13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-16, with 7,116 holding rows worth $318,653,072,000.
- Accession
- 0000769993-16-001461
- Filer
- CIK 886982
- Filed
- 2016-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 11,194 entries on the cover page, a total value of $318,653,072,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $318,653,072,000 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 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 |
|---|---|---|---|---|---|---|
| VOLITIONRX LTD | 928661107 | COM | 11,930 | $54,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 45,355 | $54,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 67,331 | $54,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 15,178 | $54,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,700 | $54,000 | thousands by filing date | call |
| TREX CO INC | 89531P105 | COM | 1,400 | $53,000 | thousands by filing date | call |
| WP CAREY INC COM | 92936U109 | REIT | 900 | $53,000 | thousands by filing date | call |
| QUALYS INC COM | 74758T303 | Stock | 1,600 | $53,000 | thousands by filing date | call |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 3,300 | $53,000 | thousands by filing date | call |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 10,448 | $53,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 3,300 | $53,000 | thousands by filing date | put |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 1,500 | $53,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 4,000 | $53,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 2,843 | $53,000 | thousands by filing date | put |
| KCAP FINANCIAL INC | 48668E101 | COM | 13,102 | $53,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,100 | $53,000 | thousands by filing date | put |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 1,200 | $53,000 | thousands by filing date | put |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 1,200 | $53,000 | thousands by filing date | put |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 20,000 | $53,000 | thousands by filing date | put |
| ACTUANT CORP | 00508X203 | CL A NEW | 2,200 | $53,000 | thousands by filing date | put |
| PORTER BANCORP INC | 736233107 | COM | 37,094 | $53,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 14,063 | $53,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 10,148 | $53,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 31,537 | $52,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 59,631 | $52,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 30,000 | $52,000 | thousands by filing date | principal |
| UNI-PIXEL INC | 904572203 | COM | 100,000 | $52,000 | thousands by filing date | put |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 44,900 | $52,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 35,800 | $51,000 | thousands by filing date | put |
| CHEESECAKE FACTORY INC | 163072101 | COM | 1,100 | $51,000 | thousands by filing date | put |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 2,100 | $51,000 | thousands by filing date | put |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 1,200 | $51,000 | thousands by filing date | call |
| KLX INC | 482539103 | COM | 1,650 | $51,000 | thousands by filing date | call |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 29,361 | $51,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 32,119 | $51,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 20,000 | $51,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 5,600 | $50,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 3,100 | $50,000 | thousands by filing date | put |
| WOODWARD INC COM | 980745103 | Stock | 1,000 | $50,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 34,400 | $50,000 | thousands by filing date | put |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 48,000 | $50,000 | thousands by filing date | principal |
| MOSYS INC COM | 619718109 | COM | 45,496 | $50,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 14,626 | $50,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 28,596 | $50,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 40,000 | $50,000 | thousands by filing date | principal |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 11,928 | $50,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 400 | $49,000 | thousands by filing date | put |
| LEAR CORP COM NEW | 521865204 | Stock | 400 | $49,000 | thousands by filing date | call |
| NEWS CORP NEW | 65249B208 | CL B | 3,500 | $49,000 | thousands by filing date | put |
| M.D.C. HOLDINGS INC | 552676108 | COM | 1,900 | $49,000 | thousands by filing date | call |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 49,800 | $49,000 | thousands by filing date | put |
| ALPHA PRO TECH LTD | 020772109 | COM | 27,818 | $49,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 16,437 | $49,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 6,300 | $49,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 5,600 | $49,000 | thousands by filing date | call |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 3,700 | $49,000 | thousands by filing date | put |
| LA QUINTA HLDGS INC | 50420D108 | COM | 3,600 | $49,000 | thousands by filing date | put |
| Intercloud Systems, Inc | 458488202 | com | 49,372 | $49,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 16,006 | $49,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 300 | $48,000 | thousands by filing date | put |
| CNO FINL GROUP INC | 12621E103 | COM | 2,500 | $48,000 | thousands by filing date | call |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 5,200 | $48,000 | thousands by filing date | put |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 1,700 | $48,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 49,200 | $48,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 2,800 | $48,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 26,700 | $48,000 | thousands by filing date | put |
| TRUECAR INC | 89785L107 | COM | 5,000 | $48,000 | thousands by filing date | call |
| VERIFONE SYS INC | 92342Y109 | COM | 1,700 | $48,000 | thousands by filing date | put |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 26,206 | $48,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 48,000 | $48,000 | thousands by filing date | principal |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 10,733 | $48,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 17,512 | $48,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 2,500 | $47,000 | thousands by filing date | put |
| STIFEL FINL CORP | 860630102 | COM | 1,100 | $47,000 | thousands by filing date | call |
| AWARE INC MASS | 05453N100 | CMN | 14,454 | $47,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 15,700 | $47,000 | thousands by filing date | put |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 72,310 | $47,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 60,346 | $46,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 9,200 | $46,000 | thousands by filing date | put |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 35,000 | $46,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 26,505 | $46,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 2,800 | $46,000 | thousands by filing date | call |
| SIZMEK INC | 83013P105 | COM | 12,556 | $46,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 2,400 | $45,000 | thousands by filing date | call |
| OCEANEERING INTL INC | 675232102 | COM | 1,200 | $45,000 | thousands by filing date | put |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 33,831 | $45,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 10,048 | $45,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 25,794 | $45,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,300 | $45,000 | thousands by filing date | call |
| UNIT CORP | 909218109 | COM | 3,700 | $45,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 16,126 | $45,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 28,209 | $45,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 3,600 | $45,000 | thousands by filing date | call |
| NEW YORK & CO INC | 649295102 | COM | 19,861 | $45,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 148,105 | $45,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 14,960 | $45,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 10,077 | $45,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 19,587 | $45,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 28,026 | $45,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,126 | $45,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,100 | $44,000 | thousands by filing date | call |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 12,826 | $44,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 16,903 | $44,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 11,832 | $44,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 2,100 | $44,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 5,044 | $44,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 88,877 | $44,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 6,609 | $44,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 3,000 | $44,000 | thousands by filing date | put |
| SUPPORT COM INC | 86858W101 | COM | 43,375 | $44,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 2,700 | $44,000 | thousands by filing date | put |
| VINCE HLDG CORP | 92719W108 | COM | 9,500 | $44,000 | thousands by filing date | call |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,700 | $43,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 85,338 | $43,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 14,379 | $43,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 5,572 | $43,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 64,672 | $43,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 158,986 | $43,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 112,802 | $43,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T308 | COMMON | 21,517 | $43,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 29,715 | $43,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 1,000 | $42,000 | thousands by filing date | call |
| B & G FOODS INC | 05508R106 | COM | 1,200 | $42,000 | thousands by filing date | call |
| RADIANT LOGISTICS INC | 75025X100 | COM | 12,111 | $42,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 1,700 | $42,000 | thousands by filing date | call |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 59,635 | $42,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 24,210 | $42,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 102,348 | $42,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 11,545 | $42,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 3,900 | $42,000 | thousands by filing date | put |
| HILL INTERNATIONAL INC | 431466101 | COM | 10,755 | $42,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 98,145 | $42,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 5,900 | $42,000 | thousands by filing date | call |
| CONNECTURE INC COM | 20786J106 | Stock | 11,758 | $42,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 700 | $41,000 | thousands by filing date | put |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 2,000 | $41,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 13,474 | $41,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 25,281 | $41,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 22,722 | $41,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 17,389 | $41,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 80,306 | $41,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 1,300 | $40,000 | thousands by filing date | call |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 11,489 | $40,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 3,200 | $40,000 | thousands by filing date | call |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 33,174 | $40,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 3,000 | $40,000 | thousands by filing date | put |
| VERSAR INC | 925297103 | COM | 12,808 | $40,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 15,000 | $40,000 | thousands by filing date | principal |
| LIME ENERGY CO COM | 53261U304 | COM | 13,883 | $40,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 23,945 | $39,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 20,903 | $39,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 4,500 | $39,000 | thousands by filing date | put |
| AXIALL CORP | 05463D100 | COM | 2,500 | $39,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 14,521 | $39,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 183,420 | $39,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 1,700 | $39,000 | thousands by filing date | call |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 11,892 | $39,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 1,000 | $38,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 500 | $38,000 | thousands by filing date | put |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 34,275 | $38,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 25,177 | $38,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 27,087 | $38,000 | thousands by filing date | |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 1,200 | $38,000 | thousands by filing date | put |
| Female Health Company | 314462102 | COM | 26,250 | $38,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 15,602 | $38,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 1,700 | $38,000 | thousands by filing date | call |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 44,000 | $38,000 | thousands by filing date | principal |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 15,540 | $38,000 | thousands by filing date | put |
| FISERV INC | 337738108 | COM | 400 | $37,000 | thousands by filing date | call |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 200 | $37,000 | thousands by filing date | call |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 1,100 | $37,000 | thousands by filing date | call |
| KEARNY FINL CORP MD | 48716P108 | COM | 2,900 | $37,000 | thousands by filing date | put |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,200 | $37,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 13,403 | $37,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 4,500 | $37,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 329,817 | $37,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 1,600 | $37,000 | thousands by filing date | put |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 12,813 | $37,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 1,225 | $37,000 | thousands by filing date | put |
| NOVA LIFESTYLE INC | 66979P102 | COM | 20,773 | $37,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 5,000 | $37,000 | thousands by filing date | put |
| RAYONIER INC COM | 754907103 | REIT | 1,600 | $36,000 | thousands by filing date | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 124,147 | $36,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 13,162 | $36,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,876 | $36,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 2,100 | $36,000 | thousands by filing date | call |
| FLEETMATICS GROUP PLC | G35569105 | COM | 700 | $36,000 | thousands by filing date | call |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 11,940 | $36,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 32,647 | $36,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 12,780 | $36,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 14,013 | $36,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 37,000 | $35,000 | thousands by filing date | principal |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 5,800 | $35,000 | thousands by filing date | call |
| NEONODE INC | 64051M402 | COM NEW | 13,738 | $35,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 28,900 | $35,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 20,851 | $35,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 33,699 | $35,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 18,252 | $35,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 34,000 | $35,000 | thousands by filing date | principal |
| MOL GLOBAL INC | 60845Q105 | Depository Receipt | 51,246 | $35,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 1,000 | $34,000 | thousands by filing date | put |
| SELECTIVE INS GROUP INC | 816300107 | COM | 1,000 | $34,000 | thousands by filing date | put |
| COVANTA HLDG CORP | 22282E102 | COM | 2,200 | $34,000 | thousands by filing date | put |
| EZCORP INC | 302301106 | CL A NON VTG | 6,800 | $34,000 | thousands by filing date | put |
| SYMANTEC CORP | 871503108 | COM | 1,600 | $34,000 | thousands by filing date | call |
| AMERISERV FINL INC | 03074A102 | COM | 10,641 | $34,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 11,085 | $34,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 1,100 | $34,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 2,200 | $34,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 12,268 | $34,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 5,400 | $34,000 | thousands by filing date | put |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,700 | $34,000 | thousands by filing date | call |
| INTERSECTIONS INC | 460981301 | COM | 11,699 | $34,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 25,293 | $34,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 24,598 | $34,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 500 | $33,000 | thousands by filing date | put |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 2,000 | $33,000 | thousands by filing date | call |
| PENN WEST PETE LTD NEW | 707887105 | COM | 38,900 | $33,000 | thousands by filing date | call |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 13,398 | $33,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 164,860 | $33,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 195,371 | $33,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 65,609 | $33,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 11,400 | $33,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 30,444 | $33,000 | thousands by filing date | |
| VRINGO INC | 92911N302 | Cmn | 13,240 | $33,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 1,100 | $32,000 | thousands by filing date | put |
| MINDBODY INC | 60255W105 | COM CL A | 2,100 | $32,000 | thousands by filing date | call |
| GASLOG LTD | G37585109 | SHS | 3,900 | $32,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 2,526 | $32,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 16,700 | $32,000 | thousands by filing date | put |
| PHARMATHENE INC | 71714G102 | COM | 17,004 | $32,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 64,977 | $32,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 23,087 | $32,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 10,584 | $32,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 900 | $31,000 | thousands by filing date | call |
| UR-ENERGY INC | 91688R108 | COM | 47,730 | $31,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 27,107 | $31,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 7,300 | $31,000 | thousands by filing date | call |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,900 | $31,000 | thousands by filing date | put |
| BARNES & NOBLE ED INC | 06777U101 | COM | 3,150 | $31,000 | thousands by filing date | call |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 900 | $31,000 | thousands by filing date | put |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 24,818 | $31,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 53,700 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 400 | $30,000 | thousands by filing date | put |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 108,684 | $30,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 292 | $30,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,389 | $30,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 13,737 | $30,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 251,972 | $30,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 11,516 | $30,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 25,730 | $30,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 14,992 | $30,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 24,550 | $30,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 600 | $29,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 5,500 | $29,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,400 | $29,000 | thousands by filing date | call |
| BIOLASE INC | 090911108 | COMMON STOCK | 34,446 | $29,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 65,540 | $29,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 18,456 | $29,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 21,672 | $29,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 1,000 | $28,000 | thousands by filing date | call |
| URBAN EDGE PPTYS | 91704F104 | COM | 1,200 | $28,000 | thousands by filing date | call |
| M.D.C. HOLDINGS INC | 552676108 | COM | 1,100 | $28,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 7,900 | $28,000 | thousands by filing date | put |
| 2U INC | 90214J101 | COM | 1,000 | $28,000 | thousands by filing date | put |
| EXETER RES CORP | 301835104 | COM | 85,865 | $28,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 30,000 | $28,000 | thousands by filing date | principal |
| CODE REBEL CORP | 19200J106 | COM | 10,586 | $28,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 600 | $27,000 | thousands by filing date | put |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 600 | $27,000 | thousands by filing date | call |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 500 | $27,000 | thousands by filing date | call |
| REVVITY INC | 714046109 | COM | 500 | $27,000 | thousands by filing date | put |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,100 | $27,000 | thousands by filing date | call |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 26,269 | $27,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,500 | $27,000 | thousands by filing date | call |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 2,600 | $27,000 | thousands by filing date | put |
| TALEN ENERGY CORP | 87422J105 | COM | 4,320 | $27,000 | thousands by filing date | put |
| STORE CAP CORP | 862121100 | COM | 1,100 | $26,000 | thousands by filing date | call |
| MINDBODY INC | 60255W105 | COM CL A | 1,700 | $26,000 | thousands by filing date | put |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 1,285 | $26,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 3,300 | $26,000 | thousands by filing date | call |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 4,100 | $26,000 | thousands by filing date | call |
| ATWOOD OCEANICS INC | 050095108 | COM | 2,500 | $26,000 | thousands by filing date | call |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,200 | $26,000 | thousands by filing date | put |
| PHH CORP | 693320202 | COM NEW | 1,600 | $26,000 | thousands by filing date | call |
| SIGMA DESIGNS INC | 826565103 | COM | 4,100 | $26,000 | thousands by filing date | call |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 23,164 | $26,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 19,000 | $26,000 | thousands by filing date | principal |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 21,887 | $26,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 12,145 | $26,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 4,600 | $26,000 | thousands by filing date | call |
| ZIFF DAVIS INC | 48123V102 | COM | 300 | $25,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 3,200 | $25,000 | thousands by filing date | put |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 500 | $25,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 17,500 | $25,000 | thousands by filing date | call |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 51,905 | $25,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 1,800 | $25,000 | thousands by filing date | call |
| RADIAN GROUP INC | 750236AK7 | BOND | 20,000 | $25,000 | thousands by filing date | principal |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 33,837 | $25,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 18,295 | $25,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 19,935 | $25,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 9,198 | $24,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 86,000 | $24,000 | thousands by filing date | put |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 1,700 | $24,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 1,200 | $24,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 18,995 | $24,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 800 | $24,000 | thousands by filing date | put |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 12,824 | $24,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 43,000 | $24,000 | thousands by filing date | principal |
| FMC CORP COM NEW | 302491303 | Stock | 600 | $23,000 | thousands by filing date | put |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 1,100 | $23,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,377 | $23,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 80,500 | $23,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 2,600 | $23,000 | thousands by filing date | put |
| QUALITY SYS INC | 747582104 | COM | 1,400 | $23,000 | thousands by filing date | put |
| PEDEVCO CORP | 70532Y204 | COM | 79,479 | $23,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 900 | $23,000 | thousands by filing date | call |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 870 | $23,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 600 | $22,000 | thousands by filing date | put |
| HUNT J B TRANS SVCS INC COM | 445658107 | Stock | 300 | $22,000 | thousands by filing date | call |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,000 | $22,000 | thousands by filing date | call |
| NETLIST INC | 64118P109 | COM | 24,565 | $22,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 1,100 | $22,000 | thousands by filing date | call |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 76,151 | $22,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 13,121 | $22,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 11,158 | $22,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 15,257 | $22,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 30,000 | $22,000 | thousands by filing date | principal |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 21,732 | $22,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 1,000 | $22,000 | thousands by filing date | call |
| ON DECK CAP INC | 682163100 | COM | 2,100 | $22,000 | thousands by filing date | call |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 3,000 | $22,000 | thousands by filing date | call |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 2,300 | $21,000 | thousands by filing date | call |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,200 | $21,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 2,100 | $21,000 | thousands by filing date | put |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 26,000 | $21,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 18,932 | $21,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,800 | $21,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,400 | $21,000 | thousands by filing date | call |
| PROFIRE ENERGY INC | 74316X101 | COM | 20,983 | $21,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 112,375 | $21,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 70,784 | $21,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,140 | $21,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 58,083 | $20,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,800 | $20,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 900 | $20,000 | thousands by filing date | put |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,100 | $20,000 | thousands by filing date | put |
| MARA HLDGS INC | 56585W203 | COM | 12,212 | $20,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,400 | $20,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R308 | COM NEW | 17,962 | $20,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 20,000 | $20,000 | thousands by filing date | principal |
| FIRSTENERGY CORP | 337932107 | COM | 600 | $19,000 | thousands by filing date | call |
| FAIR ISAAC CORP COM | 303250104 | Stock | 200 | $19,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 5,800 | $19,000 | thousands by filing date | call |
| PDL BIOPHARMA INC | 69329Y104 | COM | 5,400 | $19,000 | thousands by filing date | call |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 3,600 | $19,000 | thousands by filing date | put |
| LUNA INNOVATIONS INC | 550351100 | COM | 17,597 | $19,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 3,700 | $19,000 | thousands by filing date | put |
| COSI INC | 22122P200 | COM | 42,613 | $19,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 99,591 | $19,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 18,943 | $19,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 21,100 | $19,000 | thousands by filing date | call |
| SYNOPSYS INC COM | 871607107 | Stock | 400 | $18,000 | thousands by filing date | call |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 500 | $18,000 | thousands by filing date | call |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,400 | $18,000 | thousands by filing date | call |
| EZCORP INC | 302301106 | CL A NON VTG | 3,600 | $18,000 | thousands by filing date | call |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,600 | $18,000 | thousands by filing date | put |
| Hugoton Royalty Trust | 444717102 | COM | 11,221 | $18,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 90,026 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,000 | $18,000 | thousands by filing date | put |
| MONSTER WORLDWIDE INC | 611742107 | COM | 3,100 | $18,000 | thousands by filing date | call |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,000 | $18,000 | thousands by filing date | call |
| RMG Networks Hldgs | 74966K102 | COM | 24,014 | $18,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 200 | $17,000 | thousands by filing date | put |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 500 | $17,000 | thousands by filing date | put |
| FLEX LTD ORD | Y2573F102 | Stock | 1,500 | $17,000 | thousands by filing date | put |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 800 | $17,000 | thousands by filing date | put |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 200 | $17,000 | thousands by filing date | call |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 22,711 | $17,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 17,000 | $17,000 | thousands by filing date | principal |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 32,161 | $17,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 15,090 | $17,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 14,409 | $17,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 23,193 | $17,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 15,482 | $17,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 24,562 | $17,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 28,928 | $17,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 18,268 | $17,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,100 | $16,000 | thousands by filing date | call |
| ISHARES | 46434V548 | EXCHANGE TRADED | 1,000 | $16,000 | thousands by filing date | put |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 92,084 | $16,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,300 | $16,000 | thousands by filing date | put |
| MECHEL OAO | 583840103 | SPONSORED ADR | 20,000 | $16,000 | thousands by filing date | call |
| LinnCo, LLC | 535782106 | LTD | 15,800 | $16,000 | thousands by filing date | call |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 1,000 | $16,000 | thousands by filing date | put |
| UQM TECHNOLOGIES INC | 903213106 | COM | 24,630 | $16,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 11,038 | $16,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 101,151 | $16,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 11,294 | $16,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 1,200 | $16,000 | thousands by filing date | call |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 21,983 | $16,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 21,678 | $16,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,500 | $15,000 | thousands by filing date | put |
| ACXIOM CORP | 005125109 | COMMON STOCK | 700 | $15,000 | thousands by filing date | put |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 3,400 | $15,000 | thousands by filing date | put |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 27,314 | $15,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 500 | $15,000 | thousands by filing date | put |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,100 | $15,000 | thousands by filing date | put |
| IPASS INC | 46261V108 | COM | 14,706 | $15,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 15,075 | $15,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 40,545 | $15,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 30,443 | $15,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 10,707 | $15,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 1,600 | $15,000 | thousands by filing date | call |
| MACROCURE LTD | M67872107 | SHS | 11,769 | $15,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 29,972 | $15,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N203 | Cmn | 24,056 | $15,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 3,100 | $14,000 | thousands by filing date | call |
| URBAN EDGE PPTYS | 91704F104 | COM | 600 | $14,000 | thousands by filing date | put |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 600 | $14,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 1,400 | $14,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 800 | $14,000 | thousands by filing date | put |
| WAVE SYS CORP CL A NEW | 943526608 | Common Stock | 10,423 | $14,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 900 | $14,000 | thousands by filing date | call |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 39,979 | $14,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 37,689 | $14,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 13,897 | $14,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 10,300 | $14,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 3,100 | $14,000 | thousands by filing date | put |
| ELBIT IMAGING LTD | M37605116 | Cmn | 21,191 | $14,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 198 | $13,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 1,700 | $13,000 | thousands by filing date | call |
| INFRAREIT INC | 45685L100 | COM | 700 | $13,000 | thousands by filing date | call |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 11,530 | $13,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 100 | $13,000 | thousands by filing date | put |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 900 | $13,000 | thousands by filing date | put |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 46,302 | $13,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 20,364 | $13,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 2,225 | $13,000 | thousands by filing date | put |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 1,958 | $13,000 | thousands by filing date | call |
| FNFV GROUP | 31620R402 | COM | 1,188 | $13,000 | thousands by filing date | call |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,000 | $12,000 | thousands by filing date | call |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 10,000 | $12,000 | thousands by filing date | principal |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 112,268 | $12,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 700 | $12,000 | thousands by filing date | put |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 54,965 | $12,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 13,000 | $12,000 | thousands by filing date | principal |
| VIVUS INC | 928551100 | COM | 11,500 | $12,000 | thousands by filing date | put |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 91,170 | $12,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 45,400 | $12,000 | thousands by filing date | put |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 45,271 | $12,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 15,899 | $12,000 | thousands by filing date | |
| ARMCO METALS HLDGS XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/20 | 042182204 | COM | 29,200 | $12,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 7,880 | $12,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 900 | $11,000 | thousands by filing date | call |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 800 | $11,000 | thousands by filing date | put |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 400 | $11,000 | thousands by filing date | put |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 11,210 | $11,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | principal |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 700 | $11,000 | thousands by filing date | call |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 14,400 | $11,000 | thousands by filing date | put |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,200 | $11,000 | thousands by filing date | put |
| GOODRICH PETE CORP | 382410405 | COM NEW | 43,000 | $11,000 | thousands by filing date | call |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 44,855 | $11,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 2,300 | $11,000 | thousands by filing date | put |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 11,190 | $11,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 35,704 | $11,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 15,207 | $11,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 957 | $11,000 | thousands by filing date | put |
| EP ENERGY CORP | 268785102 | CL A | 2,600 | $11,000 | thousands by filing date | call |
| NIMBLE STORAGE INC | 65440R101 | COM | 1,200 | $11,000 | thousands by filing date | call |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 12,000 | $11,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 6,500 | $10,000 | thousands by filing date | call |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 594 | $10,000 | thousands by filing date | put |
| NOODLES & CO | 65540B105 | COM CL A | 1,000 | $10,000 | thousands by filing date | call |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 62,985 | $10,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 4,260 | $10,000 | thousands by filing date | put |
| Swisher Hygiene Inc | 870808300 | Common Stock | 10,135 | $10,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 11,000 | $10,000 | thousands by filing date | principal |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 10,000 | $10,000 | thousands by filing date | principal |
| TIVO INC | 888706AF5 | NOTE 2.000%10/0 | 12,000 | $10,000 | thousands by filing date | principal |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 11,548 | $9,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 700 | $9,000 | thousands by filing date | call |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 800 | $9,000 | thousands by filing date | call |
| REALPAGE INC | 75606N109 | COM | 400 | $9,000 | thousands by filing date | call |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 1,500 | $9,000 | thousands by filing date | put |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 11,217 | $9,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 900 | $9,000 | thousands by filing date | put |
| AMERICAN DG ENERGY INC | 025398108 | COM | 28,305 | $9,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 86,232 | $9,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 59,304 | $9,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,920 | $9,000 | thousands by filing date | call |
| CINEDIGM CORP COM | 172406100 | COM | 34,369 | $9,000 | thousands by filing date | |
| CERES INC | 156773400 | COM NEW | 28,768 | $9,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 48,471 | $9,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 100 | $8,000 | thousands by filing date | call |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 1,800 | $8,000 | thousands by filing date | put |
| RAPID7 INC COM | 753422104 | Stock | 500 | $8,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 8,900 | $8,000 | thousands by filing date | put |
| NOVOCURE LTD | G6674U108 | ORD SHS | 356 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-16-001461 | this filing | 2016-02-16 | acceptance time not in the bulk data set |