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 |
|---|---|---|---|---|---|---|
| INTELSAT S A | L5140P101 | COM | 12,761 | $34,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 19,587 | $34,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 28,834 | $34,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 1,400 | $33,000 | thousands by filing date | put |
| PERRIGO CO PLC SHS | G97822103 | Stock | 400 | $33,000 | thousands by filing date | put |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 382 | $33,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 800 | $33,000 | thousands by filing date | call |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 16,695 | $33,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 1,100 | $32,000 | thousands by filing date | call |
| VERADIGM INC | 01988P108 | COMMON STOCK | 3,100 | $32,000 | thousands by filing date | put |
| VERIS RESIDENTIAL INC | 554489104 | COM | 1,100 | $32,000 | thousands by filing date | call |
| SPX FLOW INC COM | 78469X107 | Stock | 1,000 | $32,000 | thousands by filing date | call |
| QIWI PLC | 74735M108 | SPON ADR REP B | 2,500 | $32,000 | thousands by filing date | put |
| PENN WEST PETE LTD NEW | 707887105 | COM | 17,900 | $32,000 | thousands by filing date | put |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 21,617 | $32,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 12,264 | $32,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 14,910 | $32,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 300 | $31,000 | thousands by filing date | call |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 700 | $31,000 | thousands by filing date | put |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 6,400 | $31,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,111 | $31,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,500 | $31,000 | thousands by filing date | put |
| AMC NETWORKS INC | 00164V103 | CL A | 600 | $31,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 4,600 | $31,000 | thousands by filing date | put |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 1,200 | $31,000 | thousands by filing date | call |
| AIR LEASE CORP | 00912X302 | CL A | 900 | $31,000 | thousands by filing date | put |
| RADIAN GROUP INC | 750236AK7 | BOND | 20,000 | $31,000 | thousands by filing date | principal |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 11,121 | $31,000 | thousands by filing date | |
| MTGE INVT CORP COM | 55378A105 | REIT | 2,000 | $31,000 | thousands by filing date | put |
| STEADYMED LTD | M84920103 | SHS | 11,774 | $31,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 24,598 | $31,000 | thousands by filing date | |
| CATALYST | 14888D109 | COM | 48,339 | $31,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 11,015 | $30,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 21,086 | $30,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 17,098 | $30,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 30,000 | $30,000 | thousands by filing date | principal |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 10,855 | $30,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,300 | $29,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 18,980 | $29,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 5,896 | $29,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 56,672 | $29,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 50,652 | $29,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 17,747 | $29,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 40,010 | $29,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,900 | $29,000 | thousands by filing date | put |
| NIMBLE STORAGE INC | 65440R101 | COM | 3,600 | $29,000 | thousands by filing date | put |
| WILLIAMS COS INC COM | 969457100 | Stock | 900 | $28,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 32,772 | $28,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,000 | $28,000 | thousands by filing date | put |
| HALYARD HEALTH INC | 40650V100 | COM | 744 | $28,000 | thousands by filing date | call |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 27,260 | $28,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 2,200 | $28,000 | thousands by filing date | put |
| THERAPEUTICSMD INC | 88338N107 | COM | 4,800 | $28,000 | thousands by filing date | call |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,400 | $28,000 | thousands by filing date | call |
| RAND LOGISTICS INC | 752182105 | COM | 34,240 | $28,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 47,576 | $28,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 14,838 | $28,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 16,157 | $28,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 700 | $27,000 | thousands by filing date | put |
| WATERS CORP COM | 941848103 | Stock | 200 | $27,000 | thousands by filing date | call |
| RAYONIER INC COM | 754907103 | REIT | 1,000 | $27,000 | thousands by filing date | put |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 700 | $27,000 | thousands by filing date | call |
| DSW INC-CLASS A | 23334L102 | CL A | 1,200 | $27,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 5,100 | $27,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 107,508 | $27,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 11,732 | $27,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 30,946 | $27,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 19,743 | $27,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 31,504 | $27,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 17,651 | $27,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 26,000 | $27,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 11,780 | $27,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 500 | $26,000 | thousands by filing date | put |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 600 | $26,000 | thousands by filing date | put |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,800 | $26,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 2,500 | $26,000 | thousands by filing date | call |
| POTBELLY CORP | 73754Y100 | COM | 2,000 | $26,000 | thousands by filing date | put |
| MAST THERAPEUTICS INC | 576314108 | COM | 294,780 | $26,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 3,300 | $26,000 | thousands by filing date | call |
| XYLEM INC COM | 98419M100 | Stock | 500 | $25,000 | thousands by filing date | put |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 1,000 | $25,000 | thousands by filing date | call |
| SABRE CORP COM | 78573M104 | Stock | 1,000 | $25,000 | thousands by filing date | put |
| CNO FINL GROUP INC | 12621E103 | COM | 1,300 | $25,000 | thousands by filing date | put |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 200 | $25,000 | thousands by filing date | put |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,200 | $25,000 | thousands by filing date | call |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 1,300 | $25,000 | thousands by filing date | call |
| KLX INC | 482539103 | COM | 550 | $25,000 | thousands by filing date | call |
| VIRNETX HLDG CORP | 92823T108 | COM | 11,469 | $25,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 107,832 | $25,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 14,062 | $25,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 13,678 | $25,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 12,851 | $25,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 12,389 | $25,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 23,093 | $25,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 400 | $24,000 | thousands by filing date | call |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 700 | $24,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 11,500 | $24,000 | thousands by filing date | call |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,000 | $24,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 4,800 | $24,000 | thousands by filing date | call |
| Hugoton Royalty Trust | 444717102 | COM | 11,221 | $24,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 400 | $24,000 | thousands by filing date | put |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,700 | $24,000 | thousands by filing date | put |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 18,145 | $24,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 28,000 | $24,000 | thousands by filing date | principal |
| CERULEAN PHARMA INC | 15708Q105 | COM | 33,883 | $24,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 2,600 | $24,000 | thousands by filing date | call |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 12,759 | $24,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 800 | $23,000 | thousands by filing date | put |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 400 | $23,000 | thousands by filing date | call |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 300 | $23,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 19,000 | $23,000 | thousands by filing date | put |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,000 | $23,000 | thousands by filing date | call |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 8,200 | $23,000 | thousands by filing date | call |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,209 | $23,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 10,806 | $23,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 900 | $23,000 | thousands by filing date | call |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 544,505 | $23,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 15,512 | $22,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 3,000 | $22,000 | thousands by filing date | call |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 15,200 | $22,000 | thousands by filing date | put |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 500 | $22,000 | thousands by filing date | put |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 300 | $22,000 | thousands by filing date | call |
| ROSETTA STONE INC | 777780107 | COM | 2,500 | $22,000 | thousands by filing date | put |
| VIVUS INC | 928551100 | COM | 18,900 | $22,000 | thousands by filing date | call |
| GULF RESOURCES INC | 40251W309 | COM | 11,218 | $22,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 28,386 | $22,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 10,256 | $22,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 200 | $21,000 | thousands by filing date | put |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 500 | $21,000 | thousands by filing date | put |
| EHEALTH INC | 28238P109 | COM | 2,000 | $21,000 | thousands by filing date | put |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 500 | $21,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 3,900 | $21,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 10,500 | $21,000 | thousands by filing date | put |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 126 | $21,000 | thousands by filing date | call |
| ORAGENICS INC | 684023203 | COM NEW | 39,520 | $21,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 21,609 | $21,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 30,473 | $21,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 22,000 | $21,000 | thousands by filing date | principal |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 21,000 | $21,000 | thousands by filing date | principal |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 60,046 | $21,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 300 | $20,000 | thousands by filing date | put |
| NASDAQ INC COM | 631103108 | Stock | 300 | $20,000 | thousands by filing date | put |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,500 | $20,000 | thousands by filing date | put |
| COVANTA HLDG CORP | 22282E102 | COM | 1,300 | $20,000 | thousands by filing date | put |
| MRC GLOBAL INC | 55345K103 | COM | 1,000 | $20,000 | thousands by filing date | call |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 684 | $20,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,100 | $20,000 | thousands by filing date | put |
| SONUS NETWORKS INC | 835916503 | COM NEW | 3,200 | $20,000 | thousands by filing date | call |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 19,000 | $20,000 | thousands by filing date | principal |
| ON DECK CAP INC | 682163100 | COM | 4,400 | $20,000 | thousands by filing date | put |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 13,623 | $20,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 17,018 | $20,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 300 | $19,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 37,153 | $19,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 500 | $19,000 | thousands by filing date | put |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | call |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 2,600 | $19,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 100,476 | $19,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 960 | $19,000 | thousands by filing date | call |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,400 | $19,000 | thousands by filing date | put |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 34,818 | $19,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 700 | $19,000 | thousands by filing date | put |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 700 | $19,000 | thousands by filing date | call |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 14,237 | $19,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 25,459 | $19,000 | thousands by filing date | |
| Capnia, Inc. | 14066L105 | Common | 24,014 | $19,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 3,100 | $18,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 3,300 | $18,000 | thousands by filing date | put |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,622 | $18,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 28,737 | $18,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 40,639 | $18,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 21,508 | $18,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 16,981 | $18,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 14,368 | $18,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 9,523 | $18,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 16,249 | $18,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 12,679 | $17,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 11,965 | $17,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 12,466 | $17,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 18,182 | $17,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 11,480 | $17,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,100 | $17,000 | thousands by filing date | call |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 67,815 | $17,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 2,500 | $17,000 | thousands by filing date | put |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 11,910 | $17,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 12,366 | $17,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 1,400 | $16,000 | thousands by filing date | put |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 500 | $16,000 | thousands by filing date | call |
| CROWN HLDGS INC COM | 228368106 | Stock | 300 | $16,000 | thousands by filing date | put |
| HERON THERAPEUTICS INC | 427746102 | COM | 1,200 | $16,000 | thousands by filing date | call |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 684 | $16,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,600 | $16,000 | thousands by filing date | call |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 200 | $16,000 | thousands by filing date | put |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 575 | $16,000 | thousands by filing date | put |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 540 | $16,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 3,300 | $16,000 | thousands by filing date | put |
| STRAYER ED INC | 863236105 | COM | 200 | $16,000 | thousands by filing date | call |
| BLUE NILE INC | 09578R103 | COM | 400 | $16,000 | thousands by filing date | put |
| Female Health Company | 314462102 | COM | 17,381 | $16,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 14,623 | $16,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 41,254 | $16,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 12,963 | $16,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 24,387 | $16,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 10,629 | $16,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 15,345 | $15,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 800 | $15,000 | thousands by filing date | put |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 1,700 | $15,000 | thousands by filing date | put |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,200 | $15,000 | thousands by filing date | call |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 15,096 | $15,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 33,218 | $15,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 16,156 | $15,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 12,300 | $15,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 17,323 | $15,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 6,900 | $14,000 | thousands by filing date | call |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,100 | $14,000 | thousands by filing date | call |
| QUALITY SYS INC | 747582104 | COM | 1,100 | $14,000 | thousands by filing date | put |
| GLOWPOINT INC | 379887201 | CMN | 53,094 | $14,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 10,707 | $14,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 22,035 | $14,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 22,550 | $14,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 1,023 | $14,000 | thousands by filing date | put |
| TURTLE BEACH CORP COM | 900450107 | Stock | 10,929 | $14,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 200 | $13,000 | thousands by filing date | call |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 600 | $13,000 | thousands by filing date | call |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 500 | $13,000 | thousands by filing date | put |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 1,800 | $13,000 | thousands by filing date | put |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 300 | $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 |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 26,187 | $13,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 45,340 | $13,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 13,000 | $13,000 | thousands by filing date | principal |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 17,271 | $13,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 100 | $12,000 | thousands by filing date | call |
| ITT INC COM | 45073V108 | Stock | 300 | $12,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 22,287 | $12,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 540 | $12,000 | thousands by filing date | put |
| JUST ENERGY GROUP INC | 48213W101 | COM | 2,200 | $12,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 16,603 | $12,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 51,847 | $12,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 1,100 | $12,000 | thousands by filing date | call |
| MICHAELS COS INC | 59408Q106 | COM | 600 | $12,000 | thousands by filing date | put |
| RUBICON PROJ INC | 78112V102 | COM | 1,600 | $12,000 | thousands by filing date | call |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 10,409 | $12,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 16,775 | $12,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 3,000 | $12,000 | thousands by filing date | put |
| Vanguard Growth | 922908736 | COM | 100 | $11,000 | thousands by filing date | put |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 400 | $11,000 | thousands by filing date | put |
| TOPBUILD COR COM | 89055F103 | Stock | 321 | $11,000 | thousands by filing date | put |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 300 | $11,000 | thousands by filing date | put |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 1,500 | $11,000 | thousands by filing date | call |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 11,000 | $11,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 14,013 | $11,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 11,529 | $11,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 17,503 | $11,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 20,530 | $11,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 10,237 | $11,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 12,757 | $11,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 200 | $10,000 | thousands by filing date | put |
| COMFORT SYS USA INC COM | 199908104 | Stock | 300 | $10,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 4,700 | $10,000 | thousands by filing date | call |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 900 | $10,000 | thousands by filing date | put |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 400 | $10,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 5,600 | $10,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 6,600 | $10,000 | thousands by filing date | put |
| SPECTRANETICS CORP | 84760C107 | COM | 400 | $10,000 | thousands by filing date | call |
| CORMEDIX INC | 21900C100 | COM | 6,600 | $10,000 | thousands by filing date | put |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 21,799 | $10,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 11,962 | $10,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 200 | $9,000 | thousands by filing date | call |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 300 | $9,000 | thousands by filing date | put |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 441 | $9,000 | thousands by filing date | put |
| PJT PARTNERS INC | 69343T107 | COM CL A | 294 | $9,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 2,200 | $9,000 | thousands by filing date | call |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 9,200 | $9,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 8,400 | $9,000 | thousands by filing date | call |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 17,280 | $9,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 2,700 | $9,000 | thousands by filing date | call |
| AMEDICA CORP COM PAR | 023435209 | Stock | 14,263 | $9,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 400 | $8,000 | thousands by filing date | put |
| SUNRUN INC | 86771W105 | COM | 1,600 | $8,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F302 | COM SER C | 300 | $8,000 | thousands by filing date | call |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 1,100 | $8,000 | thousands by filing date | put |
| WIDEPOINT CORP COMMON | 967590100 | COM | 10,279 | $8,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 7,300 | $8,000 | thousands by filing date | put |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,300 | $8,000 | thousands by filing date | put |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 10,082 | $8,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 2,000 | $8,000 | thousands by filing date | put |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 10,976 | $8,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 300 | $7,000 | thousands by filing date | put |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 343 | $7,000 | thousands by filing date | call |
| EHEALTH INC | 28238P109 | COM | 700 | $7,000 | thousands by filing date | call |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 400 | $7,000 | thousands by filing date | call |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 54,957 | $7,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,100 | $7,000 | thousands by filing date | put |
| VANGUARD | 92205F106 | Domestic Common | 10,379 | $7,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 18,936 | $7,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,000 | $7,000 | thousands by filing date | put |
| COMSTOCK MNG INC | 205750102 | COM | 24,718 | $7,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 62,631 | $7,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 600 | $7,000 | thousands by filing date | put |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 36,225 | $7,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 10,451 | $7,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 15,659 | $7,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 200 | $6,000 | thousands by filing date | put |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 400 | $6,000 | thousands by filing date | call |
| NEWS CORP NEW | 65249B208 | CL B | 500 | $6,000 | thousands by filing date | call |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 100 | $6,000 | thousands by filing date | call |
| MANNKIND CORP | 56400P201 | COM | 9,200 | $6,000 | thousands by filing date | put |
| SPX FLOW INC COM | 78469X107 | Stock | 200 | $6,000 | thousands by filing date | put |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,200 | $6,000 | thousands by filing date | call |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 40,546 | $6,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 600 | $6,000 | thousands by filing date | call |
| LA QUINTA HLDGS INC | 50420D108 | COM | 400 | $6,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 900 | $5,000 | thousands by filing date | put |
| WORLD KINECT CORPORATION | 981475106 | COM | 100 | $5,000 | thousands by filing date | call |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | put |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 500 | $5,000 | thousands by filing date | call |
| PENN WEST PETE LTD NEW | 707887105 | COM | 2,800 | $5,000 | thousands by filing date | call |
| OPHTHOTECH CORP | 683745103 | COM | 1,000 | $5,000 | thousands by filing date | put |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 100 | $4,000 | thousands by filing date | put |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 100 | $4,000 | thousands by filing date | call |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 3,600 | $4,000 | thousands by filing date | call |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 1,000 | $4,000 | thousands by filing date | put |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 700 | $4,000 | thousands by filing date | call |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 288 | $4,000 | thousands by filing date | put |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 100 | $4,000 | thousands by filing date | put |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 1,200 | $4,000 | thousands by filing date | call |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 11,390 | $4,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 12,067 | $4,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 100 | $3,000 | thousands by filing date | call |
| PJT PARTNERS INC | 69343T107 | COM CL A | 112 | $3,000 | thousands by filing date | put |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 100 | $3,000 | thousands by filing date | call |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 88 | $3,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 500 | $3,000 | thousands by filing date | call |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,100 | $3,000 | thousands by filing date | put |
| PHH CORP | 693320202 | COM NEW | 200 | $3,000 | thousands by filing date | put |
| CAREER EDUCATION CORP | 141665109 | COM | 300 | $3,000 | thousands by filing date | put |
| NEURALSTEM INC | 64127R302 | COM | 10,440 | $3,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 18,040 | $3,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 10,110 | $3,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 1,000 | $3,000 | thousands by filing date | put |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 100 | $2,000 | thousands by filing date | call |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 100 | $2,000 | thousands by filing date | put |
| COSAN LTD | G25343107 | SHS A | 300 | $2,000 | thousands by filing date | put |
| GASLOG LTD | G37585109 | SHS | 100 | $2,000 | thousands by filing date | put |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 300 | $2,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 100 | $2,000 | thousands by filing date | put |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 350 | $2,000 | thousands by filing date | call |
| JUST ENERGY GROUP INC | 48213W101 | COM | 300 | $2,000 | thousands by filing date | put |
| VIVUS INC | 928551100 | COM | 2,000 | $2,000 | thousands by filing date | put |
| MICHAELS COS INC | 59408Q106 | COM | 100 | $2,000 | thousands by filing date | call |
| NEW SR INVT GROUP INC | 648691103 | COM | 200 | $2,000 | thousands by filing date | put |
| ON DECK CAP INC | 682163100 | COM | 400 | $2,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 100 | $1,000 | thousands by filing date | call |
| NEWS CORP NEW | 65249B208 | CL B | 100 | $1,000 | thousands by filing date | put |
| LIQUIDITY SVCS INC | 53635B107 | COM | 100 | $1,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 100 | $1,000 | thousands by filing date | call |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 300 | $1,000 | thousands by filing date | call |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 200 | $1,000 | thousands by filing date | call |
| PRIMERO MNG CORP | 74164W106 | COM | 1,100 | $1,000 | thousands by filing date | put |
| CORMEDIX INC | 21900C100 | COM | 800 | $1,000 | thousands by filing date | call |
| 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 | |
| GANNETT SPINCO INC | 36473H104 | COM | 50 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 127,505 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD | 92205F106 | Domestic Common | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
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 |