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 |
|---|---|---|---|---|---|---|
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,400 | $18,000 | thousands by filing date | put |
| SARATOGA RES INC | 803521103 | COM | 15,350 | $18,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 19,000 | $18,000 | thousands by filing date | principal |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 14,034 | $18,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 17,298 | $18,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 13,000 | $17,000 | thousands by filing date | principal |
| MAST THERAPEUTICS INC | 576314108 | COM | 30,577 | $17,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 19,058 | $17,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 18,883 | $17,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 10,346 | $17,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,000 | $17,000 | thousands by filing date | call |
| ENTEGRIS INC COM | 29362U104 | Stock | 1,400 | $16,000 | thousands by filing date | put |
| ITRON INC COM | 465741106 | Stock | 400 | $16,000 | thousands by filing date | call |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 12,487 | $16,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 500 | $16,000 | thousands by filing date | call |
| JUST ENERGY GROUP INC | 48213W101 | COM | 3,400 | $16,000 | thousands by filing date | put |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,400 | $16,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 1,500 | $16,000 | thousands by filing date | put |
| Timmins Gold Corp | 88741P103 | COM | 12,649 | $16,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 16,053 | $16,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 27,000 | $16,000 | thousands by filing date | principal |
| CMS ENERGY CORP COM | 125896100 | Stock | 500 | $15,000 | thousands by filing date | put |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 15,000 | $15,000 | thousands by filing date | principal |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 13,200 | $15,000 | thousands by filing date | call |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 15,000 | $15,000 | thousands by filing date | principal |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 21,728 | $15,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 33,484 | $15,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 14,000 | $15,000 | thousands by filing date | principal |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 12,151 | $15,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 1,122 | $15,000 | thousands by filing date | put |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 15,000 | $15,000 | thousands by filing date | principal |
| CNO FINL GROUP INC | 12621E103 | COM | 800 | $14,000 | thousands by filing date | put |
| DENISON MINES CORP | 91688T104 | COM | 13,093 | $14,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 89,981 | $14,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 1,100 | $14,000 | thousands by filing date | call |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 11,000 | $14,000 | thousands by filing date | principal |
| COTY INC | 222070203 | COM CL A | 800 | $13,000 | thousands by filing date | call |
| EASTMAN KODAK CO | 277461406 | COM NEW | 600 | $13,000 | thousands by filing date | call |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 800 | $13,000 | thousands by filing date | call |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 17,142 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 500 | $12,000 | thousands by filing date | call |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 6,100 | $12,000 | thousands by filing date | call |
| CACHE INC | 127150308 | COM | 13,717 | $12,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 12,057 | $12,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 14,500 | $12,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 21,046 | $12,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 900 | $11,000 | thousands by filing date | call |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 700 | $11,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,500 | $11,000 | thousands by filing date | call |
| NUTRI SYS INC NEW | 67069D108 | COM | 700 | $11,000 | thousands by filing date | put |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 30,000 | $11,000 | thousands by filing date | principal |
| CITIGROUP INC | 172967226 | WARRANT | 12,040 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $11,000 | thousands by filing date | principal |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 2,400 | $10,000 | thousands by filing date | call |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 127 | $10,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 800 | $9,000 | thousands by filing date | call |
| CNH INDL N V SHS | N20944109 | Stock | 1,100 | $9,000 | thousands by filing date | put |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 196 | $9,000 | thousands by filing date | call |
| LOGITECH INTL S A SHS | H50430232 | Stock | 700 | $9,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 2,200 | $9,000 | thousands by filing date | put |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 900 | $9,000 | thousands by filing date | call |
| SPX CORP | 784635104 | COMMON STOCK | 100 | $9,000 | thousands by filing date | put |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,100 | $9,000 | thousands by filing date | call |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 900 | $9,000 | thousands by filing date | call |
| INNERWORKINGS INC | 45773Y105 | COM | 1,100 | $9,000 | thousands by filing date | call |
| SKULLCANDY INC | 83083J104 | COM | 1,100 | $9,000 | thousands by filing date | put |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 100 | $8,000 | thousands by filing date | put |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 700 | $8,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,900 | $8,000 | thousands by filing date | call |
| CERES INC | 156773103 | COM | 18,352 | $8,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 69,741 | $8,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 300 | $7,000 | thousands by filing date | put |
| DIODES INC COM | 254543101 | Stock | 300 | $7,000 | thousands by filing date | call |
| BRINKS CO | 109696104 | COM | 300 | $7,000 | thousands by filing date | put |
| SPANSION INC | 84649R200 | COM CL A NEW | 300 | $7,000 | thousands by filing date | call |
| BAXANO SURGICAL | 071773105 | COM | 40,680 | $7,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,500 | $6,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 700 | $6,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 700 | $6,000 | thousands by filing date | call |
| UNILIFE CORP NEW | 90478E103 | COM | 2,100 | $5,000 | thousands by filing date | put |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 700 | $5,000 | thousands by filing date | call |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 200 | $5,000 | thousands by filing date | call |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 182 | $4,000 | thousands by filing date | call |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 100 | $4,000 | thousands by filing date | call |
| VERSO PAPER CORP | 92531L108 | COM | 1,100 | $4,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 110,627 | $4,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 100 | $3,000 | thousands by filing date | call |
| RUCKUS WIRELESS INC | 781220108 | COM | 200 | $3,000 | thousands by filing date | call |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 42 | $2,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 690370101 | COM | 100 | $2,000 | thousands by filing date | put |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 84 | $2,000 | thousands by filing date | put |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 200 | $2,000 | thousands by filing date | put |
| INNERWORKINGS INC | 45773Y105 | COM | 300 | $2,000 | thousands by filing date | put |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 43,000 | $2,000 | thousands by filing date | principal |
| ProShares Tr II Ultra Short Futures (uvxy) | 74347W346 | ETF | 77 | $2,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 13,400 | $1,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 300 | $1,000 | thousands by filing date | put |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
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 |