13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 6,993 holding rows worth $330,238,227,000.
- Accession
- 0000769993-16-001820
- Filer
- CIK 886982
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 11,329 entries on the cover page, a total value of $330,238,227,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $330,238,227,000 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 |
|---|---|---|---|---|---|---|
| NIMBLE STORAGE INC | 65440R101 | COM | 5,300 | $47,000 | thousands by filing date | call |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 1,600 | $46,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 8,600 | $46,000 | thousands by filing date | put |
| NETLIST INC | 64118P109 | COM | 37,128 | $46,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 38,000 | $46,000 | thousands by filing date | call |
| RMG Networks Hldgs | 74966K102 | COM | 52,513 | $46,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 17,276 | $46,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 700 | $45,000 | thousands by filing date | call |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 2,100 | $45,000 | thousands by filing date | call |
| OUTFRONT MEDIA INC | 69007J106 | COM | 1,887 | $45,000 | thousands by filing date | put |
| VANTIV INC | 92210H105 | CL A | 800 | $45,000 | thousands by filing date | call |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 43,901 | $45,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 12,756 | $45,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 69,259 | $45,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 26,572 | $45,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 15,900 | $44,000 | thousands by filing date | put |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 2,100 | $44,000 | thousands by filing date | call |
| VERIS RESIDENTIAL INC | 554489104 | COM | 1,600 | $44,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 19,035 | $44,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 22,790 | $44,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 156,868 | $44,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,500 | $44,000 | thousands by filing date | put |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 11,400 | $44,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 43,000 | $44,000 | thousands by filing date | principal |
| Carbylan Therapeutics Inc. | 141384107 | COM | 95,478 | $44,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 3,100 | $43,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 16,300 | $43,000 | thousands by filing date | put |
| ETSY INC | 29786A106 | COM | 3,000 | $43,000 | thousands by filing date | put |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 890 | $43,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 16,100 | $43,000 | thousands by filing date | put |
| COMSCORE INC | 20564W105 | COM | 1,400 | $43,000 | thousands by filing date | put |
| SPX FLOW INC COM | 78469X107 | Stock | 1,400 | $43,000 | thousands by filing date | put |
| TEARLAB CORP | 878193101 | COM | 66,332 | $43,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 5,200 | $43,000 | thousands by filing date | call |
| VERMILLION INC | 92407M206 | COM NEW | 33,103 | $43,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 9,800 | $43,000 | thousands by filing date | call |
| STEADYMED LTD | M84920103 | SHS | 11,900 | $43,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 46,339 | $43,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,100 | $42,000 | thousands by filing date | put |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 3,000 | $42,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 39,554 | $42,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 19,087 | $42,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 15,465 | $42,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 20,000 | $42,000 | thousands by filing date | put |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,400 | $42,000 | thousands by filing date | put |
| FORM HLDGS CORP COM | 34634E102 | Stock | 15,507 | $42,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 6,700 | $42,000 | thousands by filing date | put |
| PARTY CITY HOLDCO INC | 702149105 | COM | 2,400 | $41,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 16,900 | $41,000 | thousands by filing date | put |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 1,250 | $40,000 | thousands by filing date | put |
| CAMTEK LTD ORD | M20791105 | Stock | 13,286 | $40,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 1,100 | $40,000 | thousands by filing date | put |
| VARIAN MED SYS INC | 92220P105 | COM | 400 | $40,000 | thousands by filing date | put |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,100 | $40,000 | thousands by filing date | call |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 6,400 | $39,000 | thousands by filing date | call |
| PAPA JOHNS INTL INC | 698813102 | COM | 500 | $39,000 | thousands by filing date | call |
| FULL HSE RESORTS INC | 359678109 | COM | 21,926 | $39,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,600 | $39,000 | thousands by filing date | call |
| VANTIV INC | 92210H105 | CL A | 700 | $39,000 | thousands by filing date | put |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 53,356 | $39,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,200 | $38,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 23,700 | $38,000 | thousands by filing date | put |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 32,566 | $38,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 22,538 | $38,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 12,591 | $38,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 26,822 | $38,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 16,655 | $38,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 700 | $37,000 | thousands by filing date | put |
| PERRIGO CO PLC SHS | G97822103 | Stock | 400 | $37,000 | thousands by filing date | put |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 900 | $37,000 | thousands by filing date | put |
| CZR | 127686103 | Stock | 5,000 | $37,000 | thousands by filing date | put |
| POTBELLY CORP | 73754Y100 | COM | 3,000 | $37,000 | thousands by filing date | put |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,400 | $37,000 | thousands by filing date | call |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 20,048 | $37,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 14,600 | $37,000 | thousands by filing date | put |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 30,931 | $37,000 | thousands by filing date | |
| Emergent Capital | 29102N105 | Com | 12,563 | $37,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 22,194 | $37,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 6,000 | $37,000 | thousands by filing date | call |
| GATX CORP COM | 361448103 | Stock | 800 | $36,000 | thousands by filing date | put |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 1,300 | $36,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 5,100 | $36,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 7,600 | $36,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,600 | $36,000 | thousands by filing date | call |
| IMATION CORP | 45245A107 | COM | 56,307 | $36,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 900 | $36,000 | thousands by filing date | call |
| GTX INC | 40052B108 | COM | 45,619 | $36,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 43,779 | $36,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 10,970 | $36,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 500 | $35,000 | thousands by filing date | put |
| VUZIX CORP | 92921W300 | COM NEW | 3,900 | $35,000 | thousands by filing date | call |
| PROFIRE ENERGY INC | 74316X101 | COM | 28,475 | $35,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,500 | $35,000 | thousands by filing date | put |
| SUMMER INFANT INC | 865646103 | COMM STK | 15,982 | $35,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 49,087 | $35,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 11,338 | $35,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 10,955 | $35,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 1,100 | $34,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 18,980 | $34,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 3,000 | $34,000 | thousands by filing date | put |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,600 | $34,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,308 | $34,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 10,635 | $34,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 2,700 | $34,000 | thousands by filing date | call |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 11,007 | $34,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 3,100 | $34,000 | thousands by filing date | put |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 19,581 | $34,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 2,000 | $34,000 | thousands by filing date | put |
| SPARK NETWORKS INC | 84651P100 | COM | 21,456 | $34,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 15,732 | $34,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 20,256 | $34,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 1,500 | $33,000 | thousands by filing date | call |
| GLOWPOINT INC | 379887201 | CMN | 118,570 | $33,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 16,472 | $33,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 14,371 | $33,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 21,337 | $33,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 500 | $32,000 | thousands by filing date | put |
| UGI CORP NEW COM | 902681105 | Stock | 700 | $32,000 | thousands by filing date | call |
| WATERS CORP COM | 941848103 | Stock | 200 | $32,000 | thousands by filing date | call |
| UR-ENERGY INC | 91688R108 | COM | 65,404 | $32,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 3,600 | $32,000 | thousands by filing date | put |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 16,554 | $32,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 17,900 | $32,000 | thousands by filing date | put |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 50,759 | $32,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 35,573 | $32,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 20,951 | $32,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 15,290 | $32,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 12,455 | $32,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 24,605 | $32,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 1,100 | $31,000 | thousands by filing date | call |
| SABRE CORP COM | 78573M104 | Stock | 1,100 | $31,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 18,200 | $31,000 | thousands by filing date | put |
| LANTRONIX INC | 516548203 | COMMON STOCK | 22,030 | $31,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 17,385 | $31,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 102,714 | $31,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 18,953 | $31,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 1,400 | $30,000 | thousands by filing date | put |
| SYNOPSYS INC COM | 871607107 | Stock | 500 | $30,000 | thousands by filing date | call |
| PJT PARTNERS INC | 69343T107 | COM CL A | 1,098 | $30,000 | thousands by filing date | put |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 1,000 | $30,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 25,200 | $30,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 107,119 | $30,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 16,312 | $30,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 18,656 | $30,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 15,849 | $30,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 2,700 | $29,000 | thousands by filing date | put |
| CMS ENERGY CORP COM | 125896100 | Stock | 700 | $29,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 60,087 | $29,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,300 | $29,000 | thousands by filing date | put |
| CROWN HLDGS INC COM | 228368106 | Stock | 500 | $29,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 32,893 | $29,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 7,000 | $29,000 | thousands by filing date | put |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,200 | $29,000 | thousands by filing date | call |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 4,000 | $29,000 | thousands by filing date | call |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 2,900 | $29,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 46,627 | $29,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 34,802 | $29,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 51,000 | $29,000 | thousands by filing date | principal |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 12,508 | $29,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 800 | $28,000 | thousands by filing date | put |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 3,900 | $28,000 | thousands by filing date | call |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,100 | $28,000 | thousands by filing date | call |
| TIVO CORP | 88870P106 | COM | 1,428 | $28,000 | thousands by filing date | put |
| NOODLES & CO | 65540B105 | COM CL A | 5,800 | $28,000 | thousands by filing date | call |
| INTERMOLECULAR INC | 45882D109 | COM | 28,593 | $28,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 30,000 | $28,000 | thousands by filing date | principal |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 11,962 | $28,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 1,000 | $27,000 | thousands by filing date | put |
| ZIFF DAVIS INC | 48123V102 | COM | 400 | $27,000 | thousands by filing date | call |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 300 | $27,000 | thousands by filing date | call |
| Hugoton Royalty Trust | 444717102 | COM | 11,221 | $27,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 5,400 | $27,000 | thousands by filing date | call |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 1,548 | $27,000 | thousands by filing date | call |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 18,865 | $27,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 36,041 | $27,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 24,444 | $27,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 24,751 | $27,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 14,205 | $27,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 3,100 | $26,000 | thousands by filing date | put |
| HALYARD HEALTH INC | 40650V100 | COM | 744 | $26,000 | thousands by filing date | call |
| CONNS INC | 208242107 | COM | 2,500 | $26,000 | thousands by filing date | call |
| QUALITY SYS INC | 747582104 | COM | 2,300 | $26,000 | thousands by filing date | call |
| ACTUANT CORP | 00508X203 | CL A NEW | 1,100 | $26,000 | thousands by filing date | call |
| UQM TECHNOLOGIES INC | 903213106 | COM | 42,280 | $26,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 2,100 | $26,000 | thousands by filing date | put |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 14,725 | $26,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 26,000 | $26,000 | thousands by filing date | principal |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 1,800 | $25,000 | thousands by filing date | call |
| COVANTA HLDG CORP | 22282E102 | COM | 1,600 | $25,000 | thousands by filing date | put |
| ISHARES | 46434V548 | EXCHANGE TRADED | 1,600 | $25,000 | thousands by filing date | put |
| CAREER EDUCATION CORP | 141665109 | COM | 3,700 | $25,000 | thousands by filing date | put |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 18,669 | $25,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 24,616 | $25,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 10,584 | $25,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 20,000 | $25,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 43,000 | $25,000 | thousands by filing date | principal |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 13,310 | $25,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 200 | $24,000 | thousands by filing date | call |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 1,700 | $24,000 | thousands by filing date | put |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 5,800 | $24,000 | thousands by filing date | call |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 600 | $24,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 26,000 | $24,000 | thousands by filing date | principal |
| LEXMARK INTL NEW | 529771107 | CL A | 600 | $24,000 | thousands by filing date | put |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,300 | $24,000 | thousands by filing date | call |
| MICHAELS COS INC | 59408Q106 | COM | 1,000 | $24,000 | thousands by filing date | call |
| SYNLOGIC | 60470J103 | Stock | 12,218 | $24,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 10,150 | $24,000 | thousands by filing date | |
| Capnia, Inc. | 14066L105 | Common | 26,312 | $24,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 21,651 | $23,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 3,700 | $23,000 | thousands by filing date | call |
| POST HLDGS INC | 737446104 | COM | 300 | $23,000 | thousands by filing date | put |
| ORAGENICS INC | 684023203 | COM NEW | 50,615 | $23,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,540 | $23,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,212 | $23,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 300 | $23,000 | thousands by filing date | call |
| GIGA TRONICS INC | 375175106 | COM | 24,769 | $23,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 28,145 | $23,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 1,700 | $23,000 | thousands by filing date | put |
| SONUS NETWORKS INC | 835916503 | COM NEW | 3,000 | $23,000 | thousands by filing date | call |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 2,300 | $23,000 | thousands by filing date | call |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 15,247 | $23,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 400 | $22,000 | thousands by filing date | call |
| EDISON INTL COM | 281020107 | Stock | 300 | $22,000 | thousands by filing date | call |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,000 | $22,000 | thousands by filing date | put |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,200 | $22,000 | thousands by filing date | call |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,000 | $22,000 | thousands by filing date | call |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 12,914 | $22,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 15,852 | $22,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 10,763 | $22,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 13,500 | $22,000 | thousands by filing date | call |
| INFOSONICS CORP | 456784107 | COM | 43,991 | $22,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 224,062 | $22,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 18,196 | $22,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 23,605 | $22,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 300 | $21,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 2,900 | $21,000 | thousands by filing date | call |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 2,000 | $21,000 | thousands by filing date | call |
| SEMGROUP CORP | 81663A105 | CL A | 600 | $21,000 | thousands by filing date | put |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 500 | $21,000 | thousands by filing date | call |
| JUST ENERGY GROUP INC | 48213W101 | COM | 4,200 | $21,000 | thousands by filing date | put |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,800 | $21,000 | thousands by filing date | put |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 500 | $21,000 | thousands by filing date | put |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 5,000 | $21,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 2,500 | $21,000 | thousands by filing date | put |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 4,200 | $21,000 | thousands by filing date | put |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 26,187 | $21,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 18,490 | $21,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 19,587 | $21,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 19,000 | $21,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 28,000 | $21,000 | thousands by filing date | principal |
| FISERV INC | 337738108 | COM | 200 | $20,000 | thousands by filing date | call |
| AMEREN CORP COM | 023608102 | Stock | 400 | $20,000 | thousands by filing date | put |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 400 | $20,000 | thousands by filing date | call |
| B & G FOODS INC | 05508R106 | COM | 400 | $20,000 | thousands by filing date | call |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 100 | $20,000 | thousands by filing date | put |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 100 | $20,000 | thousands by filing date | call |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 19,700 | $20,000 | thousands by filing date | call |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,400 | $20,000 | thousands by filing date | put |
| Female Health Company | 314462102 | COM | 16,025 | $20,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 24,458 | $20,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 700 | $20,000 | thousands by filing date | put |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 700 | $20,000 | thousands by filing date | call |
| XTNT | 98420P100 | Common | 17,617 | $20,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 12,441 | $20,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 54,637 | $20,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 17,450 | $20,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 10,982 | $20,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 300 | $19,000 | thousands by filing date | call |
| WP CAREY INC COM | 92936U109 | REIT | 300 | $19,000 | thousands by filing date | call |
| POOL CORP COM | 73278L105 | Stock | 200 | $19,000 | thousands by filing date | call |
| KLX INC | 482539103 | COM | 550 | $19,000 | thousands by filing date | call |
| SPX FLOW INC COM | 78469X107 | Stock | 600 | $19,000 | thousands by filing date | call |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 960 | $19,000 | thousands by filing date | call |
| VIVUS INC | 928551100 | COM | 16,700 | $19,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 24,800 | $19,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 16,753 | $19,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 12,467 | $19,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,100 | $19,000 | thousands by filing date | call |
| RAPID7 INC COM | 753422104 | Stock | 1,000 | $18,000 | thousands by filing date | put |
| AARONS INC | 002535300 | COM PAR $0.50 | 700 | $18,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 1,400 | $18,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 14,044 | $18,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 13,275 | $18,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 30,275 | $18,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 12,394 | $18,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 2,800 | $17,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 37,080 | $17,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 200 | $17,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 15,171 | $17,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 28,100 | $17,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 2,200 | $17,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 12,353 | $17,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 6,200 | $17,000 | thousands by filing date | call |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 12,490 | $17,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 11,000 | $17,000 | thousands by filing date | principal |
| AMERICAN DG ENERGY INC | 025398108 | COM | 65,157 | $17,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 584 | $17,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 12,822 | $17,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,600 | $17,000 | thousands by filing date | put |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 27,151 | $17,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 12,718 | $17,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 20,144 | $17,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 5,700 | $16,000 | thousands by filing date | call |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 6,000 | $16,000 | thousands by filing date | put |
| ZOES KITCHEN INC | 98979J109 | COM | 700 | $16,000 | thousands by filing date | call |
| SIGMA DESIGNS INC | 826565103 | COM | 2,000 | $16,000 | thousands by filing date | put |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 10,105 | $16,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 34,352 | $16,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 1,100 | $16,000 | thousands by filing date | call |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 17,375 | $16,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 10,976 | $16,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 65,820 | $16,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 6,900 | $15,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,800 | $15,000 | thousands by filing date | call |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 500 | $15,000 | thousands by filing date | call |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 153,020 | $15,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 3,200 | $15,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 10,434 | $15,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 2,000 | $15,000 | thousands by filing date | put |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 2,000 | $15,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 16,931 | $15,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 600 | $15,000 | thousands by filing date | put |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 14,000 | $15,000 | thousands by filing date | principal |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 10,895 | $15,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 1,800 | $15,000 | thousands by filing date | call |
| TRIMBLE INC COM | 896239100 | Stock | 500 | $14,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 8,200 | $14,000 | thousands by filing date | put |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,000 | $14,000 | thousands by filing date | call |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,700 | $14,000 | thousands by filing date | put |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 18,209 | $14,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 52,323 | $14,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 14,000 | $14,000 | thousands by filing date | principal |
| SPHERIX INC | 84842R403 | COM PAR NEW | 10,602 | $14,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 2,000 | $14,000 | thousands by filing date | put |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,100 | $14,000 | thousands by filing date | call |
| TCP International Holdings Ltd | H84689100 | COMMON | 10,755 | $14,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 200 | $13,000 | thousands by filing date | put |
| CMS ENERGY CORP COM | 125896100 | Stock | 300 | $13,000 | thousands by filing date | put |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 300 | $13,000 | thousands by filing date | put |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 2,400 | $13,000 | thousands by filing date | put |
| OIL STS INTL INC | 678026105 | COM | 400 | $13,000 | thousands by filing date | call |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 100 | $13,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F302 | COM SER C | 500 | $13,000 | thousands by filing date | put |
| HEALTHWAYS INC | 422245100 | COM | 500 | $13,000 | thousands by filing date | call |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 13,000 | $13,000 | thousands by filing date | principal |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 13,000 | $13,000 | thousands by filing date | principal |
| BIOSTAGE INC | 09074M103 | COM | 12,353 | $13,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,100 | $12,000 | thousands by filing date | put |
| SUNSHINE HEART INC | 86782u106 | COM | 21,694 | $12,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 10,707 | $12,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 65,254 | $12,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 800 | $12,000 | thousands by filing date | put |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 13,000 | $12,000 | thousands by filing date | principal |
| Lion Biotechnologies | 53619R102 | COM | 1,400 | $12,000 | thousands by filing date | put |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 17,085 | $12,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 321 | $11,000 | thousands by filing date | put |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 600 | $11,000 | thousands by filing date | put |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 400 | $11,000 | thousands by filing date | call |
| BRINKS CO | 109696104 | COM | 300 | $11,000 | thousands by filing date | put |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 500 | $11,000 | thousands by filing date | put |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 11,023 | $11,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 400 | $11,000 | thousands by filing date | put |
| ISHARES | 464286830 | EXCHANGE TRADED | 1,300 | $11,000 | thousands by filing date | put |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 11,000 | $11,000 | thousands by filing date | principal |
| NEONODE INC | 64051M402 | COM NEW | 10,015 | $11,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 12,963 | $11,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 800 | $11,000 | thousands by filing date | call |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 20,530 | $11,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 12,000 | $11,000 | thousands by filing date | principal |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 800 | $10,000 | thousands by filing date | call |
| MRC GLOBAL INC | 55345K103 | COM | 600 | $10,000 | thousands by filing date | call |
| SYMANTEC CORP | 871503108 | COM | 400 | $10,000 | thousands by filing date | call |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 5,900 | $10,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 20,037 | $10,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 16,603 | $10,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 14,972 | $10,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 300 | $9,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,300 | $9,000 | thousands by filing date | call |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 441 | $9,000 | thousands by filing date | put |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 400 | $9,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 8,300 | $9,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,200 | $9,000 | thousands by filing date | put |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 9,200 | $9,000 | thousands by filing date | put |
| VERIFONE SYS INC | 92342Y109 | COM | 600 | $9,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 12,482 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 900 | $9,000 | thousands by filing date | call |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 40,545 | $9,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 24,710 | $9,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 17,563 | $9,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 100 | $8,000 | thousands by filing date | call |
| PJT PARTNERS INC | 69343T107 | COM CL A | 284 | $8,000 | thousands by filing date | call |
| URBAN EDGE PPTYS | 91704F104 | COM | 300 | $8,000 | thousands by filing date | call |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 500 | $8,000 | thousands by filing date | put |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 13,018 | $8,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 100 | $8,000 | thousands by filing date | call |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 200 | $8,000 | thousands by filing date | call |
| VANGUARD | 92205F106 | Domestic Common | 8,900 | $8,000 | thousands by filing date | call |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 15,541 | $8,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,000 | $8,000 | thousands by filing date | put |
| TALEN ENERGY CORP | 87422J105 | COM | 600 | $8,000 | thousands by filing date | put |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 15,389 | $8,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 500 | $7,000 | thousands by filing date | call |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 343 | $7,000 | thousands by filing date | call |
| POLYONE CORP | 73179P106 | COM | 200 | $7,000 | thousands by filing date | put |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 44,131 | $7,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 16,163 | $7,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,200 | $7,000 | thousands by filing date | call |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 430 | $7,000 | thousands by filing date | put |
| BIODEL INC | 09064M204 | COM | 16,934 | $7,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 10,210 | $7,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 11,967 | $7,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 100 | $6,000 | thousands by filing date | call |
| SEMTECH CORP COM | 816850101 | Stock | 200 | $6,000 | thousands by filing date | put |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 200 | $6,000 | thousands by filing date | put |
| OIL STS INTL INC | 678026105 | COM | 200 | $6,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,900 | $6,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 51,768 | $6,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 700 | $6,000 | thousands by filing date | put |
| SKULLCANDY INC | 83083J104 | COM | 1,000 | $6,000 | thousands by filing date | put |
| ON DECK CAP INC | 682163100 | COM | 1,000 | $6,000 | thousands by filing date | call |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 150 | $5,000 | thousands by filing date | call |
| COMMVAULT SYS INC COM | 204166102 | Stock | 100 | $5,000 | thousands by filing date | put |
| WORLD KINECT CORPORATION | 981475106 | COM | 100 | $5,000 | thousands by filing date | call |
| POPEYES LA KITCHEN INC | 732872106 | COM | 100 | $5,000 | thousands by filing date | put |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | put |
| PENN WEST PETE LTD NEW | 707887105 | COM | 2,800 | $5,000 | thousands by filing date | call |
| COSI INC | 22122P200 | COM | 71,444 | $5,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 28,873 | $5,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 600 | $5,000 | thousands by filing date | call |
| EP ENERGY CORP | 268785102 | CL A | 1,100 | $5,000 | thousands by filing date | put |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 1,700 | $5,000 | thousands by filing date | call |
| GEVO INC COM PAR | 374396208 | Stock | 10,158 | $5,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 100 | $4,000 | thousands by filing date | call |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 300 | $4,000 | thousands by filing date | call |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 600 | $4,000 | thousands by filing date | put |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,800 | $4,000 | thousands by filing date | call |
| BRIGGS & STRATTON CORP | 109043109 | COM | 200 | $4,000 | thousands by filing date | put |
| NEURALSTEM INC | 64127R302 | COM | 12,550 | $4,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 26,802 | $4,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | call |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 32,139 | $4,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 100 | $3,000 | thousands by filing date | call |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 100 | $3,000 | thousands by filing date | put |
| COMFORT SYS USA INC COM | 199908104 | Stock | 100 | $3,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 400 | $3,000 | thousands by filing date | put |
| AARONS INC | 002535300 | COM PAR $0.50 | 100 | $3,000 | thousands by filing date | put |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 200 | $3,000 | thousands by filing date | put |
| DISCOVERY INC | 25470F302 | COM SER C | 100 | $3,000 | thousands by filing date | call |
| POLYONE CORP | 73179P106 | COM | 100 | $3,000 | thousands by filing date | call |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 100 | $3,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 900 | $3,000 | thousands by filing date | put |
| QUALITY SYS INC | 747582104 | COM | 300 | $3,000 | thousands by filing date | put |
| HEALTHWAYS INC | 422245100 | COM | 100 | $3,000 | thousands by filing date | put |
| VANGUARD | 92205F106 | Domestic Common | 3,700 | $3,000 | thousands by filing date | put |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 100 | $3,000 | thousands by filing date | call |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 1,000 | $3,000 | thousands by filing date | put |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 700 | $3,000 | thousands by filing date | put |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 10,735 | $3,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 20,457 | $3,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 100 | $2,000 | thousands by filing date | put |
| MRC GLOBAL INC | 55345K103 | COM | 100 | $2,000 | thousands by filing date | put |
| LIQUIDITY SVCS INC | 53635B107 | COM | 200 | $2,000 | thousands by filing date | call |
| DSW INC-CLASS A | 23334L102 | CL A | 100 | $2,000 | thousands by filing date | put |
| ISHARES | 46434V548 | EXCHANGE TRADED | 100 | $2,000 | thousands by filing date | call |
| CONNS INC | 208242107 | COM | 200 | $2,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 100 | $2,000 | thousands by filing date | call |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 2,500 | $2,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 127,934 | $2,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 600 | $2,000 | thousands by filing date | put |
| PRIMERO MNG CORP | 74164W106 | COM | 1,100 | $2,000 | thousands by filing date | put |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 10,110 | $2,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 800 | $2,000 | thousands by filing date | call |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 10,944 | $2,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 180 | $2,000 | thousands by filing date | put |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 100 | $1,000 | thousands by filing date | call |
| CNH INDL N V SHS | N20944109 | Stock | 100 | $1,000 | thousands by filing date | put |
| MIMEDX GROUP INC | 602496101 | COM | 100 | $1,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,200 | $1,000 | thousands by filing date | call |
| GANNETT SPINCO INC | 36473H104 | COM | 50 | $1,000 | thousands by filing date | call |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 200 | $1,000 | thousands by filing date | put |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 350 | $1,000 | thousands by filing date | call |
| PHH CORP | 693320202 | COM NEW | 100 | $1,000 | thousands by filing date | put |
| PLY GEM HLDGS INC | 72941W100 | COM | 100 | $1,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 500 | $1,000 | thousands by filing date | call |
| VIVUS INC | 928551100 | COM | 1,300 | $1,000 | thousands by filing date | put |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 100 | $1,000 | thousands by filing date | put |
| CITIGROUP INC | 172967226 | WARRANT | 17,840 | $1,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 11 | $1,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 206,128 | $1,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 112 | $1,000 | thousands by filing date | put |
| LA QUINTA HLDGS INC | 50420D108 | COM | 100 | $1,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-16-001820 | this filing | 2016-11-14 | acceptance time not in the bulk data set |