13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 6,742 holding rows worth $305,702,423,000.
- Accession
- 0000769993-14-000359
- Filer
- CIK 886982
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 10,066 entries on the cover page, a total value of $305,702,423,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $305,702,423,000 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 |
|---|---|---|---|---|---|---|
| AMYRIS INC | 03236M101 | COM | 17,943 | $67,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 2,100 | $67,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,253 | $66,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 10,698 | $66,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 15,605 | $65,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 68,000 | $64,000 | thousands by filing date | principal |
| PACKAGING CORP AMER COM | 695156109 | Stock | 900 | $63,000 | thousands by filing date | call |
| PATTERSON COS INC | 703395103 | COM | 1,500 | $63,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,900 | $63,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 33,049 | $63,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 1,600 | $62,000 | thousands by filing date | put |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 2,100 | $62,000 | thousands by filing date | put |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 12,600 | $62,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 102,899 | $62,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 3,300 | $62,000 | thousands by filing date | call |
| MEETME INC | 585141104 | COM | 18,895 | $62,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,500 | $61,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 690370101 | COM | 3,100 | $61,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 22,613 | $61,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 24,411 | $61,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 30,000 | $61,000 | thousands by filing date | principal |
| TRUETT-HURST INC THST | 897871109 | COMMON | 12,333 | $61,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 4,900 | $60,000 | thousands by filing date | put |
| ITRON INC COM | 465741106 | Stock | 1,700 | $60,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 192,947 | $60,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,900 | $60,000 | thousands by filing date | put |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 92,201 | $60,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,100 | $59,000 | thousands by filing date | put |
| LANDSTAR SYS INC COM | 515098101 | Stock | 1,000 | $59,000 | thousands by filing date | put |
| HARRIS CORP INC | 413875105 | COM | 800 | $59,000 | thousands by filing date | put |
| FRONTLINE LTD | G3682E127 | COM | 15,000 | $59,000 | thousands by filing date | put |
| SUN BANCORP INC | 86663B102 | COM | 17,213 | $58,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 10,352 | $58,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 3,800 | $57,000 | thousands by filing date | call |
| Pentair Inc | H6169Q108 | PNR | 713 | $57,000 | thousands by filing date | put |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 71,000 | $57,000 | thousands by filing date | principal |
| INTERDIGITAL INC COM | 45867G101 | Stock | 1,700 | $56,000 | thousands by filing date | call |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 4,700 | $56,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 2,100 | $56,000 | thousands by filing date | put |
| INTERMOLECULAR INC | 45882D109 | COM | 20,016 | $56,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 10,061 | $56,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,000 | $55,000 | thousands by filing date | call |
| PATTERSON COS INC | 703395103 | COM | 1,300 | $54,000 | thousands by filing date | call |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 1,000 | $54,000 | thousands by filing date | call |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 51,605 | $54,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 8,800 | $54,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 13,664 | $53,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 23,000 | $53,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 18,137 | $53,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 21,545 | $53,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 3,100 | $52,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 1,317 | $52,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 28,380 | $52,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 1,700 | $52,000 | thousands by filing date | call |
| PLY GEM HLDGS INC | 72941W100 | COM | 4,000 | $51,000 | thousands by filing date | put |
| FRONTLINE LTD | G3682E127 | COM | 13,100 | $51,000 | thousands by filing date | call |
| VENAXIS INC | 92262A107 | COM | 19,395 | $51,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 51,000 | $51,000 | thousands by filing date | principal |
| SPLUNK INC | 848637104 | COM | 700 | $50,000 | thousands by filing date | put |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 17,658 | $50,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 15,759 | $50,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 12,709 | $50,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 80,000 | $49,000 | thousands by filing date | principal |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 900 | $49,000 | thousands by filing date | put |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 1,100 | $49,000 | thousands by filing date | call |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 21,390 | $49,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 14,792 | $49,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 23,600 | $49,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 12,461 | $48,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 48,000 | $48,000 | thousands by filing date | principal |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 105,761 | $48,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 7,900 | $48,000 | thousands by filing date | put |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 51,000 | $48,000 | thousands by filing date | principal |
| GENTEX CORP COM | 371901109 | Stock | 1,500 | $47,000 | thousands by filing date | put |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 4,100 | $47,000 | thousands by filing date | put |
| UNUM GROUP COM | 91529Y106 | Stock | 1,300 | $46,000 | thousands by filing date | put |
| SYNOPSYS INC COM | 871607107 | Stock | 1,200 | $46,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 15,200 | $46,000 | thousands by filing date | put |
| THE ADT CORPORATION | 00101J106 | COM | 1,550 | $46,000 | thousands by filing date | put |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 25,518 | $46,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 24,231 | $46,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 11,400 | $46,000 | thousands by filing date | call |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 9,200 | $45,000 | thousands by filing date | put |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 1,000 | $45,000 | thousands by filing date | put |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 7,000 | $45,000 | thousands by filing date | call |
| METALICO INC | 591176102 | COM | 27,621 | $45,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 25,000 | $45,000 | thousands by filing date | principal |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 10,454 | $45,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 1,000 | $44,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 6,600 | $44,000 | thousands by filing date | call |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 5,100 | $44,000 | thousands by filing date | put |
| CORMEDIX INC | 21900C100 | COM | 17,400 | $44,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 2,600 | $43,000 | thousands by filing date | call |
| KKR FINL HLDGS LLC | 48248A306 | COM | 3,700 | $43,000 | thousands by filing date | call |
| WHITING USA TRUST I | 966389108 | TR U | 17,094 | $43,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 13,800 | $43,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 11,900 | $43,000 | thousands by filing date | put |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 600 | $42,000 | thousands by filing date | put |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 600 | $42,000 | thousands by filing date | call |
| LEAR CORP COM NEW | 521865204 | Stock | 500 | $42,000 | thousands by filing date | put |
| DIODES INC COM | 254543101 | Stock | 1,600 | $42,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 2,500 | $42,000 | thousands by filing date | put |
| TECHNIPFMC PLC | 30249U101 | COM | 800 | $42,000 | thousands by filing date | put |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 11,146 | $42,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 15,165 | $42,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 35,124 | $42,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 600 | $41,000 | thousands by filing date | call |
| PMC-SIERRA INC | 69344F106 | COM | 5,400 | $41,000 | thousands by filing date | put |
| WHITING USA TRUST I | 966389108 | TR U | 16,100 | $41,000 | thousands by filing date | put |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 16,000 | $40,000 | thousands by filing date | principal |
| DIGITAL RIV INC | 25388B104 | COM | 2,300 | $40,000 | thousands by filing date | put |
| INTERSIL CORP | 46069S109 | CL A | 3,100 | $40,000 | thousands by filing date | put |
| CYTRX CORP | 232828509 | COM PAR $.001 | 11,501 | $40,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 11,434 | $39,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 29,198 | $39,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 800 | $38,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 8,000 | $38,000 | thousands by filing date | put |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 32,731 | $38,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 362 | $37,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 27,380 | $37,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 600 | $36,000 | thousands by filing date | call |
| TRANSCANADA CORP | 89353D107 | COM | 800 | $36,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 26,300 | $36,000 | thousands by filing date | put |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 500 | $36,000 | thousands by filing date | put |
| TOWERSTREAM CORP | 892000100 | COM | 15,114 | $36,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 1,200 | $36,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R100 | COM | 58,205 | $36,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 1,200 | $35,000 | thousands by filing date | call |
| RUBICON MINERALS CORP | 780911103 | COM | 33,353 | $35,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 600 | $34,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 11,033 | $34,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 900 | $34,000 | thousands by filing date | put |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 1,100 | $33,000 | thousands by filing date | call |
| ASANKO GOLD INC | 04341Y105 | COM | 15,947 | $33,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 12,014 | $33,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 2,200 | $33,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 14,364 | $33,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 15,287 | $33,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 17,722 | $33,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 900 | $32,000 | thousands by filing date | put |
| RARE ELEMENT RES LTD | 75381M102 | COM | 22,013 | $32,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 2,500 | $32,000 | thousands by filing date | put |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 26,000 | $32,000 | thousands by filing date | principal |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 22,029 | $32,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 457,742 | $32,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 20,004 | $31,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 41,000 | $30,000 | thousands by filing date | principal |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 17,155 | $30,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 46,827 | $30,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 800 | $29,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,973 | $29,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 400 | $29,000 | thousands by filing date | call |
| QUESTAR CORP | 748356102 | COM | 1,200 | $29,000 | thousands by filing date | put |
| FRED S INC CLASS A | 356108100 | COM | 1,600 | $29,000 | thousands by filing date | call |
| L+L ENERGY INC | 50162D100 | COM | 17,517 | $29,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 31,000 | $29,000 | thousands by filing date | principal |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 12,816 | $28,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 2,200 | $27,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 4,000 | $27,000 | thousands by filing date | put |
| TRANSCANADA CORP | 89353D107 | COM | 600 | $27,000 | thousands by filing date | call |
| APPLOVIN CORP CLASS A | 023850100 | COM | 51,038 | $26,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 3,300 | $26,000 | thousands by filing date | put |
| CAMAC ENERGY INC | 131745101 | COM | 33,327 | $26,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 10,556 | $25,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 3,300 | $25,000 | thousands by filing date | call |
| BPZ RESOURCES INC | 055639AB4 | MTNF 6.500% 3/0 | 25,000 | $25,000 | thousands by filing date | principal |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 20,159 | $25,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 3,400 | $24,000 | thousands by filing date | put |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 7,240 | $24,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 500 | $23,000 | thousands by filing date | call |
| CHEGG INC | 163092109 | COM | 3,300 | $23,000 | thousands by filing date | call |
| CAESARSTONE LTD | M20598104 | ORD SHS | 414 | $23,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,440 | $23,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,600 | $23,000 | thousands by filing date | call |
| EMULEX CORP | 292475209 | COM NEW | 3,100 | $23,000 | thousands by filing date | put |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 11,192 | $23,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 33,815 | $22,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,700 | $21,000 | thousands by filing date | put |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 178,723 | $21,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 600 | $20,000 | thousands by filing date | call |
| TUTOR PERINI CORP | 901109108 | COM | 700 | $20,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,100 | $20,000 | thousands by filing date | put |
| ENERGIZER HLDGS INC | 29266R108 | COM | 200 | $20,000 | thousands by filing date | put |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 15,679 | $20,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,500 | $19,000 | thousands by filing date | call |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 10,100 | $19,000 | thousands by filing date | call |
| SIGMA DESIGNS INC | 826565103 | COM | 4,000 | $19,000 | thousands by filing date | call |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 14,680 | $19,000 | thousands by filing date | |
| AIRTRAN HLDGS INC | 00949PAD0 | NOTE 5.250%11/0 | 10,000 | $19,000 | thousands by filing date | principal |
| INNERWORKINGS INC | 45773Y105 | COM | 2,400 | $18,000 | thousands by filing date | put |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 19,000 | $18,000 | thousands by filing date | principal |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 700 | $17,000 | thousands by filing date | call |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 13,412 | $17,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 11,000 | $17,000 | thousands by filing date | principal |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 10,835 | $17,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 14,000 | $17,000 | thousands by filing date | principal |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 11,043 | $17,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,300 | $16,000 | thousands by filing date | put |
| AECOM COM | 00766T100 | Stock | 500 | $16,000 | thousands by filing date | call |
| POLYCOM | 73172K104 | COMMON STOCK | 1,200 | $16,000 | thousands by filing date | put |
| ISHARES | 464286830 | EXCHANGE TRADED | 1,000 | $16,000 | thousands by filing date | put |
| ZALECORPNEW | 988858106 | COM | 700 | $15,000 | thousands by filing date | put |
| FMC CORP COM NEW | 302491303 | Stock | 200 | $15,000 | thousands by filing date | call |
| MEADWESTVACO CORP | 583334107 | COM | 400 | $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 |
| PIER 1 IMPORTS INC | 720279108 | COM | 800 | $15,000 | thousands by filing date | call |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 14,000 | $15,000 | thousands by filing date | principal |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 3,900 | $15,000 | thousands by filing date | call |
| GAMING & LEISURE P COM | 36467J108 | REIT | 390 | $14,000 | thousands by filing date | put |
| CNO FINL GROUP INC | 12621E103 | COM | 700 | $13,000 | thousands by filing date | put |
| ISHARES INC | 464286103 | MSCI AUST ETF | 500 | $13,000 | thousands by filing date | call |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 13,000 | $13,000 | thousands by filing date | principal |
| AMEREN CORP COM | 023608102 | Stock | 300 | $12,000 | thousands by filing date | put |
| PERRIGO CO PLC SHS | G97822103 | Stock | 77 | $12,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 10,347 | $12,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 3,500 | $11,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 179,137 | $11,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 280 | $10,000 | thousands by filing date | call |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 100 | $10,000 | thousands by filing date | put |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,225 | $10,000 | thousands by filing date | put |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 38,700 | $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 |
| ISHARES | 464286830 | EXCHANGE TRADED | 600 | $9,000 | thousands by filing date | call |
| NIELSEN HOLDINGS N V | N63218106 | COM | 200 | $9,000 | thousands by filing date | put |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 13,000 | $9,000 | thousands by filing date | principal |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 17,574 | $8,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 2,000 | $8,000 | thousands by filing date | put |
| The Jones Group Inc | 48020T101 | COM | 400 | $6,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 142 | $5,000 | thousands by filing date | call |
| HEXCEL CORP NEW | 428291108 | COM | 100 | $4,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 2,800 | $4,000 | thousands by filing date | call |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 1,300 | $4,000 | thousands by filing date | call |
| DEVRY INC DEL | 251893103 | COM | 100 | $4,000 | thousands by filing date | put |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 300 | $3,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 400 | $3,000 | thousands by filing date | call |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 100 | $3,000 | thousands by filing date | call |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 300 | $3,000 | thousands by filing date | put |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 600 | $2,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 22 | $1,000 | thousands by filing date | put |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 300 | $1,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-14-000359 | this filing | 2014-05-15 | acceptance time not in the bulk data set |