $86,000 | thousands by filing date | put |
| MERGE HEALTHCARE INC | 589499102 | COM | 36,532 | $85,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 21,131 | $85,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 11,985 | $84,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 28,241 | $84,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 5,500 | $84,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 50,800 | $83,000 | thousands by filing date | put |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 11,925 | $83,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 2,300 | $82,000 | thousands by filing date | call |
| 51JOB INC | 316827104 | SPONSORED ADS | 1,057 | $82,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 35,346 | $82,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 13,629 | $81,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 44,234 | $81,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 16,098 | $80,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 150,729 | $80,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 43,565 | $78,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 3,800 | $78,000 | thousands by filing date | call |
| FLEETMATICS GROUP PLC | G35569105 | COM | 1,792 | $78,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 18,556 | $78,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 26,455 | $78,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 92,000 | $78,000 | thousands by filing date | principal |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 77,000 | $78,000 | thousands by filing date | principal |
| iShares Gold Trust | 464285105 | ISHARES | 6,600 | $77,000 | thousands by filing date | call |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 43,000 | $76,000 | thousands by filing date | principal |
| DIODES INC COM | 254543101 | Stock | 3,200 | $75,000 | thousands by filing date | put |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 1,200 | $75,000 | thousands by filing date | call |
| Prologis,Inc. | 74340W103 | COM | 2,000 | $74,000 | thousands by filing date | put |
| EDISON INTL COM | 281020107 | Stock | 1,600 | $74,000 | thousands by filing date | call |
| CODEXIS INC | 192005106 | COM | 53,076 | $74,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 4,000 | $74,000 | thousands by filing date | put |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,079 | $73,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 17,368 | $73,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 29,772 | $73,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 3,000 | $72,000 | thousands by filing date | put |
| JUST ENERGY GROUP INC | 48213W101 | COM | 10,100 | $72,000 | thousands by filing date | put |
| EQUAL ENERGY LTD | 29390Q109 | COM | 13,340 | $71,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 21,775 | $70,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 38,600 | $69,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 24,000 | $69,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 3,669 | $69,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 4,000 | $68,000 | thousands by filing date | call |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 28,000 | $68,000 | thousands by filing date | principal |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 800 | $67,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 4,400 | $67,000 | thousands by filing date | put |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 50,000 | $67,000 | thousands by filing date | principal |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 18,868 | $67,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 600 | $66,000 | thousands by filing date | call |
| ISHARES | 464286830 | EXCHANGE TRADED | 4,200 | $66,000 | thousands by filing date | put |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 2,000 | $66,000 | thousands by filing date | put |
| RENREN INC | 759892102 | SPONSORED ADR | 21,690 | $66,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 13,151 | $66,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 800 | $65,000 | thousands by filing date | put |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 62,000 | $65,000 | thousands by filing date | principal |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 12,179 | $64,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 14,700 | $64,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,900 | $64,000 | thousands by filing date | put |
| DFC GLOBAL CORP | 23324TAB3 | NOTE 3.250% 4/1 | 72,000 | $64,000 | thousands by filing date | principal |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 10,158 | $63,000 | thousands by filing date | |
| MASTEC INC | 576323AL3 | NOTE 4.000% 6/1 | 30,000 | $62,000 | thousands by filing date | principal |
| PEDEVCO CORP | 70532Y204 | COM | 28,801 | $62,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 1,200 | $60,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 16,980 | $60,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 2,500 | $60,000 | thousands by filing date | call |
| SUN BANCORP INC | 86663B102 | COM | 17,054 | $60,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 30,000 | $60,000 | thousands by filing date | principal |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 5,100 | $59,000 | thousands by filing date | put |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,100 | $59,000 | thousands by filing date | put |
| SANOFI | 80105N113 | COMMON STOCK-FO | 173,837 | $59,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 46,992 | $59,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 3,600 | $59,000 | thousands by filing date | put |
| DOT HILL SYS CORP | 25848T109 | COM | 17,501 | $59,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 600 | $58,000 | thousands by filing date | call |
| TCW CONV SECS FD INC | 872340104 | COM | 10,812 | $58,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 22,433 | $58,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 3,800 | $57,000 | thousands by filing date | call |
| AECOM COM | 00766T100 | Stock | 1,900 | $56,000 | thousands by filing date | put |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 109,021 | $56,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 42,000 | $56,000 | thousands by filing date | principal |
| MEETME INC | 585141104 | COM | 30,489 | $56,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 600 | $55,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 39,727 | $55,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 2,000 | $55,000 | thousands by filing date | put |
| DURECT CORP | 266605104 | COM | 31,556 | $55,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 13,453 | $54,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 2,300 | $53,000 | thousands by filing date | put |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 19,503 | $53,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 21,741 | $53,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 10,120 | $53,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 2,400 | $52,000 | thousands by filing date | put |
| ISHARES TR | 464288752 | US HOME CONS ETF | 2,100 | $52,000 | thousands by filing date | call |
| XOOM CORP | 98419Q101 | COM | 1,900 | $52,000 | thousands by filing date | put |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 37,091 | $52,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 12,433 | $52,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 10,361 | $52,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973W107 | COM | 1,500 | $51,000 | thousands by filing date | put |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 51,000 | $51,000 | thousands by filing date | principal |
| BXP INC COM | 101121101 | REIT | 500 | $50,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 41,628 | $50,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 22,838 | $50,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 11,400 | $50,000 | thousands by filing date | put |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 14,661 | $50,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 38,300 | $50,000 | thousands by filing date | call |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 32,573 | $50,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 10,352 | $50,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 3,931 | $49,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 3,700 | $48,000 | thousands by filing date | call |
| BOX SHIPS INC | Y09675102 | CMN | 14,612 | $48,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 18,700 | $47,000 | thousands by filing date | put |
| TUTOR PERINI CORP | 901109108 | COM | 1,800 | $47,000 | thousands by filing date | put |
| ENVIVIO INC | 29413T106 | COM | 13,800 | $47,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 12,453 | $46,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,426 | $46,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 500 | $46,000 | thousands by filing date | call |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 1,000 | $46,000 | thousands by filing date | put |
| UNIT CORP | 909218109 | COM | 900 | $46,000 | thousands by filing date | call |
| EMULEX CORP | 292475209 | COM NEW | 6,400 | $46,000 | thousands by filing date | put |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 15,891 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 200 | $45,000 | thousands by filing date | call |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 3,500 | $45,000 | thousands by filing date | put |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 11,723 | $45,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 700 | $44,000 | thousands by filing date | call |
| ISHARES INC | 464286103 | MSCI AUST ETF | 1,800 | $44,000 | thousands by filing date | put |
| ISHARES | 464286830 | EXCHANGE TRADED | 2,800 | $44,000 | thousands by filing date | call |
| RARE ELEMENT RES LTD | 75381M102 | COM | 28,269 | $44,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 1,288 | $43,000 | thousands by filing date | put |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 23,600 | $43,000 | thousands by filing date | put |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 500 | $42,000 | thousands by filing date | put |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 16,900 | $42,000 | thousands by filing date | call |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 25,000 | $42,000 | thousands by filing date | principal |
| METHANEX CORP COM | 59151K108 | Stock | 700 | $41,000 | thousands by filing date | call |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 42,000 | $41,000 | thousands by filing date | principal |
| QLOGIC CORP | 747277101 | COM | 3,500 | $41,000 | thousands by filing date | put |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 1,600 | $40,000 | thousands by filing date | put |
| INFINERA CORP | 45667G103 | COMMON STOCK | 4,100 | $40,000 | thousands by filing date | call |
| METALICO INC | 591176102 | COM | 19,564 | $40,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 33,000 | $40,000 | thousands by filing date | principal |
| EQUINIX INC | 29444UAG1 | CNV | 25,000 | $40,000 | thousands by filing date | principal |
| VIRTUS TOTAL | 92829A103 | COM | 10,144 | $40,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 2,000 | $39,000 | thousands by filing date | put |
| RENESOLA LTD | 75971T103 | SPONS ADS | 11,400 | $39,000 | thousands by filing date | call |
| DIODES INC COM | 254543101 | Stock | 1,600 | $38,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,575 | $38,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 12,532 | $38,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 59,330 | $38,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 13,785 | $38,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,200 | $37,000 | thousands by filing date | call |
| Crown Castle | 228227104 | COM | 500 | $37,000 | thousands by filing date | call |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 27,000 | $37,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 27,000 | $37,000 | thousands by filing date | principal |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 71,000 | $37,000 | thousands by filing date | principal |
| TOWERSTREAM CORP | 892000100 | COM | 12,644 | $37,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 16,000 | $37,000 | thousands by filing date | principal |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 10,200 | $37,000 | thousands by filing date | call |
| ONCOTHYREON INC | 682324108 | COM | 20,948 | $37,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 22,230 | $37,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 1,100 | $36,000 | thousands by filing date | put |
| EARTHLINK INC | 270321102 | COM | 7,100 | $36,000 | thousands by filing date | put |
| GOLDCORP INC NEW | 380956AB8 | NOTE 2.000% 8/0 | 36,000 | $36,000 | thousands by filing date | principal |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 7,550 | $36,000 | thousands by filing date | call |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 15,116 | $35,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 26,000 | $35,000 | thousands by filing date | principal |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 700 | $34,000 | thousands by filing date | put |
| POLYCOM | 73172K104 | COMMON STOCK | 2,900 | $33,000 | thousands by filing date | put |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 500 | $32,000 | thousands by filing date | put |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 2,874 | $32,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 500 | $31,000 | thousands by filing date | call |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 300 | $31,000 | thousands by filing date | call |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 2,300 | $31,000 | thousands by filing date | call |
| MONSTER WORLDWIDE INC | 611742107 | COM | 4,400 | $31,000 | thousands by filing date | put |
| JAMBA INC | 47023A309 | COM NEW | 2,500 | $31,000 | thousands by filing date | put |
| KIOR INC - CL A | 497217109 | CL A | 18,527 | $31,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 17,200 | $31,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 560 | $30,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 900 | $30,000 | thousands by filing date | put |
| DRESSER-RAND GROUP INC | 261608103 | COM | 500 | $30,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-14-000296 | this filing | 2014-02-14 | acceptance time not in the bulk data set |