13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 5,549 holding rows worth $387,284,497,000.
- Accession
- 0000769993-18-000556
- Filer
- CIK 886982
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 10,244 entries on the cover page, a total value of $387,284,497,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $387,284,497,000 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 & CO. LLC028-00687
- 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
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 |
|---|---|---|---|---|---|---|
| QUANTUM CORP | 747906501 | COM | 62,297 | $150,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 84,415 | $150,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 18,902 | $150,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 34,584 | $149,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 7,900 | $149,000 | thousands by filing date | call |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 293,347 | $149,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 14,951 | $149,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 2,400 | $148,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 62,957 | $148,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 22,393 | $148,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 2,300 | $145,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 8,500 | $144,000 | thousands by filing date | call |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 14,200 | $144,000 | thousands by filing date | put |
| CANADIAN SOLAR INC | 136635109 | COM | 9,900 | $144,000 | thousands by filing date | call |
| ZOES KITCHEN INC | 98979J109 | COM | 11,300 | $144,000 | thousands by filing date | put |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 25,256 | $144,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 25,081 | $144,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 3,400 | $143,000 | thousands by filing date | put |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 1,100 | $143,000 | thousands by filing date | put |
| URBAN OUTFITTERS INC | 917047102 | COM | 3,500 | $143,000 | thousands by filing date | put |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 11,200 | $142,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 500 | $141,000 | thousands by filing date | call |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 42,627 | $141,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 25,433 | $141,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 4,300 | $140,000 | thousands by filing date | put |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 87,708 | $140,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 1,400 | $139,000 | thousands by filing date | put |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,000 | $139,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 11,527 | $139,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 1,700 | $137,000 | thousands by filing date | put |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 1,400 | $137,000 | thousands by filing date | put |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 11,745 | $137,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 26,110 | $137,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 33,934 | $137,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 25,045 | $137,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 2,700 | $136,000 | thousands by filing date | call |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 14,962 | $136,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 17,014 | $136,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 1,800 | $135,000 | thousands by filing date | call |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 1,900 | $135,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 11,099 | $135,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 800 | $134,000 | thousands by filing date | put |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 7,300 | $134,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 4,100 | $133,000 | thousands by filing date | put |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 14,717 | $133,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 25,002 | $133,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 35,951 | $133,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 28,517 | $133,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 1,000 | $132,000 | thousands by filing date | put |
| JETBLUE AWYS CORP | 477143101 | COM | 6,800 | $132,000 | thousands by filing date | put |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 21,400 | $132,000 | thousands by filing date | put |
| FIREEYE INC | 31816Q101 | COM | 7,700 | $131,000 | thousands by filing date | put |
| AURORA MOBILE LTD | 051857100 | ADS | 19,037 | $131,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 27,164 | $130,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 31,400 | $130,000 | thousands by filing date | put |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 13,515 | $130,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 10,808 | $130,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 136,023 | $130,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 12,603 | $130,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 18,076 | $129,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 3,300 | $128,000 | thousands by filing date | call |
| SYNCHRONYFINL | 87165B103 | STOK | 4,100 | $127,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 54,694 | $126,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 2,600 | $126,000 | thousands by filing date | call |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,751 | $125,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 900 | $124,000 | thousands by filing date | call |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 7,600 | $124,000 | thousands by filing date | put |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 50,451 | $124,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 29,287 | $124,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 10,670 | $124,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 15,167 | $123,000 | thousands by filing date | |
| CLEMENTIA PHARMACEUTICALS IN | 185575107 | COM | 10,981 | $122,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 4,600 | $121,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 25,193 | $121,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 28,165 | $121,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 10,000 | $120,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 6,000 | $120,000 | thousands by filing date | call |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 65,818 | $120,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 10,950 | $119,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 33,336 | $119,000 | thousands by filing date | |
| ATTIS INDS INC | 049836109 | COM | 421,326 | $118,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 800 | $117,000 | thousands by filing date | call |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 11,807 | $117,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 4,200 | $117,000 | thousands by filing date | call |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 5,000 | $116,000 | thousands by filing date | put |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 10,478 | $116,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 122,957 | $116,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 24,205 | $115,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 1,800 | $114,000 | thousands by filing date | put |
| GOLAR LNG LTD | G9456A100 | SHS | 4,100 | $114,000 | thousands by filing date | put |
| 22ND CENTY GROUP INC | 90137F103 | COM | 40,627 | $114,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 28,901 | $114,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 800 | $113,000 | thousands by filing date | call |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 15,476 | $113,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 1,600 | $113,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 33,333 | $113,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 14,060 | $113,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 2,800 | $112,000 | thousands by filing date | put |
| SHILOH INDUSTRIES INC | 824543102 | COM | 10,155 | $112,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 21,574 | $112,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 10,166 | $112,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 13,687 | $111,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 25,538 | $111,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 22,040 | $111,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 118,000 | $111,000 | thousands by filing date | principal |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 39,095 | $111,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 3,100 | $110,000 | thousands by filing date | call |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 16,560 | $110,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 3,800 | $110,000 | thousands by filing date | call |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 16,907 | $109,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 112,770 | $109,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 11,565 | $109,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 11,465 | $109,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 14,659 | $108,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 25,900 | $108,000 | thousands by filing date | call |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 14,517 | $108,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 5,180 | $108,000 | thousands by filing date | put |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 13,150 | $108,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 3,200 | $107,000 | thousands by filing date | call |
| ANDEAVOR | 03349M105 | COM | 700 | $107,000 | thousands by filing date | put |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 45,372 | $106,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 106,426 | $105,000 | thousands by filing date | |
| COMMAND CENTER INC | 200497204 | COM NEW | 18,439 | $105,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 12,788 | $105,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 800 | $104,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 150,000 | $104,000 | thousands by filing date | principal |
| KBHOME | 48666K109 | COM | 4,300 | $103,000 | thousands by filing date | call |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 15,301 | $103,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 700 | $102,000 | thousands by filing date | put |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 500 | $102,000 | thousands by filing date | call |
| PAN AMERN SILVER CORP | 697900108 | COM | 6,900 | $102,000 | thousands by filing date | put |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 2,900 | $102,000 | thousands by filing date | put |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 1,500 | $102,000 | thousands by filing date | put |
| URBAN OUTFITTERS INC | 917047102 | COM | 2,500 | $102,000 | thousands by filing date | call |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 5,544 | $102,000 | thousands by filing date | put |
| INVESCO SR INCOME TR | 46131H107 | COM | 23,455 | $101,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 41,884 | $101,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,211 | $100,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 4,000 | $99,000 | thousands by filing date | put |
| VIVEVE MED INC | 92852W204 | COM NEW | 36,922 | $99,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 1,400 | $98,000 | thousands by filing date | call |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 2,000 | $98,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 14,064 | $98,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 3,500 | $98,000 | thousands by filing date | put |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 20,514 | $98,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 16,255 | $98,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 4,600 | $97,000 | thousands by filing date | put |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 6,700 | $97,000 | thousands by filing date | call |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 30,335 | $97,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 75,499 | $97,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 1,400 | $96,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 15,956 | $96,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 95,598 | $96,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 32,426 | $96,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,100 | $94,000 | thousands by filing date | put |
| GARRISON CAP INC | 366554103 | COM | 11,319 | $94,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 2,100 | $93,000 | thousands by filing date | put |
| OPHTHOTECH CORP | 683745103 | COM | 39,608 | $93,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 15,280 | $92,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 3,200 | $92,000 | thousands by filing date | put |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 20,877 | $92,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 10,700 | $92,000 | thousands by filing date | call |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 33,778 | $92,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 10,611 | $92,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 164,790 | $92,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 33,800 | $91,000 | thousands by filing date | put |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 1,300 | $91,000 | thousands by filing date | put |
| TAPESTRY INC COM | 876030107 | Stock | 1,800 | $90,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 13,045 | $90,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 36,166 | $90,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 36,100 | $90,000 | thousands by filing date | call |
| RTI BIOLOGICS INC | 74975N105 | COM | 20,009 | $90,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 25,700 | $89,000 | thousands by filing date | call |
| SOCIETAL CDMO INC | 75629F109 | COM | 12,582 | $89,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,800 | $88,000 | thousands by filing date | call |
| MOHAWK INDS INC | 608190104 | COM | 500 | $88,000 | thousands by filing date | put |
| PROVENTION BIO INC | 74374N102 | COM | 21,900 | $88,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 2,650 | $88,000 | thousands by filing date | call |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 14,628 | $88,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 106,875 | $88,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 2,700 | $87,000 | thousands by filing date | call |
| NOBLE ENERGY INC | 655044105 | COM | 2,800 | $87,000 | thousands by filing date | put |
| TEXTRON INC COM | 883203101 | Stock | 1,200 | $86,000 | thousands by filing date | put |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 5,300 | $86,000 | thousands by filing date | call |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 10,438 | $86,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 41,113 | $86,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 1,100 | $85,000 | thousands by filing date | call |
| AVID TECHNOLOGY INC | 05367P100 | COM | 14,296 | $85,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 80,000 | $85,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 1,200 | $84,000 | thousands by filing date | put |
| NOBLE CORP PLC | G65431101 | SHS USD | 12,000 | $84,000 | thousands by filing date | put |
| DECKERS OUTDOOR CORP | 243537107 | COM | 700 | $83,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 700 | $83,000 | thousands by filing date | call |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 4,700 | $82,000 | thousands by filing date | put |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 14,848 | $82,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 21,348 | $82,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 2,900 | $81,000 | thousands by filing date | put |
| JUNIPER NETWORKS INC | 48203R104 | COM | 2,700 | $81,000 | thousands by filing date | put |
| CERECOR INC | 15671L109 | COM | 17,426 | $81,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 4,000 | $80,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 1,300 | $80,000 | thousands by filing date | call |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 1,200 | $79,000 | thousands by filing date | put |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 4,371 | $79,000 | thousands by filing date | put |
| FIVE BELOW INC COM | 33829M101 | Stock | 600 | $78,000 | thousands by filing date | put |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 12,639 | $78,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 11,518 | $78,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 800 | $77,000 | thousands by filing date | put |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,541 | $77,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 26,298 | $77,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 64,108 | $77,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 1,100 | $76,000 | thousands by filing date | put |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 15,106 | $76,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 43,948 | $75,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 18,272 | $75,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 57,337 | $75,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 20,061 | $74,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 800 | $73,000 | thousands by filing date | put |
| NANTHEALTH INC | 630104107 | CMN | 46,329 | $73,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 2,600 | $72,000 | thousands by filing date | put |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 35,200 | $72,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 17,398 | $72,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 62,614 | $72,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 33,651 | $72,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 20,895 | $70,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 14,200 | $70,000 | thousands by filing date | call |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 3,500 | $70,000 | thousands by filing date | call |
| ENSCO PLC | G3157S106 | SHS CLASS A | 8,300 | $70,000 | thousands by filing date | call |
| ARES CAPITAL CORP | 04010L103 | COM | 4,000 | $69,000 | thousands by filing date | call |
| ROCKWELL MED INC | 774374102 | COM | 16,409 | $69,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 40,542 | $69,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 1,000 | $68,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 35,000 | $68,000 | thousands by filing date | call |
| J JILL INC | 46620W102 | COM | 11,020 | $68,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 1,100 | $67,000 | thousands by filing date | put |
| EP ENERGY CORP | 268785102 | CL A | 28,443 | $67,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 1,100 | $66,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 3,100 | $66,000 | thousands by filing date | call |
| REALPAGE INC | 75606N109 | COM | 1,000 | $66,000 | thousands by filing date | put |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 3,827 | $65,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 3,700 | $65,000 | thousands by filing date | call |
| GROUPON INC | 399473107 | COMMON STOCK | 17,200 | $65,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 16,500 | $65,000 | thousands by filing date | call |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 45,556 | $65,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 18,749 | $65,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 900 | $64,000 | thousands by filing date | call |
| ENSCO PLC | G3157S106 | SHS CLASS A | 7,600 | $64,000 | thousands by filing date | put |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 2,700 | $63,000 | thousands by filing date | call |
| SCPHARMACEUTICALS INC | 810648105 | COM | 10,737 | $63,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 23,100 | $63,000 | thousands by filing date | put |
| Boston Scientific Corporation | 101137107 | COM | 1,600 | $62,000 | thousands by filing date | call |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 2,100 | $62,000 | thousands by filing date | put |
| MBIA INC | 55262C100 | COMMON STOCK | 5,800 | $62,000 | thousands by filing date | call |
| COHBAR INC COM NEW | 19249J109 | Stock | 14,297 | $62,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 1,100 | $61,000 | thousands by filing date | put |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 16,519 | $61,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 1,400 | $61,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 2,400 | $60,000 | thousands by filing date | put |
| VIAVI SOLUTIONS INC | 925550105 | COM | 5,300 | $60,000 | thousands by filing date | call |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 4,000 | $60,000 | thousands by filing date | call |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 59,000 | $60,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 24,572 | $59,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 14,800 | $59,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 3,200 | $59,000 | thousands by filing date | call |
| SOTHEBYS | 835898107 | COM | 1,200 | $59,000 | thousands by filing date | put |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 13,158 | $59,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 1,500 | $58,000 | thousands by filing date | put |
| ITERIS INC NEW | 46564T107 | COM | 10,871 | $58,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 10,545 | $57,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 30,157 | $57,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 400 | $56,000 | thousands by filing date | put |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,400 | $56,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 3,700 | $56,000 | thousands by filing date | put |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 14,345 | $56,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 3,700 | $55,000 | thousands by filing date | call |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 26,586 | $55,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 600 | $54,000 | thousands by filing date | put |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 35,104 | $54,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 3,900 | $54,000 | thousands by filing date | put |
| FEDERAL STR ACQUISITION CORP | 31421V115 | *W EXP 07/24/202 | 38,756 | $54,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 1,200 | $53,000 | thousands by filing date | call |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 2,914 | $53,000 | thousands by filing date | call |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 1,400 | $53,000 | thousands by filing date | put |
| TIDEWATER INC NEW | 88642R117 | WARR | 12,761 | $53,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 5,100 | $52,000 | thousands by filing date | put |
| CERNER CORP | 156782104 | COM | 800 | $52,000 | thousands by filing date | put |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 1,200 | $52,000 | thousands by filing date | put |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 62,150 | $52,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 800 | $51,000 | thousands by filing date | call |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 1,100 | $51,000 | thousands by filing date | put |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 18,700 | $51,000 | thousands by filing date | call |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 24,200 | $51,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 700 | $50,000 | thousands by filing date | put |
| TIDEWATER INC NEW | 88642R125 | WARR | 13,804 | $50,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 4,400 | $49,000 | thousands by filing date | call |
| CORREVIO PHARMA CORP | 22026V105 | COM | 12,274 | $49,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 46,119 | $49,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 600 | $48,000 | thousands by filing date | call |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 700 | $48,000 | thousands by filing date | put |
| ROYAL BK CDA COM | 780087102 | Stock | 600 | $48,000 | thousands by filing date | put |
| WHIRLPOOL CORP COM | 963320106 | Stock | 400 | $48,000 | thousands by filing date | call |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 1,100 | $48,000 | thousands by filing date | put |
| DECKERS OUTDOOR CORP | 243537107 | COM | 400 | $47,000 | thousands by filing date | call |
| LENNAR CORP CL A | 526057104 | Stock | 1,000 | $47,000 | thousands by filing date | put |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 700 | $46,000 | thousands by filing date | call |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 1,600 | $46,000 | thousands by filing date | call |
| TANGER INC | 875465106 | COM | 2,000 | $46,000 | thousands by filing date | call |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 17,140 | $46,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 12,200 | $46,000 | thousands by filing date | put |
| AMERI HLDGS INC | 02362F104 | COM | 35,023 | $46,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 3,400 | $45,000 | thousands by filing date | put |
| ENCANA CORP | 292505104 | COM | 3,400 | $45,000 | thousands by filing date | put |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 300 | $44,000 | thousands by filing date | call |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 1,000 | $44,000 | thousands by filing date | put |
| BOXLIGHT CORP | 103197109 | COM CL A | 14,789 | $43,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 10,027 | $43,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 32,600 | $42,000 | thousands by filing date | put |
| BARCLAYS PLC ADR | 06738E204 | ADR | 4,700 | $42,000 | thousands by filing date | put |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 1,100 | $42,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 12,922 | $42,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 1,300 | $42,000 | thousands by filing date | put |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 14,856 | $42,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 82,299 | $42,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 10,626 | $42,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 800 | $41,000 | thousands by filing date | call |
| NOBLE CORP PLC | G65431101 | SHS USD | 5,900 | $41,000 | thousands by filing date | call |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 23,429 | $41,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 12,706 | $41,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 1,600 | $40,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 30,881 | $40,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 10,537 | $40,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 1,000 | $39,000 | thousands by filing date | put |
| ASANKO GOLD INC | 04341Y105 | COM | 48,723 | $39,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 29,456 | $39,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 35,000 | $38,000 | thousands by filing date | principal |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 30,960 | $38,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 1,000 | $37,000 | thousands by filing date | put |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 1,000 | $37,000 | thousands by filing date | put |
| MURPHY OIL CORP COM | 626717102 | Stock | 1,100 | $37,000 | thousands by filing date | put |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 1,300 | $37,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 34,201 | $37,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 23,845 | $37,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 600 | $36,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652406 | COM | 4,900 | $36,000 | thousands by filing date | put |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 21,827 | $36,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 20,846 | $36,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 13,230 | $36,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 1,400 | $35,000 | thousands by filing date | call |
| CTI BIOPHARMA CORP | 12648L601 | COM | 16,208 | $35,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 800 | $35,000 | thousands by filing date | put |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 52,279 | $35,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 300 | $34,000 | thousands by filing date | put |
| AXOSFINLINC | 05465C100 | STOK | 1,000 | $34,000 | thousands by filing date | call |
| KEYCORP COM | 493267108 | Stock | 1,700 | $34,000 | thousands by filing date | call |
| HP INC COM | 40434L105 | Stock | 1,300 | $34,000 | thousands by filing date | call |
| ALLY FINL INC COM | 02005N100 | Stock | 1,300 | $34,000 | thousands by filing date | put |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 3,100 | $34,000 | thousands by filing date | put |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 21,790 | $34,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 33,553 | $34,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 4,500 | $33,000 | thousands by filing date | call |
| HUDSON GLOBAL INC | 443787106 | COM | 20,951 | $33,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,558,692 | $33,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 100 | $32,000 | thousands by filing date | put |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,100 | $32,000 | thousands by filing date | call |
| BIOPHARMX CORP | 09072X101 | COM | 168,544 | $32,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 4,400 | $31,000 | thousands by filing date | put |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 700 | $31,000 | thousands by filing date | put |
| COEUR MNG INC COM NEW | 192108504 | Stock | 5,800 | $31,000 | thousands by filing date | put |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 328 | $31,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 1,800 | $31,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 134,014 | $31,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 900 | $30,000 | thousands by filing date | put |
| CONSOLIDATED EDISON INC | 209115104 | COM | 400 | $30,000 | thousands by filing date | put |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 4,900 | $30,000 | thousands by filing date | call |
| INFINERA CORP | 45667G103 | COMMON STOCK | 4,100 | $30,000 | thousands by filing date | put |
| CREE INC | 225447101 | COM | 800 | $30,000 | thousands by filing date | put |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 900 | $30,000 | thousands by filing date | put |
| ICONIX BRAND GROUP INC | 451055107 | COM | 97,781 | $30,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 3,300 | $29,000 | thousands by filing date | put |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 25,000 | $29,000 | thousands by filing date | principal |
| CDTI ADVANCED MATLS INC | 12514V204 | COM NEW | 15,391 | $29,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 400 | $28,000 | thousands by filing date | call |
| STRATASYS LTD | M85548101 | SHS | 1,200 | $28,000 | thousands by filing date | put |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 64,184 | $28,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 400 | $27,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 9,900 | $27,000 | thousands by filing date | call |
| HUNTSMAN CORP | 447011107 | COM | 1,000 | $27,000 | thousands by filing date | put |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 77,017 | $27,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 200 | $26,000 | thousands by filing date | call |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 26,400 | $26,000 | thousands by filing date | put |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 14,176 | $26,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 10,070 | $26,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 28,000 | $26,000 | thousands by filing date | principal |
| MONAKER GROUP INC | 609011200 | COM NEW | 12,248 | $26,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 11,400 | $26,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 600 | $25,000 | thousands by filing date | call |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,800 | $25,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 50,218 | $25,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 30,000 | $25,000 | thousands by filing date | principal |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 10,210 | $25,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 800 | $24,000 | thousands by filing date | call |
| FITBIT INC | 33812L102 | CL A | 4,400 | $24,000 | thousands by filing date | call |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,500 | $23,000 | thousands by filing date | put |
| RETROPHIN INC | 761299106 | COM | 800 | $23,000 | thousands by filing date | call |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 12,376 | $23,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 17,000 | $23,000 | thousands by filing date | principal |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 11,069 | $22,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,000 | $22,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 900 | $21,000 | thousands by filing date | call |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 300 | $21,000 | thousands by filing date | call |
| L3 TECHNOLOGIES INC | 502413107 | COM | 100 | $21,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 3,700 | $21,000 | thousands by filing date | put |
| ALTA MESA RES INC 3 | 02133L117 | COM | 42,254 | $21,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A131 | RIGHT 12/22/2019 | 50,000 | $21,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 100 | $20,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 12,710 | $20,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 14,822 | $20,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 500 | $19,000 | thousands by filing date | call |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 500 | $19,000 | thousands by filing date | call |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 15,719 | $19,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 962 | $18,000 | thousands by filing date | put |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 88,449 | $18,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 13,098 | $18,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 479 | $18,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 1,200 | $17,000 | thousands by filing date | put |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 800 | $17,000 | thousands by filing date | call |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 17,368 | $17,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 12,501 | $17,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 17,000 | $17,000 | thousands by filing date | principal |
| RENREN INC | 759892201 | SPON ADR A NEW | 11,942 | $17,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC | 85855A302 | COM | 12,482 | $17,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 2,800 | $16,000 | thousands by filing date | put |
| BURLINGTON STORES INC COM | 122017106 | Stock | 100 | $16,000 | thousands by filing date | put |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 168 | $16,000 | thousands by filing date | put |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 400 | $16,000 | thousands by filing date | call |
| VMWARE, INC. | 928563402 | CL A COM | 100 | $16,000 | thousands by filing date | call |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 14,650 | $16,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 11,448 | $16,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 16,000 | $16,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100 | $15,000 | thousands by filing date | put |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 500 | $15,000 | thousands by filing date | call |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 13,000 | $15,000 | thousands by filing date | principal |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 26,034 | $15,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 300 | $14,000 | thousands by filing date | call |
| COEUR MNG INC COM NEW | 192108504 | Stock | 2,700 | $14,000 | thousands by filing date | call |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 300 | $14,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 1,400 | $14,000 | thousands by filing date | call |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 100 | $14,000 | thousands by filing date | put |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $14,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 19,526 | $14,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 10,100 | $13,000 | thousands by filing date | call |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $13,000 | thousands by filing date | call |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 600 | $13,000 | thousands by filing date | put |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 100 | $13,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 34,334 | $13,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 4,000 | $13,000 | thousands by filing date | put |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 13,000 | $13,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 11,154 | $13,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 300 | $12,000 | thousands by filing date | put |
| OPKO HEALTH INC | 68375N103 | COM | 3,600 | $12,000 | thousands by filing date | put |
| ENCANA CORP | 292505104 | COM | 900 | $12,000 | thousands by filing date | call |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 7,200 | $12,000 | thousands by filing date | put |
| ALIMERA SCIENCES INC | 016259103 | COM | 12,427 | $12,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 14,961 | $12,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 2,100 | $11,000 | thousands by filing date | put |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 450 | $11,000 | thousands by filing date | put |
| POLARIS INC COM | 731068102 | Stock | 100 | $10,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 14,500 | $10,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 546 | $10,000 | thousands by filing date | call |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 1,100 | $10,000 | thousands by filing date | put |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 450 | $10,000 | thousands by filing date | put |
| JAGUAR HEALTH INC | 47010C300 | COM NEW | 11,485 | $10,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 200 | $9,000 | thousands by filing date | call |
| V F CORP COM | 918204108 | Stock | 100 | $9,000 | thousands by filing date | call |
| VIAVI SOLUTIONS INC | 925550105 | COM | 800 | $9,000 | thousands by filing date | put |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 200 | $9,000 | thousands by filing date | call |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 9,800 | $9,000 | thousands by filing date | call |
| Link Motion Inc | 53577L105 | COM | 13,884 | $9,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 3,800 | $9,000 | thousands by filing date | put |
| ELLIE MAE INC | 28849P100 | COM | 100 | $9,000 | thousands by filing date | put |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 765 | $9,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 100 | $8,000 | thousands by filing date | call |
| ROYAL BK CDA COM | 780087102 | Stock | 100 | $8,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 3,100 | $8,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 3,700 | $8,000 | thousands by filing date | put |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 180 | $8,000 | thousands by filing date | call |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 400 | $8,000 | thousands by filing date | put |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 8,100 | $8,000 | thousands by filing date | call |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 1,300 | $8,000 | thousands by filing date | put |
| ENSYNC INC. | 29359T102 | Common Stock | 29,828 | $8,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 100 | $7,000 | thousands by filing date | put |
| CNX RES CORP COM | 12653C108 | Stock | 500 | $7,000 | thousands by filing date | call |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 8,300 | $7,000 | thousands by filing date | put |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 100 | $7,000 | thousands by filing date | put |
| GLOWPOINT INC | 379887201 | CMN | 40,549 | $7,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 25,462 | $7,000 | thousands by filing date | |
| DROPCAR INC | 26210U104 | COM | 13,641 | $7,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 900 | $6,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 3,600 | $6,000 | thousands by filing date | call |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 100 | $6,000 | thousands by filing date | call |
| CERNER CORP | 156782104 | COM | 100 | $6,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-18-000556 | this filing | 2018-11-14 | acceptance time not in the bulk data set |