13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 6,867 holding rows worth $353,616,262,000.
- Accession
- 0000769993-17-000381
- Filer
- CIK 886982
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 11,175 entries on the cover page, a total value of $353,616,262,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $353,616,262,000 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 |
|---|---|---|---|---|---|---|
| FIRST INTERNET BANCORP | 320557101 | COM | 9,199 | $294,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 4,900 | $294,000 | thousands by filing date | put |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 32,880 | $294,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 3,800 | $293,000 | thousands by filing date | call |
| TRC COS INC | 872625108 | COM | 27,556 | $292,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 16,000 | $290,000 | thousands by filing date | call |
| CENTURY ALUM CO | 156431108 | COM | 33,900 | $290,000 | thousands by filing date | call |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 22,323 | $290,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 41,395 | $290,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 36,041 | $290,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 1,609 | $290,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 13,778 | $289,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 74,144 | $289,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 14,090 | $289,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 39,150 | $289,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 32,687 | $289,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 12,900 | $289,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 279,000 | $289,000 | thousands by filing date | principal |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 14,800 | $288,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 4,947 | $288,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 213,602 | $288,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 15,200 | $287,000 | thousands by filing date | call |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 117,522 | $287,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 6,600 | $286,000 | thousands by filing date | put |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 104,400 | $285,000 | thousands by filing date | call |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 17,144 | $284,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 38,400 | $284,000 | thousands by filing date | put |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 24,499 | $283,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 13,144 | $283,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 14,000 | $282,000 | thousands by filing date | call |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 3,909 | $282,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 30,333 | $282,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 54,236 | $282,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 21,222 | $282,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 8,400 | $281,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 12,800 | $281,000 | thousands by filing date | call |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 25,120 | $281,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 8,479 | $281,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 13,300 | $280,000 | thousands by filing date | call |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 8,021 | $280,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 42,881 | $279,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 22,700 | $279,000 | thousands by filing date | call |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 8,885 | $279,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 11,868 | $278,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 14,700 | $278,000 | thousands by filing date | call |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 5,000 | $278,000 | thousands by filing date | call |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 16,231 | $278,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 9,226 | $278,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 29,900 | $278,000 | thousands by filing date | call |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 4,100 | $277,000 | thousands by filing date | call |
| PITNEY BOWES INC COM | 724479100 | Stock | 18,200 | $276,000 | thousands by filing date | put |
| VITAL THERAPIES INC | 92847R104 | COM | 63,388 | $276,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 3,500 | $275,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 5,600 | $275,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 16,739 | $275,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 9,589 | $275,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 10,700 | $275,000 | thousands by filing date | put |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 32,706 | $275,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 8,700 | $274,000 | thousands by filing date | call |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 17,968 | $274,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 19,140 | $272,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 82,401 | $271,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 8,047 | $271,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 31,449 | $271,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 14,900 | $270,000 | thousands by filing date | put |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 19,704 | $270,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 15,100 | $269,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 11,611 | $269,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 2,200 | $269,000 | thousands by filing date | put |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 14,804 | $269,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 3,200 | $268,000 | thousands by filing date | call |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 12,892 | $268,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 16,721 | $267,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 6,673 | $266,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 17,488 | $265,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 13,700 | $265,000 | thousands by filing date | call |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 2,300 | $264,000 | thousands by filing date | call |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 135,950 | $264,000 | thousands by filing date | call |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 2,600 | $263,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 11,499 | $263,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 6,480 | $262,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 21,300 | $262,000 | thousands by filing date | put |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 14,500 | $262,000 | thousands by filing date | call |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 27,319 | $262,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 26,000 | $262,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 12,898 | $262,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 22,120 | $261,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 13,729 | $261,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 10,294 | $261,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 9,942 | $260,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 6,016 | $260,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 15,337 | $260,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 110,587 | $260,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 10,176 | $260,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 6,700 | $260,000 | thousands by filing date | call |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 39,326 | $259,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 20,700 | $258,000 | thousands by filing date | put |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 8,000 | $258,000 | thousands by filing date | call |
| AECOM COM | 00766T100 | Stock | 7,100 | $258,000 | thousands by filing date | put |
| PATTERSON COS INC | 703395103 | COM | 6,300 | $258,000 | thousands by filing date | call |
| CAESARSTONE LTD | M20598104 | ORD SHS | 9,000 | $258,000 | thousands by filing date | call |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 3,848 | $258,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 10,000 | $258,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 8,196 | $257,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 11,134 | $257,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 11,612 | $257,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 7,682 | $256,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,985 | $256,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 3,674 | $255,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 6,400 | $255,000 | thousands by filing date | call |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 46,438 | $255,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 23,800 | $255,000 | thousands by filing date | call |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 43,223 | $255,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 13,400 | $254,000 | thousands by filing date | call |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 12,578 | $253,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 13,204 | $252,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 5,783 | $252,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 20,000 | $250,000 | thousands by filing date | call |
| CITIZENS INC | 174740100 | COMMON STOCK | 25,479 | $250,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 58,801 | $250,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 6,422 | $249,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 13,500 | $249,000 | thousands by filing date | call |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 195,000 | $249,000 | thousands by filing date | principal |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 43,594 | $248,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 30,300 | $248,000 | thousands by filing date | call |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 8,028 | $248,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 19,891 | $247,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 22,400 | $247,000 | thousands by filing date | put |
| MOBILEIRON INC | 60739U204 | COM NEW | 65,842 | $247,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 9,228 | $245,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 12,700 | $245,000 | thousands by filing date | put |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 16,795 | $244,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 10,504 | $244,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 120,000 | $244,000 | thousands by filing date | principal |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 12,900 | $243,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 7,254 | $243,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 1,800 | $242,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 5,900 | $242,000 | thousands by filing date | put |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,500 | $241,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 9,263 | $241,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 6,100 | $241,000 | thousands by filing date | put |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 16,952 | $240,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 4,554 | $240,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 25,945 | $240,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 7,700 | $240,000 | thousands by filing date | call |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 214,000 | $240,000 | thousands by filing date | principal |
| CRAWFORD & CO | 224633107 | COM | 18,985 | $238,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 168,695 | $238,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 30,319 | $238,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 6,906 | $238,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 50,000 | $238,000 | thousands by filing date | principal |
| CENTURY ALUM CO | 156431108 | COM | 27,700 | $237,000 | thousands by filing date | put |
| AXT INC | 00246W103 | COM | 49,261 | $236,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 20,430 | $236,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 16,335 | $236,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 19,736 | $236,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,482 | $235,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 7,590 | $235,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 4,200 | $235,000 | thousands by filing date | put |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 7,400 | $235,000 | thousands by filing date | put |
| ENERNOC INC | 292764107 | COMMON STOCK | 39,248 | $235,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 42,087 | $235,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 60,700 | $234,000 | thousands by filing date | put |
| GUESS INC COM | 401617105 | Stock | 19,300 | $234,000 | thousands by filing date | put |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 22,400 | $234,000 | thousands by filing date | put |
| UNIT CORP | 909218109 | COM | 8,700 | $234,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 5,897 | $233,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 33,167 | $231,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,300 | $230,000 | thousands by filing date | put |
| ISHARES INC | 464286509 | MSCI CDA ETF | 8,800 | $230,000 | thousands by filing date | put |
| O-I GLASS, INC. | 690768403 | COM | 13,200 | $230,000 | thousands by filing date | put |
| TESSERA HLDG CORP COM | 88166T101 | Stock | 5,200 | $230,000 | thousands by filing date | put |
| VIDEOCON D2H LTD | 92657J101 | ADR | 28,013 | $230,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,000 | $229,000 | thousands by filing date | call |
| ERIN ENERGY CORP COM | 295625107 | Stock | 75,141 | $229,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 22,045 | $228,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 14,525 | $228,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 4,573 | $228,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 218,000 | $227,000 | thousands by filing date | principal |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 16,400 | $226,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 5,027 | $226,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 96,513 | $226,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 5,411 | $226,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 8,180 | $225,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 6,779 | $225,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 48,100 | $225,000 | thousands by filing date | call |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 221,000 | $225,000 | thousands by filing date | principal |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 20,600 | $224,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 38,300 | $224,000 | thousands by filing date | call |
| PFENEX INC | 717071104 | COM | 24,712 | $224,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 11,900 | $223,000 | thousands by filing date | call |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 2,800 | $222,000 | thousands by filing date | call |
| SORL Auto Parts Inc | 78461U101 | COM | 72,888 | $222,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 1,400 | $221,000 | thousands by filing date | call |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,445 | $221,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 37,000 | $221,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 43,101 | $220,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 7,300 | $220,000 | thousands by filing date | put |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 8,212 | $220,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 25,200 | $219,000 | thousands by filing date | call |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 11,090 | $219,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 5,919 | $219,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A110 | *W EXP 10/11/202 | 25,925 | $219,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 8,600 | $218,000 | thousands by filing date | call |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 10,770 | $218,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 5,121 | $218,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 10,433 | $218,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 13,186 | $218,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 11,000 | $217,000 | thousands by filing date | call |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 35,380 | $217,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 34,140 | $217,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 217,000 | $217,000 | thousands by filing date | principal |
| FQF TR | 351680400 | QUANTSHARE SIZ | 9,963 | $217,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 2,105 | $216,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,000 | $216,000 | thousands by filing date | put |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 37,100 | $216,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 2,600 | $216,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 20,768 | $215,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 6,000 | $215,000 | thousands by filing date | put |
| HORIZON BANCORP IND | 440407104 | COM | 7,695 | $215,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 224,062 | $215,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 7,100 | $214,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 71,200 | $214,000 | thousands by filing date | call |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 16,799 | $214,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 5,609 | $214,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 45,900 | $214,000 | thousands by filing date | put |
| YRC WORLDWIDE INC | 984249607 | COM | 16,100 | $214,000 | thousands by filing date | put |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,587 | $214,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 83,440 | $213,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 11,383 | $212,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 51,400 | $212,000 | thousands by filing date | call |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 3,686 | $212,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 1,700 | $211,000 | thousands by filing date | call |
| TRIMBLE INC COM | 896239100 | Stock | 7,000 | $211,000 | thousands by filing date | put |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 13,200 | $211,000 | thousands by filing date | call |
| UNISYS CORP | 909214306 | COMMON STOCK | 14,100 | $211,000 | thousands by filing date | put |
| First Foundation Inc | 32026V104 | Common Stock | 7,398 | $211,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 11,390 | $210,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 7,800 | $210,000 | thousands by filing date | put |
| FOX CORP CLASS B | 90130A200 | COM | 7,700 | $210,000 | thousands by filing date | put |
| INTERSIL CORP | 46069S109 | CL A | 9,400 | $210,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 23,421 | $209,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 11,848 | $209,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 5,100 | $208,000 | thousands by filing date | put |
| ADIENT PLC | G0084W101 | ORD SHS | 3,542 | $208,000 | thousands by filing date | call |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 13,876 | $208,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 2,400 | $206,000 | thousands by filing date | call |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 5,721 | $206,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 48,990 | $206,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 24,066 | $206,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 94,278 | $205,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 19,655 | $205,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 23,500 | $205,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 14,700 | $204,000 | thousands by filing date | put |
| NISOURCE INC COM | 65473P105 | Stock | 9,200 | $204,000 | thousands by filing date | put |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 7,606 | $204,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 134,788 | $204,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 5,102 | $204,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 10,896 | $204,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 18,100 | $203,000 | thousands by filing date | call |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,800 | $203,000 | thousands by filing date | put |
| GREEN PLAINS INC | 393222104 | COM | 7,300 | $203,000 | thousands by filing date | put |
| Delta Apparel Inc | 247368103 | COM | 9,776 | $203,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 5,522 | $203,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 35,200 | $203,000 | thousands by filing date | put |
| MYOKARDIA INC | 62857M105 | COM | 15,656 | $203,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 11,300 | $202,000 | thousands by filing date | put |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 19,312 | $201,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 10,877 | $201,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 75,561 | $201,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 5,247 | $199,000 | thousands by filing date | put |
| ADVANSIX INC | 00773T101 | COM | 9,008 | $199,000 | thousands by filing date | call |
| LIBERTY TAX INC | 53128T102 | CL A | 14,855 | $199,000 | thousands by filing date | |
| TESSERA HLDG CORP COM | 88166T101 | Stock | 4,500 | $199,000 | thousands by filing date | call |
| SURGERY PARTNERS INC | 86881A100 | COM | 12,504 | $198,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 50,000 | $198,000 | thousands by filing date | put |
| OOMA INC | 683416101 | COM | 22,043 | $198,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 22,774 | $198,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 16,525 | $197,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 21,308 | $197,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 25,807 | $197,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 35,970 | $196,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 11,300 | $196,000 | thousands by filing date | put |
| AMBER ROAD INC | 02318Y108 | COM | 21,531 | $196,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 67,121 | $195,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 11,878 | $195,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 10,364 | $194,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 12,900 | $194,000 | thousands by filing date | call |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 12,974 | $194,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 38,765 | $194,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 3,600 | $193,000 | thousands by filing date | put |
| B & G FOODS INC | 05508R106 | COM | 4,400 | $193,000 | thousands by filing date | put |
| HOWARD BANCORP INC COM | 442496105 | COM | 12,781 | $193,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 1,400 | $192,000 | thousands by filing date | put |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 12,243 | $192,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 2,300 | $192,000 | thousands by filing date | put |
| INTERSIL CORP | 46069S109 | CL A | 8,600 | $192,000 | thousands by filing date | call |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 13,649 | $191,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 6,300 | $190,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 32,400 | $190,000 | thousands by filing date | put |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 3,700 | $189,000 | thousands by filing date | call |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 4,300 | $189,000 | thousands by filing date | call |
| BANK OF THE OZARKS | 063904106 | COM | 3,600 | $189,000 | thousands by filing date | call |
| ENERPLUS CORP | 292766102 | COM | 19,900 | $189,000 | thousands by filing date | put |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 10,094 | $189,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 20,718 | $189,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 11,887 | $188,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 3,300 | $188,000 | thousands by filing date | put |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 11,296 | $188,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789100 | UNIT 12/17/2021T | 17,091 | $188,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 3,800 | $187,000 | thousands by filing date | call |
| GENTEX CORP COM | 371901109 | Stock | 9,500 | $187,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 14,446 | $186,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 11,300 | $186,000 | thousands by filing date | call |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 48,373 | $186,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 7,751 | $186,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 8,200 | $185,000 | thousands by filing date | put |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 1,700 | $185,000 | thousands by filing date | call |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 24,430 | $185,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 6,600 | $185,000 | thousands by filing date | call |
| PHARMATHENE INC | 71714G102 | COM | 56,991 | $185,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 50,326 | $185,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 20,797 | $184,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 23,596 | $184,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 14,074 | $183,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 13,582 | $183,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 15,831 | $183,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 56,467 | $183,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 33,965 | $183,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 2,100 | $182,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 14,500 | $182,000 | thousands by filing date | put |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 180,000 | $182,000 | thousands by filing date | principal |
| EZCORP INC | 302301106 | CL A NON VTG | 17,000 | $181,000 | thousands by filing date | call |
| CPI CARD GROUP INC | 12634H101 | COM | 43,561 | $181,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 9,400 | $180,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 72,025 | $180,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C205 | UNIT 99/99/9999 | 17,323 | $180,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 3,200 | $179,000 | thousands by filing date | call |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 7,600 | $179,000 | thousands by filing date | call |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 3,600 | $179,000 | thousands by filing date | call |
| ADTRAN INC | 00738A106 | COMMON STOCK | 8,000 | $179,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 25,371 | $178,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 101,806 | $178,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 55,000 | $177,000 | thousands by filing date | put |
| ECOLAB INC COM | 278865100 | Stock | 1,500 | $176,000 | thousands by filing date | put |
| RADWARE LTD | M81873107 | COMMON STOCK | 12,038 | $176,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 64,017 | $176,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,900 | $175,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 50,000 | $175,000 | thousands by filing date | call |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 2,400 | $175,000 | thousands by filing date | call |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 8,300 | $175,000 | thousands by filing date | put |
| CHANNELADVISOR CORP | 159179100 | COM | 12,176 | $175,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 102,061 | $174,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 41,441 | $174,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 29,100 | $174,000 | thousands by filing date | put |
| CEMPRA INC | 15130J109 | COM | 62,000 | $174,000 | thousands by filing date | put |
| AIRMEDIA GROUP INC | 009411109 | ADR | 71,069 | $174,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 14,900 | $173,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 12,110 | $173,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 3,300 | $173,000 | thousands by filing date | put |
| AFFIMED N V | N01045108 | COM | 95,968 | $173,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 48,536 | $173,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 12,479 | $172,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 12,428 | $172,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 13,262 | $171,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 39,530 | $171,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 10,481 | $171,000 | thousands by filing date | call |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 132,000 | $171,000 | thousands by filing date | principal |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 30,183 | $171,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 61,063 | $171,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 4,400 | $171,000 | thousands by filing date | put |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 26,369 | $171,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 13,600 | $170,000 | thousands by filing date | call |
| NOVAVAX INC | 670002104 | COMMON STOCK | 135,000 | $170,000 | thousands by filing date | call |
| NEWLINK GENETICS CORP | 651511107 | COM | 16,500 | $170,000 | thousands by filing date | put |
| SYSTEMAX INC | 871851101 | COM | 19,346 | $170,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 13,959 | $170,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 12,795 | $169,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 10,204 | $169,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 291,250 | $169,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 78,450 | $169,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 14,700 | $168,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 19,637 | $168,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 21,810 | $168,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 20,262 | $168,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 27,849 | $168,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 26,834 | $168,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 2,700 | $168,000 | thousands by filing date | call |
| Zagg, Inc. | 98884U108 | COM | 23,701 | $168,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 40,524 | $168,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 13,100 | $168,000 | thousands by filing date | put |
| TIGENIX | 88675R109 | SPONSORED ADS | 11,500 | $168,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 21,035 | $167,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 4,000 | $166,000 | thousands by filing date | call |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,300 | $166,000 | thousands by filing date | call |
| OCEANEERING INTL INC | 675232102 | COM | 5,900 | $166,000 | thousands by filing date | call |
| LEGGETT & PLATT INC | 524660107 | COM | 3,400 | $166,000 | thousands by filing date | put |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 32,667 | $165,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 94,523 | $165,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 71,895 | $165,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 221,450 | $165,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 2,700 | $164,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 59,344 | $164,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 14,167 | $164,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 11,661 | $164,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 32,823 | $164,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 167,000 | $164,000 | thousands by filing date | principal |
| FANG HOLDING-ADR | 30711Y102 | ADR | 50,000 | $164,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 16,300 | $163,000 | thousands by filing date | call |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 6,000 | $163,000 | thousands by filing date | put |
| BON-TON STORES INC | 09776J101 | COM | 111,186 | $163,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 14,573 | $162,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 16,241 | $162,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 2,700 | $161,000 | thousands by filing date | put |
| HC2 HLDGS INC | 404139107 | COM | 27,286 | $161,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 3,200 | $160,000 | thousands by filing date | put |
| NEOPHOTONICS CORP | 64051T100 | COM | 14,816 | $160,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 2,800 | $159,000 | thousands by filing date | put |
| ATOMERA INC | 04965B100 | COMMON STOCK | 23,492 | $159,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 3,700 | $157,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 4,900 | $157,000 | thousands by filing date | put |
| EGALET CORP | 28226B104 | COM | 20,471 | $157,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 23,349 | $156,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 18,921 | $156,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 411,605 | $156,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 22,962 | $156,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 17,600 | $155,000 | thousands by filing date | call |
| CALPINE CORP | 131347304 | COM | 13,600 | $155,000 | thousands by filing date | call |
| BANCORP INC DEL | 05969A105 | COM | 19,615 | $154,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 12,000 | $154,000 | thousands by filing date | call |
| KVH INDS INC | 482738101 | COM | 13,069 | $154,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 38,619 | $154,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 1,500 | $154,000 | thousands by filing date | put |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 37,554 | $154,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 14,178 | $154,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 12,000 | $154,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 1,800 | $153,000 | thousands by filing date | put |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 9,300 | $153,000 | thousands by filing date | put |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 50,000 | $153,000 | thousands by filing date | call |
| XL GROUP LTD | G98294104 | COM | 4,100 | $153,000 | thousands by filing date | call |
| ETSY INC | 29786A106 | COM | 12,900 | $152,000 | thousands by filing date | put |
| UNILEVER N V | 904784709 | N Y SHS NEW | 3,700 | $152,000 | thousands by filing date | call |
| KEY TRONIC CORP | 493144109 | COM | 19,396 | $152,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 33,061 | $152,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 8,000 | $151,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,895 | $150,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 10,914 | $150,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 237,576 | $150,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 24,862 | $149,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 2,500 | $149,000 | thousands by filing date | call |
| VIVEVE MED INC | 92852W204 | COM NEW | 28,967 | $149,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 15,892 | $148,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 85,953 | $148,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 5,200 | $147,000 | thousands by filing date | put |
| TERADATA CORP DEL | 88076W103 | COM | 5,400 | $147,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 51,793 | $147,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 3,100 | $147,000 | thousands by filing date | call |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 68,184 | $147,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 5,887 | $146,000 | thousands by filing date | call |
| AIRGAIN INC | 00938A104 | COM | 10,111 | $146,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 40,324 | $146,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 67,168 | $146,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 1,200 | $144,000 | thousands by filing date | call |
| VARIAN MED SYS INC | 92220P105 | COM | 1,600 | $144,000 | thousands by filing date | call |
| Cenveo Inc (NV) | 15670S402 | CS | 20,594 | $144,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 2,200 | $143,000 | thousands by filing date | put |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,200 | $143,000 | thousands by filing date | put |
| KITE PHARMA INC | 49803L109 | COM | 3,200 | $143,000 | thousands by filing date | put |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 9,300 | $143,000 | thousands by filing date | call |
| Progressive Corporation | 743315103 | COM | 4,000 | $142,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,075 | $142,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 80,544 | $141,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 7,400 | $141,000 | thousands by filing date | put |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 1,900 | $140,000 | thousands by filing date | put |
| NATERA INC COM | 632307104 | Stock | 11,969 | $140,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 10,684 | $140,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 143,000 | $140,000 | thousands by filing date | principal |
| PLANET PAYMENT INC | U72603118 | SHS | 34,392 | $140,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 1,800 | $139,000 | thousands by filing date | put |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 18,770 | $139,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 26,678 | $139,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 5,200 | $139,000 | thousands by filing date | call |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 28,400 | $139,000 | thousands by filing date | call |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 121,000 | $139,000 | thousands by filing date | principal |
| PATRIOT NATL INC | 70338T102 | COM | 29,798 | $139,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 21,200 | $139,000 | thousands by filing date | call |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 14,604 | $138,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 114,300 | $137,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 4,279 | $137,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 8,540 | $137,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 13,724 | $137,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 13,303 | $137,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 20,902 | $137,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 10,495 | $136,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 10,465 | $136,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 19,217 | $136,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 22,216 | $136,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 42,872 | $136,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 9,672 | $136,000 | thousands by filing date | call |
| CAI INTERNATIONAL INC | 12477X106 | COM | 15,539 | $135,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-17-000381 | this filing | 2017-02-14 | acceptance time not in the bulk data set |