13F-HR filed by CITADEL ADVISORS LLC
CITADEL ADVISORS LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-10, with 7,163 holding rows worth $99,536,214,000.
- Accession
- 0000950123-16-021758
- Filer
- CIK 1423053
- Filed
- 2016-11-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 9,200 entries on the cover page, a total value of $99,536,214,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $99,536,214,000 with VALUE read as thousands by filing date, 13F file number 028-13183. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerCALC III LP 028-15591
- included managerCitadel Advisors II LLC 028-15515
- included managerCALC IV LP 028-13182
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 |
|---|---|---|---|---|---|---|
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 15,400 | $25,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 34,000 | $25,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 32,937 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HHGREGG INC | 42833L108 | COM | 13,100 | $24,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 21,822 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 17,178 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GERON CORP | 374163103 | COM | 10,300 | $23,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 27,700 | $23,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CUMULUS MEDIA INC | 231082108 | CL A | 69,968 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANRO CORP | 066800103 | COM | 73,250 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,035 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MOSYS INC COM | 619718109 | COM | 30,874 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 10,561 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 11,113 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 13,847 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Capnia, Inc. | 14066L105 | Common | 23,746 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 26,500 | $22,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 21,200 | $22,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| INUVO INC | 46122W204 | COM NEW | 17,658 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD | 92205F106 | Domestic Common | 23,890 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALIMERA SCIENCES INC | 016259103 | COM | 14,900 | $22,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 10,351 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 13,357 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 12,286 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EUROSEAS LTD | Y23592309 | SHS NEW | 10,661 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 12,319 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPHERIX INC | 84842R403 | COM PAR NEW | 17,236 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CATALYST | 14888D109 | COM | 18,361 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREAT PANTHER MINING | 39115V101 | COM | 15,400 | $21,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 13,501 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 22,500 | $21,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 20,206 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 23,910 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BROADWAY FINL CORP DEL | 111444105 | COM | 11,742 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 41,655 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XTNT | 98420P100 | Common | 18,280 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CONNECTURE INC COM | 20786J106 | Stock | 11,385 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 17,000 | $20,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 11,047 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 11,005 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,797 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 11,929 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 75,646 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 11,084 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 11,143 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UQM TECHNOLOGIES INC | 903213106 | COM | 32,714 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ACTIVE POWER INC | 00504W308 | COM NEW | 72,187 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 11,259 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIODEL INC | 09064M204 | COM | 47,167 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 19,356 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLONDER TONGUE LABS INC | 093698108 | COM | 33,230 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RAND LOGISTICS INC | 752182105 | COM | 26,440 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 16,216 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 20,470 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORIENT PAPER INC | 68619F205 | COM NEW | 18,989 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 11,263 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIGITAL PWR CORP | 253862106 | COM | 25,944 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 18,403 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN LORAIN CORP | 027297100 | COM | 31,546 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,859 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COUNTERPATH CORP | 22228P302 | COM | 10,004 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TURTLE BEACH CORP COM | 900450107 | Stock | 15,360 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 10,441 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROFIRE ENERGY INC | 74316X101 | COM | 14,869 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MEI PHARMA INC | 55279B202 | COM NEW | 10,900 | $19,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 11,467 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,448 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 18,918 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 16,453 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 22,616 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELTEK LTD | M40184109 | ORD | 18,000 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 10,150 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 17,074 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 10,648 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RADA ELECTR INDS LTD | M81863124 | CMN | 17,355 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CROSSROADS CAP INC COM | 227656105 | COM | 10,591 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 15,800 | $19,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Medovex Corp | 58504H101 | COM | 13,084 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 11,167 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| YUMA ENERGY INC | 98872E108 | COM | 74,359 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 22,083 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 10,014 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 10,675 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERSECTIONS INC | 460981301 | COM | 10,000 | $18,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| GORDMANS STORES INC | 38269P100 | COM | 20,437 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 17,441 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRUETT-HURST INC THST | 897871109 | COMMON | 11,408 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GIGA TRONICS INC | 375175106 | COM | 19,909 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOCEPT INC | 09072V204 | COM NEW | 11,277 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 27,783 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AURIS MED HLDG AG | H03579101 | COM | 10,291 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 10,319 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INSPIREMD INC | 45779A507 | Cmn | 227,654 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERGY FUELS INC | 292671708 | COM NEW | 10,998 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREAT PANTHER MINING | 39115V101 | COM | 12,828 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 18,600 | $17,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Galena Biopharma Inc | 363256108 | COM | 47,821 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 33,962 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOWPOINT INC | 379887201 | CMN | 60,673 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Kelso Technologies Inc | 48826D201 | COM | 16,965 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRANSENTERIX INC | 89366M201 | COM NEW | 10,200 | $17,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 27,950 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Neothetics Inc | 64066G101 | COM | 14,750 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HONGLI CLEAN ENERGY TECHNOLO | 438586109 | COM | 56,992 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 108,607 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 15,000 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| LUNA INNOVATIONS INC | 550351100 | COM | 11,380 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,026,021 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Ampio Pharmaceuticals | 03209T109 | COM | 21,700 | $16,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Galena Biopharma Inc | 363256108 | COM | 44,700 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 28,297 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 10,000 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 55,172 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CYTRX CORP | 232828509 | COM PAR $.001 | 26,200 | $15,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 72,938 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 20,930 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 43,079 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 27,576 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 10,300 | $14,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 17,100 | $14,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 18,071 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENTREE GOLD INC | 29383G100 | COM | 52,070 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VICON INDS INC | 925811101 | COM | 19,793 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 46,520 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AEMETIS INC | 00770K202 | COM NEW | 11,264 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TASEKO MINES LTD COM | 876511106 | Stock | 26,200 | $13,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 24,280 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BEBE STORES INC | 075571109 | COM | 18,327 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COSI INC | 22122P200 | COM | 178,172 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 15,780 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Timmins Gold Corp | 88741P103 | COM | 26,973 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 11,137 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 44,814 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MAST THERAPEUTICS INC | 576314108 | COM | 109,300 | $12,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NW Biotherapeutics | 66737P600 | USD | 19,300 | $11,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| XOMA CORP DEL | 98419J107 | COM | 24,600 | $11,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 56,003 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 17,155 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUNSHINE HEART INC | 86782u106 | COM | 18,433 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EnerJex Resources Inc | 292758406 | COM | 27,479 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 14,786 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 14,700 | $10,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NW Biotherapeutics | 66737P600 | USD | 17,627 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BEBE STORES INC | 075571109 | COM | 13,800 | $10,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| RMG Networks Hldgs | 74966K102 | COM | 10,964 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XG TECHNOLOGY INC | 98372A606 | COM NEW | 34,110 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CYTRX CORP | 232828509 | COM PAR $.001 | 14,717 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIODEL INC | 09064M204 | COM | 20,700 | $9,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN DG ENERGY INC | 025398108 | COM | 34,150 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 12,900 | $9,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 15,969 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 10,364 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KBS FASHION GROUP LTD | Y46002104 | COM | 16,955 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 13,900 | $6,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 10,168 | $6,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GEVO INC COM PAR | 374396208 | Stock | 13,100 | $6,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NEOVASC INC COM STK | 64065J106 | COM | 10,029 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 12,600 | $5,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SIGNAL GENETICS INC | 826640104 | Cmn | 10,109 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 27,442 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 12,200 | $4,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 15,502 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MINCO GOLD CORPORATION | 60254D108 | COM | 11,437 | $3,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-021758 | this filing | 2016-11-10 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-000623 | base | 2017-01-31 | acceptance time not in the bulk data set |