13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 7,099 holding rows worth $314,774,912,000.
- Accession
- 0000769993-14-000617
- Filer
- CIK 886982
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 10,331 entries on the cover page, a total value of $314,774,912,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $314,774,912,000 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 |
|---|---|---|---|---|---|---|
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 11,311 | $120,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 19,700 | $120,000 | thousands by filing date | call |
| AMEREN CORP COM | 023608102 | Stock | 3,100 | $119,000 | thousands by filing date | put |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 4,047 | $119,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 96,810 | $119,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 18,320 | $119,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 20,996 | $118,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 11,100 | $118,000 | thousands by filing date | call |
| ZIX CORP | 98974P100 | COM | 34,588 | $118,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 15,157 | $118,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 35,238 | $118,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 16,300 | $117,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 8,500 | $117,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 32,000 | $117,000 | thousands by filing date | call |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 14,248 | $117,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 13,100 | $117,000 | thousands by filing date | put |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 13,619 | $117,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 4,122 | $116,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 101,008 | $115,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 15,800 | $115,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 50,988 | $115,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 4,200 | $114,000 | thousands by filing date | put |
| DATALINK CORP | 237934104 | COMMON STOCK | 10,686 | $114,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 13,046 | $114,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 1,300 | $114,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 13,707 | $113,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 6,697 | $113,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 2,600 | $113,000 | thousands by filing date | call |
| VICOR CORP | 925815102 | COM | 12,059 | $113,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 113,000 | $113,000 | thousands by filing date | principal |
| KEMET CORP | 488360207 | COM NEW | 27,432 | $113,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 20,363 | $113,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 10,961 | $112,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 2,800 | $111,000 | thousands by filing date | call |
| COMMVAULT SYS INC COM | 204166102 | Stock | 2,200 | $111,000 | thousands by filing date | call |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 101,000 | $111,000 | thousands by filing date | principal |
| RITE AID CORP | 767754BU7 | CNV | 57,000 | $111,000 | thousands by filing date | principal |
| GENVEC INC NEW | 37246C307 | cs | 53,441 | $111,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 12,288 | $111,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 35,313 | $111,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 6,500 | $110,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 17,729 | $110,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 12,003 | $110,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 27,722 | $110,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 47,038 | $110,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 6,300 | $110,000 | thousands by filing date | put |
| Coupons Com Inc | 22265J102 | Common Stock | 9,200 | $110,000 | thousands by filing date | put |
| ZIFF DAVIS INC | 48123V102 | COM | 2,200 | $109,000 | thousands by filing date | call |
| 8X8 INC | 282914100 | COMMON STOCK | 16,359 | $109,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 6,200 | $109,000 | thousands by filing date | put |
| TOWERSTREAM CORP | 892000100 | COM | 73,951 | $109,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 100,961 | $108,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 126,737 | $108,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 11,419 | $107,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 3,100 | $107,000 | thousands by filing date | put |
| ZOGENIX INC | 98978L105 | COM | 92,687 | $107,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 30,082 | $107,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 2,100 | $106,000 | thousands by filing date | put |
| VIRNETX HLDG CORP | 92823T108 | COM | 17,700 | $106,000 | thousands by filing date | call |
| CHILDRENS PL INC NEW | 168905107 | COM | 2,200 | $105,000 | thousands by filing date | put |
| GENUINE PARTS CO COM | 372460105 | Stock | 1,200 | $105,000 | thousands by filing date | call |
| OPEN TEXT CORP COM | 683715106 | Stock | 1,900 | $105,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 43,770 | $105,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 4,300 | $105,000 | thousands by filing date | call |
| VERIS RESIDENTIAL INC | 554489104 | COM | 5,500 | $105,000 | thousands by filing date | put |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 31,143 | $105,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 8,889 | $104,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 41,331 | $104,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 24,209 | $104,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 18,000 | $104,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 2,860 | $103,000 | thousands by filing date | call |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 10,823 | $103,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 14,764 | $103,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 6,000 | $102,000 | thousands by filing date | call |
| AARONS INC | 002535300 | COM PAR $0.50 | 4,200 | $102,000 | thousands by filing date | put |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 4,487 | $102,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 54,829 | $102,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 14,707 | $101,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 2,460 | $101,000 | thousands by filing date | put |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 1,000 | $101,000 | thousands by filing date | put |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 47,600 | $101,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 80,140 | $101,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 60,251 | $101,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 6,723 | $101,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 9,867 | $100,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 70,800 | $100,000 | thousands by filing date | call |
| DENDREON CORP | 24823Q107 | COM | 69,400 | $100,000 | thousands by filing date | call |
| BANK MUTUAL CORP | 063750103 | COM | 15,531 | $100,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 27,302 | $100,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,400 | $99,000 | thousands by filing date | put |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 11,829 | $99,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 10,455 | $99,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 132,162 | $98,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 9,400 | $98,000 | thousands by filing date | put |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 110,000 | $98,000 | thousands by filing date | principal |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 10,106 | $98,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 36,216 | $97,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 6,300 | $97,000 | thousands by filing date | call |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 48,841 | $97,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 24,000 | $97,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 8,085 | $96,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 12,900 | $96,000 | thousands by filing date | put |
| EXELIS INC | 30162A108 | COM | 5,800 | $96,000 | thousands by filing date | call |
| MITEL NETWORKS CORP | 60671Q104 | COM | 10,469 | $96,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 28,000 | $96,000 | thousands by filing date | call |
| LEAR CORP COM NEW | 521865204 | Stock | 1,100 | $95,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 23,661 | $95,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 1,700 | $95,000 | thousands by filing date | call |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 10,311 | $95,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 32,181 | $95,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 37,931 | $94,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 9,000 | $94,000 | thousands by filing date | call |
| VERSAR INC | 925297103 | COM | 28,788 | $93,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 62,067 | $93,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 1,700 | $92,000 | thousands by filing date | put |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 2,800 | $92,000 | thousands by filing date | put |
| PLANET PAYMENT INC | U72603118 | SHS | 46,723 | $92,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 6,666 | $92,000 | thousands by filing date | call |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 7,400 | $91,000 | thousands by filing date | call |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 14,816 | $91,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 8,500 | $91,000 | thousands by filing date | call |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 1,000 | $91,000 | thousands by filing date | call |
| BEMIS INC | 081437105 | COM | 2,400 | $91,000 | thousands by filing date | call |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 53,000 | $91,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 45,000 | $91,000 | thousands by filing date | principal |
| VRINGO INC | 92911N104 | COM | 96,100 | $91,000 | thousands by filing date | call |
| AUDIENCE INC | 05070J102 | COM | 12,321 | $91,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 500 | $90,000 | thousands by filing date | put |
| TREX CO INC | 89531P105 | COM | 2,600 | $90,000 | thousands by filing date | put |
| ENDOCYTE INC | 29269A102 | COM | 14,737 | $90,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 57,987 | $90,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,500 | $89,000 | thousands by filing date | call |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,779 | $89,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 2,000 | $89,000 | thousands by filing date | call |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 24,674 | $89,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 19,189 | $89,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 16,908 | $88,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 40,767 | $88,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 41,896 | $88,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 21,416 | $88,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 12,687 | $88,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 8,042 | $87,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 13,423 | $87,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 3,200 | $86,000 | thousands by filing date | call |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 12,877 | $86,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 20,132 | $86,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 23,487 | $86,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 43,049 | $86,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 63,826 | $86,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 52,258 | $86,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 1,700 | $85,000 | thousands by filing date | call |
| SPX CORP | 784635104 | COMMON STOCK | 900 | $85,000 | thousands by filing date | call |
| Gevo Inc | 374396109 | COMMON | 248,268 | $85,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 28,200 | $85,000 | thousands by filing date | call |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 70,000 | $85,000 | thousands by filing date | principal |
| FORMFACTOR INC COM | 346375108 | Stock | 11,700 | $84,000 | thousands by filing date | put |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,500 | $84,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 2,500 | $84,000 | thousands by filing date | call |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 14,430 | $84,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 4,400 | $84,000 | thousands by filing date | call |
| DENDREON CORP | 24823Q107 | COM | 58,300 | $84,000 | thousands by filing date | put |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 22,289 | $84,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 92,380 | $84,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 46,970 | $84,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 14,085 | $83,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 35,391 | $83,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 13,013 | $83,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 1,500 | $82,000 | thousands by filing date | put |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,381 | $82,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 11,245 | $81,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 3,000 | $80,000 | thousands by filing date | put |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 14,815 | $80,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 12,800 | $80,000 | thousands by filing date | call |
| QLOGIC CORP | 747277101 | COM | 8,700 | $80,000 | thousands by filing date | call |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 32,305 | $80,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 15,774 | $80,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 2,200 | $79,000 | thousands by filing date | call |
| LANDSTAR SYS INC COM | 515098101 | Stock | 1,100 | $79,000 | thousands by filing date | call |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,782 | $79,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 18,500 | $79,000 | thousands by filing date | call |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 25,357 | $79,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 3,000 | $79,000 | thousands by filing date | put |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 9,300 | $79,000 | thousands by filing date | call |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 54,000 | $79,000 | thousands by filing date | principal |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 900 | $79,000 | thousands by filing date | call |
| HUDSON GLOBAL INC | 443787106 | COM | 21,031 | $79,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 40,989 | $79,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 10,100 | $79,000 | thousands by filing date | call |
| MECHEL OAO | 583840103 | SPONSORED ADR | 69,100 | $78,000 | thousands by filing date | put |
| WI-LAN INC | 928972108 | COM | 21,560 | $78,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 28,315 | $78,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 67,725 | $78,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 2,416 | $78,000 | thousands by filing date | put |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 69,000 | $77,000 | thousands by filing date | principal |
| CAREER EDUCATION CORP | 141665109 | COM | 15,200 | $77,000 | thousands by filing date | put |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 21,709 | $77,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 4,100 | $77,000 | thousands by filing date | put |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 11,065 | $77,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 2,112 | $76,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 18,354 | $76,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 3,100 | $76,000 | thousands by filing date | call |
| HEXCEL CORP NEW | 428291108 | COM | 1,900 | $75,000 | thousands by filing date | call |
| MAXLINEAR INC | 57776J100 | COM | 10,841 | $75,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 131,000 | $75,000 | thousands by filing date | principal |
| DOT HILL SYS CORP | 25848T109 | COM | 19,936 | $75,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 22,070 | $75,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 32,387 | $75,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 32,300 | $75,000 | thousands by filing date | put |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 19,380 | $75,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 251,239 | $75,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 77,000 | $75,000 | thousands by filing date | principal |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 6,600 | $74,000 | thousands by filing date | call |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 62,416 | $74,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 9,800 | $73,000 | thousands by filing date | call |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 14,300 | $73,000 | thousands by filing date | call |
| BRIGHTCOVE INC | 10921T101 | COM | 13,116 | $73,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 65,679 | $73,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 20,841 | $73,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 42,551 | $73,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 22,300 | $72,000 | thousands by filing date | put |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 46,697 | $72,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 3,300 | $72,000 | thousands by filing date | put |
| INTERSECTIONS INC | 460981301 | COM | 18,837 | $72,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 36,289 | $72,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 1,800 | $71,000 | thousands by filing date | put |
| RADNET INC | 750491102 | COM | 10,669 | $71,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 19,158 | $71,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 1,500 | $71,000 | thousands by filing date | call |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 23,936 | $71,000 | thousands by filing date | call |
| NETLIST INC | 64118P109 | COM | 58,686 | $70,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 4,500 | $70,000 | thousands by filing date | put |
| VRINGO INC | 92911N104 | COM | 74,500 | $70,000 | thousands by filing date | put |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 19,223 | $70,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 18,576 | $70,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 92,000 | $70,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 12,342 | $70,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 14,309 | $70,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 5,600 | $69,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 4,300 | $69,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 6,300 | $69,000 | thousands by filing date | put |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 28,349 | $69,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 12,600 | $69,000 | thousands by filing date | call |
| HILL INTERNATIONAL INC | 431466101 | COM | 17,202 | $69,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 10,530 | $69,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 1,275 | $68,000 | thousands by filing date | call |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 29,000 | $68,000 | thousands by filing date | principal |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 81,233 | $68,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 14,812 | $68,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 28,800 | $67,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 15,995 | $67,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 31,322 | $67,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 31,530 | $67,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 1,300 | $66,000 | thousands by filing date | put |
| PATTERSON COS INC | 703395103 | COM | 1,600 | $66,000 | thousands by filing date | put |
| MEADWESTVACO CORP | 583334107 | COM | 1,600 | $66,000 | thousands by filing date | call |
| XOMA CORP DEL | 98419J107 | COM | 15,702 | $66,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 4,000 | $65,000 | thousands by filing date | call |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 800 | $65,000 | thousands by filing date | put |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 23,407 | $65,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 49,680 | $65,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 88,798 | $65,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 10,663 | $65,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 6,300 | $64,000 | thousands by filing date | put |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 12,500 | $64,000 | thousands by filing date | put |
| RTI INTL METALS INC | 74973W107 | COM | 2,600 | $64,000 | thousands by filing date | put |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 12,005 | $64,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 29,073 | $64,000 | thousands by filing date | |
| ZAZA ENERGY CORP - NEW | 98919T407 | COM | 17,729 | $64,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1,000 | $63,000 | thousands by filing date | put |
| INTERMOLECULAR INC | 45882D109 | COM | 27,116 | $63,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 2,800 | $62,000 | thousands by filing date | put |
| FIRST FINL SVC CORP | 32022D108 | COM | 17,171 | $62,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 1,200 | $61,000 | thousands by filing date | call |
| Q | 74876Y101 | Stock | 1,100 | $61,000 | thousands by filing date | put |
| REACHLOCAL INC | 75525F104 | COM | 17,011 | $61,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 12,979 | $61,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 28,811 | $61,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 11,038 | $61,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 10,308 | $60,000 | thousands by filing date | |
| OVERLAND STORAGE INC | 690310305 | COM NO PAR | 18,589 | $60,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 3,300 | $59,000 | thousands by filing date | put |
| DURECT CORP | 266605104 | COM | 39,992 | $59,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 5,600 | $58,000 | thousands by filing date | put |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 12,229 | $58,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 3,500 | $58,000 | thousands by filing date | put |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 11,165 | $57,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 1,600 | $57,000 | thousands by filing date | call |
| DIGITAL RIV INC | 25388B104 | COM | 3,900 | $57,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,041 | $56,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 52,000 | $56,000 | thousands by filing date | principal |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 1,000 | $55,000 | thousands by filing date | put |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 3,500 | $55,000 | thousands by filing date | put |
| THE ADT CORPORATION | 00101J106 | COM | 1,550 | $55,000 | thousands by filing date | put |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 22,906 | $55,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 10,905 | $55,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 53,000 | $55,000 | thousands by filing date | principal |
| LILIS ENERGY INC | 532403102 | Cmn | 24,350 | $55,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 45,401 | $55,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 95,317 | $54,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 10,061 | $54,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 3,100 | $54,000 | thousands by filing date | call |
| ALLY FINL INC COM | 02005N100 | Stock | 2,300 | $53,000 | thousands by filing date | call |
| HARRIS CORP INC | 413875105 | COM | 800 | $53,000 | thousands by filing date | call |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,800 | $53,000 | thousands by filing date | put |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 198,331 | $53,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 2,200 | $53,000 | thousands by filing date | put |
| METALICO INC | 591176102 | COM | 48,559 | $53,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 30,000 | $53,000 | thousands by filing date | principal |
| STIFEL FINL CORP | 860630102 | COM | 1,100 | $52,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 85,927 | $52,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 5,800 | $52,000 | thousands by filing date | call |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 62,023 | $52,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 28,916 | $52,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 900 | $51,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 80,000 | $51,000 | thousands by filing date | principal |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 144,864 | $51,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 51,000 | $51,000 | thousands by filing date | principal |
| BACTERIN INTL HLDGS INC | 05644R200 | COM NEW | 11,424 | $51,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 12,091 | $50,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 15,467 | $50,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 12,953 | $50,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 4,600 | $50,000 | thousands by filing date | call |
| LIFE TIME FITNESS INC | 53217R207 | COM | 1,000 | $50,000 | thousands by filing date | call |
| U S GEOTHERMAL INC | 90338S102 | COM | 90,040 | $50,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 4,400 | $49,000 | thousands by filing date | call |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 600 | $49,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 13,006 | $49,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 19,433 | $49,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 4,500 | $48,000 | thousands by filing date | put |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 1,800 | $48,000 | thousands by filing date | put |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 25,200 | $48,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 39,000 | $48,000 | thousands by filing date | principal |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 5,700 | $48,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 36,510 | $48,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 52,178 | $48,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 11,625 | $48,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 70,249 | $48,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 713 | $47,000 | thousands by filing date | put |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 2,100 | $47,000 | thousands by filing date | call |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 1,700 | $47,000 | thousands by filing date | put |
| RTI INTL METALS INC | 74973W107 | COM | 1,900 | $47,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 21,400 | $46,000 | thousands by filing date | call |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 2,700 | $46,000 | thousands by filing date | call |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 7,300 | $46,000 | thousands by filing date | put |
| BEMIS INC | 081437105 | COM | 1,200 | $46,000 | thousands by filing date | put |
| URS CORP NEW | 903236107 | COM | 800 | $46,000 | thousands by filing date | call |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 16,392 | $46,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 11,500 | $46,000 | thousands by filing date | call |
| GIGOPTIX INC | 37517y103 | COM | 38,341 | $46,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AF4 | NOTE 1.125% 9/0 | 43,000 | $46,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V134 | WAR | 53,252 | $46,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 900 | $45,000 | thousands by filing date | put |
| MASIMO CORP COM | 574795100 | Stock | 2,100 | $45,000 | thousands by filing date | put |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 4,400 | $45,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,000 | $45,000 | thousands by filing date | put |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,000 | $45,000 | thousands by filing date | put |
| GLOWPOINT INC | 379887201 | CMN | 34,775 | $45,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 13,610 | $45,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 20,300 | $44,000 | thousands by filing date | put |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 4,000 | $44,000 | thousands by filing date | call |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 4,300 | $44,000 | thousands by filing date | put |
| POLYCOM | 73172K104 | COMMON STOCK | 3,600 | $44,000 | thousands by filing date | put |
| DIGITAL RIV INC | 25388B104 | COM | 3,000 | $44,000 | thousands by filing date | call |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 24,267 | $44,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 21,969 | $44,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 10,836 | $44,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 16,711 | $44,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 22,254 | $44,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 1,100 | $43,000 | thousands by filing date | call |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 40,055 | $43,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 19,187 | $43,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 39,881 | $43,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 18,114 | $42,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 11,300 | $42,000 | thousands by filing date | put |
| CATAMARAN CORP | 148887102 | COM | 1,000 | $42,000 | thousands by filing date | call |
| BALTIC TRADING LTD | Y0553W103 | COM | 10,237 | $42,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 900 | $41,000 | thousands by filing date | put |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 12,220 | $41,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 1,700 | $41,000 | thousands by filing date | call |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 14,097 | $41,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 17,800 | $41,000 | thousands by filing date | call |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 6,100 | $41,000 | thousands by filing date | put |
| FIRSTENERGY CORP | 337932107 | COM | 1,200 | $40,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 6,700 | $40,000 | thousands by filing date | put |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 12,491 | $40,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 43,736 | $40,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 7,200 | $40,000 | thousands by filing date | put |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 12,000 | $40,000 | thousands by filing date | principal |
| Swisher Hygiene Inc | 870808300 | Common Stock | 13,313 | $40,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 800 | $39,000 | thousands by filing date | call |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,600 | $39,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 29,000 | $39,000 | thousands by filing date | principal |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 500 | $38,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 6,100 | $38,000 | thousands by filing date | call |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 3,000 | $38,000 | thousands by filing date | put |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 10,708 | $37,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 26,580 | $37,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 17,130 | $37,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 12,304 | $37,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 200 | $36,000 | thousands by filing date | call |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 10,981 | $36,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 1,100 | $36,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 2,700 | $36,000 | thousands by filing date | call |
| WIDEPOINT CORP COMMON | 967590100 | COM | 20,821 | $36,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 12,836 | $36,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 800 | $35,000 | thousands by filing date | call |
| PENDRELL CORP | 70686R104 | COM | 26,428 | $35,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 15,311 | $35,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 14,056 | $35,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 1,900 | $34,000 | thousands by filing date | call |
| BRINKS CO | 109696104 | COM | 1,400 | $34,000 | thousands by filing date | call |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,200 | $34,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 31,200 | $34,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 7,800 | $34,000 | thousands by filing date | call |
| NTN BUZZTIME INC | 629410309 | COM | 102,351 | $34,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 12,344 | $34,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 600 | $33,000 | thousands by filing date | call |
| PLY GEM HLDGS INC | 72941W100 | COM | 3,000 | $33,000 | thousands by filing date | put |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 29,000 | $33,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 57,129 | $33,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 14,539 | $33,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 33,653 | $33,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 21,732 | $33,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,400 | $33,000 | thousands by filing date | call |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 2,000 | $32,000 | thousands by filing date | call |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 3,400 | $32,000 | thousands by filing date | put |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 25,000 | $32,000 | thousands by filing date | principal |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 11,729 | $32,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 2,800 | $31,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,100 | $31,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 281,706 | $31,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 18,106 | $31,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 7,118 | $31,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 30,000 | $31,000 | thousands by filing date | principal |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,800 | $31,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 300 | $30,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 4,800 | $30,000 | thousands by filing date | put |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 30,000 | $30,000 | thousands by filing date | principal |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 25,759 | $30,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 24,867 | $30,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 30,000 | $30,000 | thousands by filing date | principal |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 600 | $29,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 1,800 | $29,000 | thousands by filing date | put |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,200 | $29,000 | thousands by filing date | call |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 30,000 | $29,000 | thousands by filing date | principal |
| CENVEO INC | 15670S105 | COM | 11,661 | $29,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 14,971 | $29,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 1,000 | $29,000 | thousands by filing date | call |
| STIFEL FINL CORP | 860630102 | COM | 600 | $28,000 | thousands by filing date | put |
| FRONTLINE LTD | G3682E127 | COM | 21,900 | $28,000 | thousands by filing date | call |
| KNOWLES CORP COM | 49926D109 | Stock | 1,000 | $27,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 15,689 | $27,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,500 | $27,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 19,535 | $27,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 10,777 | $27,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 900 | $27,000 | thousands by filing date | call |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 4,100 | $27,000 | thousands by filing date | call |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 700 | $26,000 | thousands by filing date | put |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 600 | $26,000 | thousands by filing date | put |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 1,100 | $26,000 | thousands by filing date | put |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 20,041 | $26,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 8,800 | $26,000 | thousands by filing date | put |
| SILVERCREST MINES INC | 828365106 | COMMON | 17,558 | $26,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,500 | $25,000 | thousands by filing date | put |
| COVANTA HLDG CORP | 22282E102 | COM | 1,200 | $25,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 10,450 | $25,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639AB4 | MTNF 6.500% 3/0 | 25,000 | $25,000 | thousands by filing date | principal |
| JETPAY CORP | 477177109 | COM | 16,166 | $25,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X102 | Cmn | 14,177 | $25,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 4,000 | $24,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,271 | $24,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 1,800 | $24,000 | thousands by filing date | put |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 400 | $23,000 | thousands by filing date | put |
| PROPHASE LABS INC | 74345W108 | COM | 16,519 | $23,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 17,233 | $23,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,038 | $23,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 18,679 | $23,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 10,947 | $23,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 800 | $23,000 | thousands by filing date | put |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 20,326 | $23,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 3,300 | $22,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 5,200 | $22,000 | thousands by filing date | put |
| FRONTLINE LTD | G3682E127 | COM | 17,300 | $22,000 | thousands by filing date | put |
| JOES JEANS INC | 47777N101 | COM | 22,825 | $22,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 17,671 | $22,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 16,000 | $22,000 | thousands by filing date | principal |
| VAPOR CORP NEV COM NEW | 922099205 | US SMALL AND MID-CAP EQUITIES | 15,079 | $22,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 400 | $21,000 | thousands by filing date | call |
| JUST ENERGY GROUP INC | 48213W101 | COM | 4,600 | $21,000 | thousands by filing date | call |
| PSIVIDA CORP | 74440J101 | COM | 4,700 | $21,000 | thousands by filing date | put |
| CORMEDIX INC | 21900C100 | COM | 11,377 | $21,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 2,000 | $21,000 | thousands by filing date | call |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 16,000 | $21,000 | thousands by filing date | principal |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 4,300 | $21,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 17,000 | $20,000 | thousands by filing date | principal |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 13,086 | $20,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 1,200 | $20,000 | thousands by filing date | put |
| POLYMET MINING CORP | 731916102 | COM | 18,064 | $20,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 15,000 | $19,000 | thousands by filing date | principal |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 23,899 | $19,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-14-000617 | this filing | 2014-11-14 | acceptance time not in the bulk data set |