13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-14, with 6,962 holding rows worth $319,172,917,000.
- Accession
- 0000769993-14-000525
- Filer
- CIK 886982
- Filed
- 2014-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 10,308 entries on the cover page, a total value of $319,172,917,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $319,172,917,000 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 |
|---|---|---|---|---|---|---|
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 11,856 | $115,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 4,100 | $115,000 | thousands by filing date | call |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 9,600 | $114,000 | thousands by filing date | put |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 900 | $114,000 | thousands by filing date | call |
| POPEYES LA KITCHEN INC | 732872106 | COM | 2,600 | $114,000 | thousands by filing date | call |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 14,238 | $114,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 6,685 | $114,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 30,472 | $114,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 13,000 | $113,000 | thousands by filing date | put |
| PLANET PAYMENT INC | U72603118 | SHS | 39,670 | $113,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 50,000 | $113,000 | thousands by filing date | call |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 16,490 | $112,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 35,936 | $112,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 57,553 | $112,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,138 | $111,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 3,300 | $111,000 | thousands by filing date | put |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 16,744 | $111,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 91,000 | $111,000 | thousands by filing date | principal |
| MATTERSIGHT CORP | 577097108 | COM | 20,834 | $111,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 111,000 | $111,000 | thousands by filing date | principal |
| DIODES INC COM | 254543101 | Stock | 3,800 | $110,000 | thousands by filing date | put |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 16,300 | $110,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 6,600 | $110,000 | thousands by filing date | put |
| FISERV INC | 337738108 | COM | 1,800 | $109,000 | thousands by filing date | put |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 5,474 | $109,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 7,205 | $109,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 10,845 | $109,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 17,919 | $108,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 28,793 | $108,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 212,011 | $106,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 9,600 | $106,000 | thousands by filing date | put |
| CST BRANDS INC | 12646R105 | COM | 3,047 | $105,000 | thousands by filing date | call |
| FUEL TECH INC | 359523107 | COM | 18,675 | $105,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 9,400 | $105,000 | thousands by filing date | call |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 14,123 | $105,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 5,100 | $104,000 | thousands by filing date | put |
| GORDMANS STORES INC | 38269P100 | COM | 24,295 | $104,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 83,838 | $103,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 6,100 | $103,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 27,700 | $103,000 | thousands by filing date | call |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,010 | $103,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 41,886 | $103,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 31,668 | $103,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 20,518 | $103,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 34,300 | $102,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 15,167 | $102,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 2,100 | $102,000 | thousands by filing date | put |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 42,727 | $101,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 14,100 | $101,000 | thousands by filing date | call |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 14,574 | $101,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 70,000 | $101,000 | thousands by filing date | principal |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 9,250 | $100,000 | thousands by filing date | put |
| QLOGIC CORP | 747277101 | COM | 9,900 | $100,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 39,829 | $100,000 | thousands by filing date | |
| OVERLAND STORAGE INC | 690310305 | COM NO PAR | 20,566 | $100,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 2,800 | $99,000 | thousands by filing date | call |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 19,162 | $99,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 23,384 | $99,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 2,100 | $98,000 | thousands by filing date | put |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 16,211 | $98,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 75,156 | $98,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 10,282 | $97,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 2,100 | $97,000 | thousands by filing date | call |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,831 | $97,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 10,924 | $97,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 21,996 | $97,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 2,900 | $97,000 | thousands by filing date | call |
| MONSTER WORLDWIDE INC | 611742107 | COM | 14,900 | $97,000 | thousands by filing date | put |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,500 | $96,000 | thousands by filing date | call |
| RTI INTL METALS INC | 74973W107 | COM | 3,600 | $96,000 | thousands by filing date | put |
| UNIT CORP | 909218109 | COM | 1,400 | $96,000 | thousands by filing date | put |
| AG MTG INVT TR INC | 001228105 | COM | 5,046 | $96,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 11,100 | $96,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 24,228 | $96,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 18,105 | $96,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,943 | $95,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 7,000 | $95,000 | thousands by filing date | call |
| MICROS SYS INC | 594901100 | COM | 1,400 | $95,000 | thousands by filing date | put |
| BANK MUTUAL CORP | 063750103 | COM | 16,363 | $95,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 14,981 | $95,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 29,150 | $95,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 7,500 | $94,000 | thousands by filing date | put |
| PIER 1 IMPORTS INC | 720279108 | COM | 6,100 | $94,000 | thousands by filing date | call |
| KOFAX LTD | G5307C105 | COM USD | 10,963 | $94,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 2,100 | $93,000 | thousands by filing date | call |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 2,500 | $93,000 | thousands by filing date | put |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 12,518 | $93,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 2,900 | $93,000 | thousands by filing date | put |
| FRONTLINE LTD | G3682E127 | COM | 31,700 | $93,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 3,221 | $92,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 9,500 | $92,000 | thousands by filing date | put |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 13,550 | $92,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 2,800 | $91,000 | thousands by filing date | put |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 11,614 | $91,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 4,100 | $91,000 | thousands by filing date | put |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 57,406 | $91,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 31,200 | $91,000 | thousands by filing date | put |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 1,264 | $91,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 55,100 | $90,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 78,527 | $90,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 30,262 | $90,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 2,600 | $90,000 | thousands by filing date | call |
| TUTOR PERINI CORP | 901109108 | COM | 2,800 | $89,000 | thousands by filing date | call |
| MEADWESTVACO CORP | 583334107 | COM | 2,000 | $89,000 | thousands by filing date | call |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 2,800 | $89,000 | thousands by filing date | put |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 16,418 | $89,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 1,500 | $88,000 | thousands by filing date | put |
| CITIZENS INC | 174740100 | COMMON STOCK | 11,920 | $88,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 10,255 | $88,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 21,725 | $88,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 36,462 | $88,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 10,127 | $87,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,300 | $87,000 | thousands by filing date | put |
| XPO INC COM | 983793100 | Stock | 3,000 | $86,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,500 | $86,000 | thousands by filing date | call |
| CON-WAY INC | 205944101 | COM | 1,700 | $86,000 | thousands by filing date | call |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 49,812 | $86,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 22,123 | $86,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 1,800 | $85,000 | thousands by filing date | call |
| NETLIST INC | 64118P109 | COM | 65,935 | $85,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 18,100 | $85,000 | thousands by filing date | put |
| INTERSECTIONS INC | 460981301 | COM | 17,196 | $85,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 13,713 | $85,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 20,180 | $85,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 3,184 | $85,000 | thousands by filing date | put |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 4,100 | $84,000 | thousands by filing date | call |
| 51JOB INC | 316827104 | SPONSORED ADS | 1,277 | $84,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 9,200 | $83,000 | thousands by filing date | put |
| SWS GROUP INC | 78503N107 | COM | 11,338 | $83,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 12,215 | $83,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 11,805 | $83,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 7,500 | $83,000 | thousands by filing date | call |
| HUDSON GLOBAL INC | 443787106 | COM | 21,031 | $83,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 23,936 | $83,000 | thousands by filing date | call |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,500 | $82,000 | thousands by filing date | put |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 1,200 | $82,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 22,500 | $82,000 | thousands by filing date | put |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 36,096 | $82,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 7,700 | $82,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1,000 | $81,000 | thousands by filing date | put |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 23,583 | $81,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 2,300 | $80,000 | thousands by filing date | put |
| XPO INC COM | 983793100 | Stock | 2,800 | $80,000 | thousands by filing date | call |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 92,000 | $80,000 | thousands by filing date | principal |
| GENTEX CORP COM | 371901109 | Stock | 2,700 | $79,000 | thousands by filing date | put |
| COMMVAULT SYS INC COM | 204166102 | Stock | 1,600 | $79,000 | thousands by filing date | put |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 1,700 | $79,000 | thousands by filing date | put |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 10,396 | $79,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 81,626 | $79,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 26,700 | $79,000 | thousands by filing date | put |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 54,000 | $78,000 | thousands by filing date | principal |
| ELBIT IMAGING LTD | M37605108 | ORD SHS | 423,828 | $78,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 17,353 | $78,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 1,000 | $77,000 | thousands by filing date | call |
| CST BRANDS INC | 12646R105 | COM | 2,244 | $77,000 | thousands by filing date | put |
| BIOLASE INC | 090911108 | COMMON STOCK | 34,876 | $77,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 3,600 | $77,000 | thousands by filing date | put |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 1,300 | $76,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 12,179 | $76,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 19,160 | $76,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 11,545 | $76,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 77,000 | $76,000 | thousands by filing date | principal |
| CINEDIGM CORP COM | 172406100 | COM | 30,649 | $76,000 | thousands by filing date | |
| MICROS SYS INC | 594901100 | COM | 1,100 | $75,000 | thousands by filing date | call |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 38,865 | $73,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 10,909 | $73,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 14,997 | $72,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 238,341 | $71,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 3,300 | $71,000 | thousands by filing date | call |
| MONSTER WORLDWIDE INC | 611742107 | COM | 10,800 | $71,000 | thousands by filing date | call |
| EXELIS INC | 30162A108 | COM | 4,200 | $71,000 | thousands by filing date | call |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 11,102 | $70,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 2,200 | $69,000 | thousands by filing date | put |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 11,200 | $69,000 | thousands by filing date | put |
| XL GROUP PLC | G98290102 | SHS | 2,100 | $69,000 | thousands by filing date | put |
| JUST ENERGY GROUP INC | 48213W101 | COM | 12,000 | $69,000 | thousands by filing date | call |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 14,651 | $69,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 28,000 | $69,000 | thousands by filing date | principal |
| HARRIS CORP INC | 413875105 | COM | 900 | $68,000 | thousands by filing date | put |
| DIGITAL RIV INC | 25388B104 | COM | 4,400 | $68,000 | thousands by filing date | put |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 20,787 | $68,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 25,145 | $68,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 13,137 | $68,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 65,579 | $68,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 4,600 | $67,000 | thousands by filing date | put |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 5,300 | $67,000 | thousands by filing date | call |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 21,700 | $67,000 | thousands by filing date | call |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 17,934 | $67,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 6,000 | $67,000 | thousands by filing date | put |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 4,408 | $67,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 5,400 | $66,000 | thousands by filing date | put |
| SABRE CORP COM | 78573M104 | Stock | 3,300 | $66,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 20,030 | $66,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 22,300 | $66,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,348 | $66,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 2,100 | $65,000 | thousands by filing date | put |
| RESPONSE GENETICS INC | 76123U105 | COM | 70,411 | $65,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 17,500 | $65,000 | thousands by filing date | put |
| PACKAGING CORP AMER COM | 695156109 | Stock | 900 | $64,000 | thousands by filing date | put |
| IMMUNOMEDICS INC | 452907108 | COM | 17,619 | $64,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,800 | $64,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 4,000 | $64,000 | thousands by filing date | put |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 3,300 | $64,000 | thousands by filing date | call |
| SPECTRANETICS CORP | 84760C107 | COM | 2,800 | $64,000 | thousands by filing date | put |
| GENCORP INC | 368682AN0 | SDCV | 30,000 | $64,000 | thousands by filing date | principal |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 24,979 | $64,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 26,537 | $63,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 144,869 | $62,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 1,900 | $61,000 | thousands by filing date | call |
| REVVITY INC | 714046109 | COM | 1,300 | $61,000 | thousands by filing date | call |
| INFINERA CORP | 45667G103 | COMMON STOCK | 6,600 | $61,000 | thousands by filing date | put |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 5,800 | $61,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 85,927 | $61,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 41,050 | $61,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 2,200 | $61,000 | thousands by filing date | call |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 35,210 | $61,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 32,137 | $61,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,100 | $60,000 | thousands by filing date | call |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 10,792 | $60,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 1,100 | $60,000 | thousands by filing date | put |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 27,450 | $60,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 26,000 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 3,900 | $60,000 | thousands by filing date | call |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 1,800 | $59,000 | thousands by filing date | put |
| PLY GEM HLDGS INC | 72941W100 | COM | 5,800 | $59,000 | thousands by filing date | call |
| OMNICOM GROUP INC | 681919AV8 | NOTE 7/3 | 45,000 | $59,000 | thousands by filing date | principal |
| DIODES INC COM | 254543101 | Stock | 2,000 | $58,000 | thousands by filing date | call |
| COSAN LTD | G25343107 | SHS A | 4,299 | $58,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 3,500 | $58,000 | thousands by filing date | call |
| CNO FINL GROUP INC | 12621E103 | COM | 3,200 | $57,000 | thousands by filing date | call |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 10,224 | $57,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,300 | $57,000 | thousands by filing date | put |
| DIGITAL RIV INC | 25388B104 | COM | 3,700 | $57,000 | thousands by filing date | call |
| SKULLCANDY INC | 83083J104 | COM | 7,800 | $57,000 | thousands by filing date | call |
| TREVENA INC | 89532E109 | COM | 10,106 | $57,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 19,700 | $56,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 11,062 | $55,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 2,700 | $54,000 | thousands by filing date | call |
| THE ADT CORPORATION | 00101J106 | COM | 1,550 | $54,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 11,800 | $54,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 11,700 | $54,000 | thousands by filing date | call |
| EVERYWARE GLOBAL INC | 300439106 | COM | 41,517 | $54,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 36,263 | $54,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 101,151 | $54,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 10,061 | $54,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 1,075 | $53,000 | thousands by filing date | call |
| EHEALTH INC | 28238P109 | COM | 1,400 | $53,000 | thousands by filing date | call |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 34,039 | $53,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 61,661 | $53,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 22,122 | $53,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 20,685 | $53,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 38,398 | $53,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 4,067 | $53,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 53,000 | $53,000 | thousands by filing date | principal |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,000 | $52,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 4,700 | $52,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 80,000 | $52,000 | thousands by filing date | principal |
| PLY GEM HLDGS INC | 72941W100 | COM | 5,100 | $52,000 | thousands by filing date | put |
| ACTUANT CORP | 00508X203 | CL A NEW | 1,500 | $52,000 | thousands by filing date | put |
| OPENTABLE INC | 68372A104 | COM | 500 | $52,000 | thousands by filing date | call |
| MERGE HEALTHCARE INC | 589499102 | COM | 22,787 | $52,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 12,552 | $52,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 20,000 | $52,000 | thousands by filing date | put |
| PENTAIR PLC SHS | G7S00T104 | Stock | 713 | $51,000 | thousands by filing date | put |
| XYLEM INC COM | 98419M100 | Stock | 1,300 | $51,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 8,200 | $51,000 | thousands by filing date | put |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 16,700 | $51,000 | thousands by filing date | put |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,100 | $51,000 | thousands by filing date | put |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,100 | $51,000 | thousands by filing date | call |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 51,000 | $51,000 | thousands by filing date | principal |
| GENTEX CORP COM | 371901109 | Stock | 1,700 | $49,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 26,846 | $49,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 34,738 | $49,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 7,300 | $48,000 | thousands by filing date | call |
| PARKERVISION INC | 701354102 | COM | 32,400 | $48,000 | thousands by filing date | call |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 59,523 | $47,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 13,800 | $47,000 | thousands by filing date | put |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 27,397 | $47,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 27,773 | $47,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 15,311 | $46,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 925 | $45,000 | thousands by filing date | put |
| ALLY FINL INC COM | 02005N100 | Stock | 1,900 | $45,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 7,200 | $45,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 4,000 | $45,000 | thousands by filing date | put |
| SUN BANCORP INC | 86663B102 | COM | 11,265 | $45,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 29,472 | $44,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 2,000 | $44,000 | thousands by filing date | call |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,700 | $44,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 17,197 | $43,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 89,981 | $43,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 21,732 | $43,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 6,000 | $42,000 | thousands by filing date | call |
| AIR LEASE CORP | 00912X302 | CL A | 1,100 | $42,000 | thousands by filing date | call |
| GIGA TRONICS INC | 375175106 | COM | 16,975 | $42,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 1,000 | $41,000 | thousands by filing date | call |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 3,600 | $41,000 | thousands by filing date | call |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 3,100 | $41,000 | thousands by filing date | put |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 15,756 | $41,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 2,700 | $40,000 | thousands by filing date | call |
| MAIN STR CAP CORP | 56035L104 | COM | 1,200 | $40,000 | thousands by filing date | put |
| XYLEM INC COM | 98419M100 | Stock | 1,000 | $39,000 | thousands by filing date | put |
| PENDRELL CORP | 70686R104 | COM | 21,988 | $39,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 17,314 | $39,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 3,600 | $38,000 | thousands by filing date | put |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 22,943 | $38,000 | thousands by filing date | |
| INTERMUNE INC | 45884XAE3 | NOTE 2.500% 9/1 | 25,000 | $38,000 | thousands by filing date | principal |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 19,153 | $38,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 21,959 | $38,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 1,500 | $37,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 2,200 | $37,000 | thousands by filing date | call |
| Bowater Inc | 09066L105 | COMMON STOCKS | 12,017 | $37,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 15,845 | $37,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 8,847 | $37,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 1,360 | $37,000 | thousands by filing date | call |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 8,300 | $37,000 | thousands by filing date | call |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 2,566 | $36,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 29,000 | $36,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 25,000 | $36,000 | thousands by filing date | principal |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 30,000 | $36,000 | thousands by filing date | principal |
| TUTOR PERINI CORP | 901109108 | COM | 1,100 | $35,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,300 | $35,000 | thousands by filing date | call |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 13,060 | $35,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 16,711 | $34,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 2,000 | $34,000 | thousands by filing date | put |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 19,190 | $34,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 15,200 | $33,000 | thousands by filing date | put |
| RIO ALTO MNG LTD NEW | 76689T104 | COM | 14,355 | $33,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,700 | $33,000 | thousands by filing date | call |
| ENVIVIO INC | 29413T106 | COM | 13,800 | $33,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 9,563 | $33,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 600 | $32,000 | thousands by filing date | put |
| BADGER METER INC COM | 056525108 | Stock | 600 | $32,000 | thousands by filing date | call |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 30,000 | $32,000 | thousands by filing date | principal |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,200 | $31,000 | thousands by filing date | call |
| CHILDRENS PL INC NEW | 168905107 | COM | 600 | $30,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 11,881 | $30,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 17,367 | $30,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 14,711 | $30,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 20,155 | $29,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973W107 | COM | 1,100 | $29,000 | thousands by filing date | call |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 22,000 | $29,000 | thousands by filing date | principal |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 12,800 | $29,000 | thousands by filing date | call |
| UNIT CORP | 909218109 | COM | 400 | $28,000 | thousands by filing date | call |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 300 | $28,000 | thousands by filing date | put |
| METALICO INC | 591176102 | COM | 22,731 | $28,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 13,916 | $28,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 15,179 | $27,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,000 | $27,000 | thousands by filing date | put |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 14,331 | $27,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 24,752 | $27,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 15,350 | $27,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 400 | $26,000 | thousands by filing date | call |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 25,000 | $26,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 5,965 | $25,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 800 | $25,000 | thousands by filing date | put |
| MCGRAW HILL FINL INC | 580645109 | COM | 300 | $25,000 | thousands by filing date | call |
| CHEGG INC | 163092109 | COM | 3,600 | $25,000 | thousands by filing date | put |
| BPZ RESOURCES INC | 055639AB4 | MTNF 6.500% 3/0 | 25,000 | $25,000 | thousands by filing date | principal |
| MELA SCIENCES INC | 55277R100 | COM | 77,954 | $25,000 | thousands by filing date | |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 29,000 | $25,000 | thousands by filing date | principal |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 900 | $24,000 | thousands by filing date | call |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 1,000 | $24,000 | thousands by filing date | call |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 17,195 | $24,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 16,000 | $24,000 | thousands by filing date | principal |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 500 | $23,000 | thousands by filing date | call |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 11,079 | $23,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 10,889 | $23,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 10,346 | $23,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,300 | $22,000 | thousands by filing date | put |
| BEBE STORES INC | 075571109 | COM | 7,200 | $22,000 | thousands by filing date | put |
| China Recycling Energy Corp | 168913101 | Com | 12,329 | $22,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 43,000 | $22,000 | thousands by filing date | principal |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 14,772 | $22,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 600 | $21,000 | thousands by filing date | call |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 38,800 | $21,000 | thousands by filing date | call |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,100 | $21,000 | thousands by filing date | call |
| INNERWORKINGS INC | 45773Y105 | COM | 2,500 | $21,000 | thousands by filing date | put |
| CAMBREX CORP | 132011107 | COM | 1,000 | $21,000 | thousands by filing date | call |
| JUST ENERGY GROUP INC | 48213W101 | COM | 3,700 | $21,000 | thousands by filing date | put |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 19,098 | $21,000 | thousands by filing date | |
| AIRTRAN HLDGS INC | 00949PAD0 | NOTE 5.250%11/0 | 10,000 | $21,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 12,076 | $21,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 27,000 | $21,000 | thousands by filing date | principal |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 909 | $20,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 15,172 | $20,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 15,000 | $20,000 | thousands by filing date | principal |
| JOES JEANS INC | 47777N101 | COM | 18,436 | $20,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 1,400 | $19,000 | thousands by filing date | put |
| LANDSTAR SYS INC COM | 515098101 | Stock | 300 | $19,000 | thousands by filing date | put |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,200 | $19,000 | thousands by filing date | put |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 30,000 | $19,000 | thousands by filing date | principal |
| CORMEDIX INC | 21900C100 | COM | 10,485 | $19,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 1,800 | $18,000 | thousands by filing date | call |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 14,000 | $18,000 | thousands by filing date | principal |
| BEBE STORES INC | 075571109 | COM | 5,900 | $18,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 19,000 | $18,000 | thousands by filing date | principal |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 15,239 | $18,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 10,190 | $17,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 15,000 | $17,000 | thousands by filing date | principal |
| CNO FINL GROUP INC | 12621E103 | COM | 900 | $16,000 | thousands by filing date | put |
| INTERXION HOLDING N.V | N47279109 | SHS | 600 | $16,000 | thousands by filing date | put |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,200 | $16,000 | thousands by filing date | call |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 17,000 | $16,000 | thousands by filing date | principal |
| KKR & CO LP | 48248M102 | COMMON STOCK | 663 | $16,000 | thousands by filing date | call |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 3,600 | $16,000 | thousands by filing date | put |
| IGC PHARMA INC | 45408X308 | COM NEW | 10,437 | $15,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 15,000 | $15,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 500 | $14,000 | thousands by filing date | put |
| GRUBHUB INC | 400110102 | COM | 400 | $14,000 | thousands by filing date | put |
| DSW INC-CLASS A | 23334L102 | CL A | 500 | $14,000 | thousands by filing date | put |
| INNERWORKINGS INC | 45773Y105 | COM | 1,700 | $14,000 | thousands by filing date | call |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 17,485 | $14,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 10,364 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 13,292 | $14,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 457,742 | $14,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 3,800 | $14,000 | thousands by filing date | call |
| FAIR ISAAC CORP COM | 303250104 | Stock | 200 | $13,000 | thousands by filing date | put |
| ISHARES INC | 464286103 | MSCI AUST ETF | 500 | $13,000 | thousands by filing date | call |
| POLYONE CORP | 73179P106 | COM | 300 | $13,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 43,500 | $13,000 | thousands by filing date | put |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 10,082 | $13,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 300 | $12,000 | thousands by filing date | put |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 700 | $12,000 | thousands by filing date | put |
| PERRIGO CO PLC SHS | G97822103 | Stock | 77 | $11,000 | thousands by filing date | put |
| LUCAS ENERGY INC | 549333201 | COM NEW | 19,763 | $11,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 11,582 | $11,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 600 | $10,000 | thousands by filing date | call |
| UNITEK GLOBAL SVCS INC | 91324T302 | COM | 24,993 | $10,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 200 | $9,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 800 | $9,000 | thousands by filing date | call |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 10,000 | $9,000 | thousands by filing date | principal |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 100 | $8,000 | thousands by filing date | put |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 500 | $8,000 | thousands by filing date | call |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 500 | $8,000 | thousands by filing date | call |
| POLYONE CORP | 73179P106 | COM | 200 | $8,000 | thousands by filing date | put |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 12,355 | $8,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 115,115 | $8,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 2,000 | $8,000 | thousands by filing date | put |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 69,895 | $8,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 400 | $7,000 | thousands by filing date | put |
| NUTRI SYS INC NEW | 67069D108 | COM | 400 | $7,000 | thousands by filing date | put |
| CITIGROUP INC | 172967226 | WARRANT | 11,640 | $7,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 1,900 | $6,000 | thousands by filing date | put |
| Q | 74876Y101 | Stock | 100 | $5,000 | thousands by filing date | put |
| Q | 74876Y101 | Stock | 100 | $5,000 | thousands by filing date | call |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 700 | $5,000 | thousands by filing date | put |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 200 | $5,000 | thousands by filing date | put |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 200 | $5,000 | thousands by filing date | call |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 98 | $4,000 | thousands by filing date | call |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 182 | $4,000 | thousands by filing date | call |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 400 | $3,000 | thousands by filing date | call |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 300 | $3,000 | thousands by filing date | call |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 42 | $2,000 | thousands by filing date | put |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 100 | $2,000 | thousands by filing date | call |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 84 | $2,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| SKULLCANDY INC | 83083J104 | COM | 300 | $2,000 | thousands by filing date | put |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 100 | $1,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 2,100 | $1,000 | thousands by filing date | call |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 25 | $1,000 | thousands by filing date | call |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 300 | $1,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-14-000525 | this filing | 2014-08-14 | acceptance time not in the bulk data set |