13F-HR filed by HSBC HOLDINGS PLC
HSBC HOLDINGS PLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-09, with 2,718 holding rows worth $42,877,515,000.
- Accession
- 0000873630-17-000001
- Filer
- CIK 873630
- Filed
- 2017-02-09
- 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, 7,467 entries on the cover page, a total value of $42,877,515,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $42,877,515,000 with VALUE read as thousands by filing date, 13F file number 028-03140. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerHSBC Bank USA, N.A.028-15552
- included managerHSBC Global Asset Management (Hong Kong) Ltd028-15530
- included managerHSBC International Trustee Ltd028-15532
- included managerHSBC Global Asset Management (UK) Ltd028-15540
- included managerHSBC GLOBAL ASSET MANAGEMENT (FRANCE)028-15545
- included managerHSBC Global Asset Management (Canada) LTD028-15539
- included managerHSBC Trinkaus & Burkhardt AG, Germany028-15546
- included managerHSBC PRIVATE BANK (SUISSE) LTD028-15555
- included managerHongkong & Shanghai Banking Corp Ltd / ASP028-15975
- included managerHSBC BANK PLC028-15563
- included managerHSBC GLOBAL ASSET MANAGEMENT (DEUTSCHLAND) GMBH028-15547
- included managerHSBC SECURITIES USA INC028-17084
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 |
|---|---|---|---|---|---|---|
| MAXLINEAR INC | 57776J100 | COM | 9,622 | $210,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 6,026 | $210,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 7,271 | $210,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 5,964 | $209,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 6,131 | $208,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 6,593 | $208,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 10,098 | $208,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 5,214 | $208,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 62,927 | $208,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAA3 | NOTE 8.250%12/3 | 200,000 | $208,000 | thousands by filing date | |
| SOCIETE GENERALE | F849BQAA2 | DEBT 8.250%12/3 | 200,000 | $208,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 5,263 | $207,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 5,435 | $207,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 1,600 | $206,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 15,503 | $206,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 7,223 | $205,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 6,498 | $204,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 8,081 | $204,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 3,264 | $204,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 6,712 | $203,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 9,807 | $202,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 7,989 | $201,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 13,387 | $200,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 10,128 | $200,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 6,000 | $200,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 10,142 | $196,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 11,236 | $196,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 15,530 | $196,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 10,947 | $194,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,900 | $193,000 | thousands by filing date | put |
| K12 INC | 48273U102 | COM | 11,228 | $193,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 15,067 | $193,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 780099CK1 | NOTE 8.000%12/3 | 200,000 | $192,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 10,517 | $190,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 22,503 | $189,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 6,500 | $189,000 | thousands by filing date | call |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 121,854 | $189,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 16,385 | $189,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 10,388 | $188,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 18,782 | $186,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 2,700 | $186,000 | thousands by filing date | call |
| CALGON CARBON CORP | 129603106 | COM | 10,937 | $186,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 60,000 | $185,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 15,662 | $185,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 27,926 | $184,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 10,264 | $184,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 13,760 | $182,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 19,363 | $180,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 16,388 | $177,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 19,845 | $176,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 10,630 | $176,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 27,002 | $176,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 10,503 | $176,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 11,349 | $173,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 17,833 | $173,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 13,125 | $173,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 10,933 | $173,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 12,122 | $171,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 26,500 | $168,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 16,457 | $168,000 | thousands by filing date | |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 15,253 | $168,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 11,195 | $168,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 11,000 | $166,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 11,276 | $166,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 10,654 | $166,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 18,944 | $165,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 4,300 | $164,000 | thousands by filing date | put |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 14,876 | $163,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 24,663 | $163,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 2,100 | $163,000 | thousands by filing date | put |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 10,736 | $162,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 10,301 | $161,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 31,885 | $160,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,300 | $157,000 | thousands by filing date | put |
| MTGE INVT CORP COM | 55378A105 | REIT | 10,019 | $157,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 10,034 | $155,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 5,000 | $154,000 | thousands by filing date | put |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 20,669 | $152,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 13,925 | $149,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 25,854 | $149,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 21,363 | $148,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 11,600 | $148,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 11,013 | $145,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 12,269 | $145,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 10,365 | $144,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 10,667 | $141,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 4,500 | $140,000 | thousands by filing date | call |
| MATTEL INC | 577081102 | COM | 5,000 | $138,000 | thousands by filing date | call |
| ATWOOD OCEANICS INC | 050095108 | COM | 10,494 | $138,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 3,300 | $137,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 14,209 | $136,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 11,842 | $133,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 11,743 | $133,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 28,163 | $128,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 13,600 | $127,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 11,107 | $126,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 11,004 | $126,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 3,500 | $125,000 | thousands by filing date | call |
| PGT INNOVATIONS INC | 69336V101 | COM | 10,962 | $125,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 2,500 | $124,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652406 | COM | 18,583 | $123,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 11,267 | $122,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 24,543 | $122,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 11,044 | $119,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 10,747 | $116,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 12,494 | $115,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 11,109 | $115,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 27,569 | $113,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 20,935 | $112,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 12,940 | $112,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 10,842 | $111,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 22,826 | $110,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 11,156 | $110,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 13,215 | $110,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 13,077 | $108,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 72,238 | $103,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 13,869 | $102,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 64,267 | $102,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 17,200 | $99,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 32,542 | $98,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 11,817 | $94,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 12,868 | $93,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 13,324 | $93,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 17,334 | $93,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 11,136 | $92,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 10,106 | $90,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 17,805 | $90,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 12,845 | $88,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 11,516 | $87,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 2,000 | $86,000 | thousands by filing date | call |
| COBALT INTL ENERGY INC | 19075F106 | COM | 70,304 | $86,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 13,660 | $86,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 10,846 | $86,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 16,494 | $85,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 20,184 | $83,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 11,591 | $83,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 10,735 | $82,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 13,109 | $82,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 12,654 | $80,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 13,600 | $80,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,432 | $79,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 2,100 | $76,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 17,448 | $76,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 10,022 | $74,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 14,145 | $69,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 25,743 | $66,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 13,175 | $66,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 15,814 | $65,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 22,447 | $64,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 1,640 | $63,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 13,732 | $63,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 16,781 | $62,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 15,742 | $62,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 10,513 | $60,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 46,516 | $59,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 13,351 | $59,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 19,223 | $59,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 10,895 | $58,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 1,000 | $58,000 | thousands by filing date | put |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 16,462 | $58,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 3,500 | $57,000 | thousands by filing date | put |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 20,995 | $57,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,674 | $57,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 21,274 | $55,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 26,008 | $54,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 20,820 | $54,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 13,836 | $53,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 15,816 | $53,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,590 | $52,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 19,896 | $50,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 400 | $45,000 | thousands by filing date | call |
| CITRIX SYSTEMS INC | 177376100 | COM | 500 | $45,000 | thousands by filing date | put |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 20,071 | $45,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 10,178 | $43,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 11,960 | $43,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 17,414 | $42,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 17,229 | $41,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 20,470 | $39,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 31,116 | $37,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 1,000 | $36,000 | thousands by filing date | put |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 11,961 | $36,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 55,861 | $36,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 10,734 | $35,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 17,728 | $34,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 10,000 | $34,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 13,197 | $34,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 10,236 | $33,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 12,223 | $31,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 10,616 | $30,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 14,511 | $30,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 21,741 | $29,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 17,857 | $27,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,000 | $26,000 | thousands by filing date | put |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,000 | $26,000 | thousands by filing date | call |
| GIGPEAK INC | 37518Q109 | COM | 10,044 | $25,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 13,897 | $24,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 300 | $23,000 | thousands by filing date | put |
| CAMECO CORP COM | 13321L108 | Stock | 2,000 | $21,000 | thousands by filing date | call |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 24,121 | $21,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 15,243 | $21,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 19,372 | $20,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 13,116 | $20,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 243 | $19,000 | thousands by filing date | put |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 500 | $18,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 11,755 | $18,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 700 | $17,000 | thousands by filing date | put |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 25,000 | $17,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 11,987 | $16,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 13,531 | $16,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 300 | $13,000 | thousands by filing date | call |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 16,830 | $13,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $12,000 | thousands by filing date | put |
| LOMBARD MED INC | G55598109 | COM | 18,236 | $11,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 200 | $6,000 | thousands by filing date | call |
| CYTRX CORP | 232828509 | COM PAR $.001 | 16,711 | $6,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Bowater Inc | 09066L105 | COMMON STOCKS | 81 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 38,080 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000873630-17-000001 | this filing | 2017-02-09 | acceptance time not in the bulk data set |