13F-HR/A filed by CITADEL ADVISORS LLC
CITADEL ADVISORS LLC filed this 13F-HR/A for the quarter ended 2016-09-30, filed 2017-01-31, with 7,163 holding rows worth $99,536,214,000.
- Accession
- 0000950123-17-000623
- Filer
- CIK 1423053
- Filed
- 2017-01-31
- 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, amendment of type restatement, 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. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| ELDORADO GOLD CORP NEW | 284902103 | COM | 36,500 | $143,000 | thousands by filing date | call |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 19,067 | $143,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 37,600 | $143,000 | thousands by filing date | call |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 16,600 | $143,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 12,500 | $143,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 18,500 | $142,000 | thousands by filing date | call |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 11,300 | $142,000 | thousands by filing date | call |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 10,800 | $142,000 | thousands by filing date | call |
| REGENXBIO INC | 75901B107 | COM | 10,053 | $141,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 15,900 | $141,000 | thousands by filing date | call |
| ALON USA ENERGY INC | 020520102 | COM | 17,500 | $141,000 | thousands by filing date | put |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 38,600 | $140,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 53,527 | $140,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 10,500 | $140,000 | thousands by filing date | put |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 16,500 | $140,000 | thousands by filing date | put |
| TRAVELZOO | 89421Q205 | CMN | 10,900 | $140,000 | thousands by filing date | call |
| BARNES & NOBLE ED INC | 06777U101 | COM | 14,600 | $140,000 | thousands by filing date | call |
| PICO HLDGS INC | 693366205 | COM NEW | 11,872 | $140,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 10,167 | $140,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 11,640 | $140,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 16,900 | $139,000 | thousands by filing date | call |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,997 | $139,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 10,000 | $139,000 | thousands by filing date | put |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 16,132 | $139,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 10,270 | $138,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 12,069 | $138,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 10,756 | $138,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 17,805 | $137,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 24,035 | $137,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 14,600 | $137,000 | thousands by filing date | call |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 12,953 | $136,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 18,600 | $134,000 | thousands by filing date | call |
| ARDELYX INC | 039697107 | COM | 10,319 | $134,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 24,300 | $134,000 | thousands by filing date | call |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 13,301 | $134,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 26,083 | $133,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 56,650 | $133,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 59,590 | $132,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 17,700 | $132,000 | thousands by filing date | put |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 29,700 | $131,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 25,600 | $131,000 | thousands by filing date | call |
| PENN WEST PETE LTD NEW | 707887105 | COM | 72,600 | $131,000 | thousands by filing date | call |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 32,201 | $131,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 13,594 | $130,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 52,500 | $130,000 | thousands by filing date | put |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 21,600 | $130,000 | thousands by filing date | put |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 11,200 | $130,000 | thousands by filing date | call |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 17,900 | $129,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 38,400 | $129,000 | thousands by filing date | call |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 10,423 | $129,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 16,800 | $128,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 10,163 | $128,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 35,380 | $128,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 118,319 | $127,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 23,887 | $126,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 13,457 | $126,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 16,367 | $126,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 11,150 | $125,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 12,900 | $125,000 | thousands by filing date | call |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 78,900 | $125,000 | thousands by filing date | put |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 10,767 | $125,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 14,300 | $125,000 | thousands by filing date | put |
| CARE COM INC | 141633107 | COM | 12,500 | $125,000 | thousands by filing date | put |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 16,700 | $124,000 | thousands by filing date | call |
| VITAL THERAPIES INC | 92847R104 | COM | 20,200 | $124,000 | thousands by filing date | call |
| NANTKWEST INC | 63016Q102 | COM | 15,900 | $124,000 | thousands by filing date | call |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 17,200 | $123,000 | thousands by filing date | call |
| ACCURAY INC DEL | 004397105 | COM | 19,200 | $122,000 | thousands by filing date | call |
| FEDERAL MOGUL CORP | 313549404 | COM | 12,688 | $122,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 15,600 | $122,000 | thousands by filing date | put |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 14,200 | $122,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 20,700 | $122,000 | thousands by filing date | call |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 15,991 | $122,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 17,500 | $121,000 | thousands by filing date | put |
| ENDOCYTE INC | 29269A102 | COM | 39,085 | $121,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 74,400 | $120,000 | thousands by filing date | call |
| RUBICON PROJ INC | 78112V102 | COM | 14,500 | $120,000 | thousands by filing date | put |
| A10 NETWORKS INC | 002121101 | COM | 11,100 | $119,000 | thousands by filing date | call |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 14,600 | $119,000 | thousands by filing date | call |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 24,600 | $119,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 20,285 | $119,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 26,500 | $119,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 41,243 | $118,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,662 | $118,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 46,025 | $118,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,100 | $117,000 | thousands by filing date | call |
| BANK MUTUAL CORP | 063750103 | COM | 15,283 | $117,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 31,000 | $117,000 | thousands by filing date | put |
| NIMBLE STORAGE INC | 65440R101 | COM | 13,300 | $117,000 | thousands by filing date | call |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 23,384 | $116,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 11,169 | $115,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 11,800 | $115,000 | thousands by filing date | call |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 32,300 | $115,000 | thousands by filing date | put |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 14,155 | $114,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 39,600 | $114,000 | thousands by filing date | call |
| ENVIRI CORP | 415864107 | COM | 11,500 | $114,000 | thousands by filing date | call |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 52,741 | $114,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 15,863 | $114,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 10,300 | $114,000 | thousands by filing date | put |
| JAMBA INC | 47023A309 | COM NEW | 10,400 | $114,000 | thousands by filing date | call |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 13,431 | $114,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 10,400 | $113,000 | thousands by filing date | call |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 60,779 | $112,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 10,900 | $112,000 | thousands by filing date | put |
| PIXELWORKS INC | 72581M305 | COM NEW | 40,000 | $112,000 | thousands by filing date | call |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 35,798 | $112,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 24,900 | $112,000 | thousands by filing date | put |
| CPI CARD GROUP INC | 12634H101 | COM | 18,500 | $112,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 13,408 | $111,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 13,800 | $111,000 | thousands by filing date | put |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 18,500 | $111,000 | thousands by filing date | call |
| GSV CAPITAL CORP | 36191J101 | COM | 23,600 | $111,000 | thousands by filing date | put |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 50,020 | $111,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 12,400 | $111,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 11,800 | $110,000 | thousands by filing date | call |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 12,900 | $110,000 | thousands by filing date | call |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 12,400 | $110,000 | thousands by filing date | call |
| VIAVI SOLUTIONS INC | 925550105 | COM | 14,700 | $109,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 13,387 | $109,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 16,493 | $109,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 14,100 | $109,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 30,949 | $109,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 18,018 | $109,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 24,400 | $108,000 | thousands by filing date | put |
| CROCS INC COM | 227046109 | Stock | 13,000 | $108,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 63,967 | $108,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 13,100 | $108,000 | thousands by filing date | call |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 14,900 | $107,000 | thousands by filing date | call |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 12,200 | $107,000 | thousands by filing date | put |
| CYTOSORBENTS CORP | 23283X206 | CMN | 16,527 | $106,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 47,500 | $106,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 32,661 | $106,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,400 | $106,000 | thousands by filing date | put |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 17,744 | $106,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 37,600 | $106,000 | thousands by filing date | put |
| GSV CAPITAL CORP | 36191J101 | COM | 22,460 | $106,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 39,900 | $105,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 39,700 | $105,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 13,171 | $104,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 13,400 | $104,000 | thousands by filing date | call |
| GSE SYS INC | 36227k106 | COM | 36,252 | $104,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 11,200 | $103,000 | thousands by filing date | call |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 10,184 | $103,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 12,300 | $103,000 | thousands by filing date | call |
| NOBILIS HEALTH CORP | 65500B103 | COM | 30,700 | $103,000 | thousands by filing date | call |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 29,400 | $103,000 | thousands by filing date | call |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 16,600 | $103,000 | thousands by filing date | call |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 10,475 | $101,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 14,100 | $101,000 | thousands by filing date | put |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 29,800 | $101,000 | thousands by filing date | call |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 20,707 | $100,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 15,900 | $100,000 | thousands by filing date | call |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 28,000 | $100,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 19,110 | $99,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 20,200 | $99,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 29,400 | $99,000 | thousands by filing date | put |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 10,803 | $99,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 10,468 | $98,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 25,602 | $98,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 17,420 | $98,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 22,905 | $98,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 13,761 | $98,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 11,200 | $97,000 | thousands by filing date | call |
| ASANKO GOLD INC | 04341Y105 | COM | 23,044 | $97,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 15,456 | $97,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 12,900 | $96,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 12,600 | $96,000 | thousands by filing date | call |
| SUNOPTA INC | 8676EP108 | COM | 13,600 | $96,000 | thousands by filing date | call |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 13,600 | $96,000 | thousands by filing date | call |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 79,464 | $96,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 12,300 | $96,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 20,500 | $96,000 | thousands by filing date | call |
| MERCER INTL INC | 588056101 | COM | 11,064 | $94,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 31,600 | $94,000 | thousands by filing date | call |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 13,255 | $94,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 22,400 | $94,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 23,600 | $94,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 24,905 | $94,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 12,700 | $94,000 | thousands by filing date | call |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,900 | $93,000 | thousands by filing date | put |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 28,172 | $93,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,095 | $92,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 13,000 | $92,000 | thousands by filing date | call |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 21,900 | $92,000 | thousands by filing date | put |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 30,300 | $92,000 | thousands by filing date | call |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 11,300 | $91,000 | thousands by filing date | put |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 36,926 | $91,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 75,600 | $91,000 | thousands by filing date | call |
| ERA GROUP INC | 26885G109 | COM | 11,198 | $90,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 50,100 | $89,000 | thousands by filing date | call |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 16,100 | $89,000 | thousands by filing date | put |
| VALHI INC NEW | 918905100 | COM | 38,515 | $89,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 53,100 | $89,000 | thousands by filing date | put |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 14,805 | $88,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,900 | $88,000 | thousands by filing date | call |
| MEDICINOVA INC | 58468P206 | COM NEW | 11,700 | $88,000 | thousands by filing date | call |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 11,113 | $87,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 18,735 | $87,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 10,000 | $87,000 | thousands by filing date | call |
| EDGIO INC | 53261M104 | COM | 46,726 | $87,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 15,986 | $87,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 15,531 | $86,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 17,100 | $86,000 | thousands by filing date | put |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 13,100 | $85,000 | thousands by filing date | call |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 28,200 | $85,000 | thousands by filing date | call |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 101,500 | $85,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 85,084 | $84,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 100,791 | $84,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 27,300 | $84,000 | thousands by filing date | put |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 12,063 | $84,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 37,600 | $83,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,700 | $83,000 | thousands by filing date | call |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 31,395 | $83,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 82,600 | $82,000 | thousands by filing date | put |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 14,700 | $82,000 | thousands by filing date | call |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 12,743 | $82,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 18,600 | $81,000 | thousands by filing date | put |
| KONGZHONG CORP | 50047P104 | CMN | 12,000 | $81,000 | thousands by filing date | put |
| VINCE HLDG CORP | 92719W108 | COM | 14,315 | $81,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 10,283 | $80,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 12,865 | $80,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 11,900 | $80,000 | thousands by filing date | put |
| NOODLES & CO | 65540B105 | COM CL A | 16,700 | $79,000 | thousands by filing date | put |
| VIVUS INC | 928551100 | COM | 69,100 | $79,000 | thousands by filing date | call |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 126,980 | $79,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 47,200 | $79,000 | thousands by filing date | call |
| TSR INC | 872885207 | COM | 10,511 | $79,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 22,336 | $78,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 29,200 | $78,000 | thousands by filing date | put |
| MANITOWOC COMPANY INC | 563571108 | COM | 16,329 | $78,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,200 | $78,000 | thousands by filing date | call |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 28,400 | $78,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 18,000 | $77,000 | thousands by filing date | call |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 13,084 | $77,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 25,800 | $77,000 | thousands by filing date | put |
| MANITOWOC COMPANY INC | 563571108 | COM | 16,100 | $77,000 | thousands by filing date | call |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 17,800 | $77,000 | thousands by filing date | call |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 43,000 | $77,000 | thousands by filing date | call |
| CALIX INC | 13100M509 | COM | 10,300 | $76,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 22,600 | $76,000 | thousands by filing date | call |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 24,339 | $76,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 22,942 | $76,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 20,744 | $76,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 14,100 | $76,000 | thousands by filing date | put |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 11,200 | $76,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 23,227 | $75,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 21,600 | $75,000 | thousands by filing date | call |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 17,766 | $75,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 23,640 | $75,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 27,558 | $75,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 11,800 | $75,000 | thousands by filing date | call |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 15,100 | $75,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 28,100 | $74,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 29,100 | $74,000 | thousands by filing date | put |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 45,598 | $74,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L601 | COM | 32,481 | $74,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 10,600 | $73,000 | thousands by filing date | put |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 12,880 | $73,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 17,000 | $73,000 | thousands by filing date | put |
| HIVE | 007786106 | Stock | 11,774 | $72,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 42,500 | $72,000 | thousands by filing date | call |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 12,872 | $72,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 20,400 | $71,000 | thousands by filing date | call |
| ALLOT LTD | M0854Q105 | SHS | 13,388 | $71,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 24,590 | $71,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 28,565 | $71,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 26,400 | $71,000 | thousands by filing date | call |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 55,845 | $71,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 10,419 | $70,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 10,900 | $70,000 | thousands by filing date | put |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 82,800 | $70,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 11,000 | $69,000 | thousands by filing date | call |
| CIVEO CORP CDA | 17878Y108 | COM | 60,803 | $69,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 12,785 | $68,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 10,000 | $68,000 | thousands by filing date | call |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 21,600 | $68,000 | thousands by filing date | put |
| INNODATA INC | 457642205 | COM NEW | 27,335 | $67,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 13,982 | $67,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 23,600 | $67,000 | thousands by filing date | call |
| CURIS INC | 231269101 | COM | 25,666 | $67,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 40,300 | $67,000 | thousands by filing date | put |
| STEIN MART INC | 858375108 | COM | 10,500 | $67,000 | thousands by filing date | call |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 70,591 | $67,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 16,600 | $67,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 17,900 | $66,000 | thousands by filing date | call |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 15,303 | $66,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 72,500 | $66,000 | thousands by filing date | call |
| COGINT INC | 19241Q101 | COM | 13,034 | $66,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 10,333 | $65,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 11,700 | $65,000 | thousands by filing date | call |
| S&W SEED COMPANY COM | 785135104 | COM | 12,661 | $65,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 14,800 | $65,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 28,800 | $64,000 | thousands by filing date | put |
| SUNRUN INC | 86771W105 | COM | 10,100 | $64,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 45,400 | $64,000 | thousands by filing date | put |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 10,200 | $64,000 | thousands by filing date | put |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 21,603 | $64,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 10,200 | $64,000 | thousands by filing date | call |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 75,089 | $63,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 37,770 | $63,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 68,510 | $63,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 35,400 | $62,000 | thousands by filing date | put |
| EDGIO INC | 53261M104 | COM | 33,000 | $62,000 | thousands by filing date | put |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 11,400 | $62,000 | thousands by filing date | call |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 10,100 | $62,000 | thousands by filing date | call |
| INVESCO SR INCOME TR | 46131H107 | COM | 14,192 | $61,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 20,443 | $61,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 34,000 | $61,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 37,700 | $61,000 | thousands by filing date | put |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 12,200 | $61,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 23,970 | $61,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 28,500 | $61,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 10,040 | $60,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 18,789 | $60,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 13,200 | $60,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 41,911 | $59,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 22,400 | $59,000 | thousands by filing date | put |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 14,900 | $59,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 13,800 | $59,000 | thousands by filing date | call |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 12,200 | $59,000 | thousands by filing date | call |
| ON DECK CAP INC | 682163100 | COM | 10,400 | $59,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 41,627 | $58,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 17,100 | $58,000 | thousands by filing date | put |
| BSQUARE CORP | 11776U300 | COM | 11,820 | $58,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 21,900 | $58,000 | thousands by filing date | put |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 13,997 | $58,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 16,875 | $58,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 50,300 | $57,000 | thousands by filing date | put |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 42,097 | $57,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 12,800 | $57,000 | thousands by filing date | call |
| Xunlei Ltd-Adr | 98419E108 | COM | 10,300 | $56,000 | thousands by filing date | put |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 17,800 | $56,000 | thousands by filing date | call |
| MOBILEIRON INC | 60739U204 | COM NEW | 20,300 | $56,000 | thousands by filing date | put |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 20,600 | $55,000 | thousands by filing date | call |
| AWARE INC MASS | 05453N100 | CMN | 10,372 | $55,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 22,900 | $55,000 | thousands by filing date | call |
| S&W SEED COMPANY COM | 785135104 | COM | 10,700 | $55,000 | thousands by filing date | call |
| FULING GLOBAL INC | G3729B102 | SHS | 23,524 | $55,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 20,974 | $54,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 38,697 | $54,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,806 | $53,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 14,900 | $52,000 | thousands by filing date | call |
| Full Circle Capital Corp. | 359671104 | COM | 19,837 | $52,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 29,899 | $52,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 15,899 | $52,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 17,250 | $51,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 18,800 | $51,000 | thousands by filing date | put |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 25,173 | $51,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 70,200 | $50,000 | thousands by filing date | put |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 53,273 | $50,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 14,413 | $50,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 18,423 | $50,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 14,095 | $50,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 12,322 | $50,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 13,777 | $50,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 30,483 | $49,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,600 | $49,000 | thousands by filing date | call |
| RENTECH INC | 760112201 | COMMON STOCK | 16,284 | $48,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 20,000 | $48,000 | thousands by filing date | put |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 24,262 | $48,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 12,300 | $48,000 | thousands by filing date | put |
| AROTECH CORP | 042682203 | COM NEW | 16,129 | $48,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 45,071 | $48,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 12,885 | $47,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 10,400 | $47,000 | thousands by filing date | put |
| COBALT INTL ENERGY INC | 19075F106 | COM | 38,000 | $47,000 | thousands by filing date | call |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 15,000 | $47,000 | thousands by filing date | put |
| TROVAGENE INC | 897238309 | COM | 10,400 | $47,000 | thousands by filing date | put |
| AIRMEDIA GROUP INC | 009411109 | ADR | 14,000 | $47,000 | thousands by filing date | put |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 26,618 | $47,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 15,236 | $46,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 15,861 | $46,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 14,557 | $46,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 33,676 | $46,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 15,726 | $45,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 35,355 | $45,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 14,428 | $45,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 41,300 | $44,000 | thousands by filing date | call |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 27,251 | $43,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 10,000 | $43,000 | thousands by filing date | call |
| GTX INC | 40052B108 | COM | 54,851 | $43,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 16,395 | $43,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 11,000 | $43,000 | thousands by filing date | put |
| GIGPEAK INC | 37518Q109 | COM | 18,112 | $43,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 16,370 | $42,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 20,211 | $42,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 16,400 | $42,000 | thousands by filing date | call |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 19,900 | $42,000 | thousands by filing date | call |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 10,300 | $42,000 | thousands by filing date | put |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 15,831 | $41,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 12,076 | $41,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 12,500 | $41,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 33,900 | $41,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 11,929 | $40,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 56,127 | $40,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 23,400 | $40,000 | thousands by filing date | put |
| TIDEWATER INC | 886423102 | COM | 14,100 | $40,000 | thousands by filing date | call |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 57,269 | $40,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 24,091 | $40,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 11,307 | $40,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 11,400 | $39,000 | thousands by filing date | put |
| BIOLASE INC | 090911108 | COMMON STOCK | 22,446 | $39,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 24,424 | $39,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 43,287 | $39,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 28,325 | $39,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 11,700 | $39,000 | thousands by filing date | call |
| HOOPER HOLMES INC | 439104209 | Common Stock | 31,131 | $39,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 10,443 | $38,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 11,000 | $38,000 | thousands by filing date | call |
| CIVEO CORP CDA | 17878Y108 | COM | 33,400 | $38,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 26,700 | $37,000 | thousands by filing date | call |
| PHARMATHENE INC | 71714G102 | COM | 12,638 | $37,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 21,974 | $37,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 11,800 | $37,000 | thousands by filing date | call |
| LRAD CORP | 50213V109 | COM | 19,943 | $37,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 23,925 | $37,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 40,738 | $37,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 32,687 | $37,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 13,530 | $37,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 77,900 | $37,000 | thousands by filing date | call |
| MODSYS INTL LTD | M70378100 | SHS | 29,975 | $37,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 25,461 | $36,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 43,000 | $36,000 | thousands by filing date | call |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 26,600 | $36,000 | thousands by filing date | call |
| VIVUS INC | 928551100 | COM | 31,700 | $36,000 | thousands by filing date | put |
| Alcobra Ltd | M2239P109 | SHS | 14,593 | $36,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 27,968 | $36,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 28,022 | $36,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 16,036 | $35,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 18,500 | $35,000 | thousands by filing date | call |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 128,033 | $35,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 25,500 | $35,000 | thousands by filing date | put |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 25,300 | $35,000 | thousands by filing date | call |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 17,646 | $35,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 51,984 | $35,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 12,129 | $35,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 19,985 | $34,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 11,450 | $34,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 51,089 | $34,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 13,383 | $34,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 29,800 | $34,000 | thousands by filing date | put |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 38,900 | $33,000 | thousands by filing date | call |
| ARQULE INC | 04269E107 | COM | 18,541 | $33,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 10,060 | $33,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 22,704 | $32,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 17,180 | $32,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 32,599 | $32,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 20,454 | $32,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 195,416 | $32,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 27,576 | $31,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 28,633 | $31,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 10,662 | $31,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 36,700 | $31,000 | thousands by filing date | put |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 19,264 | $31,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 140,158 | $31,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 29,218 | $31,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 33,463 | $31,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 26,126 | $31,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 11,055 | $31,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM | 759757107 | Stock | 161,421 | $31,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 10,800 | $30,000 | thousands by filing date | put |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 11,200 | $30,000 | thousands by filing date | call |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 22,200 | $30,000 | thousands by filing date | put |
| Alcobra Ltd | M2239P109 | SHS | 12,100 | $30,000 | thousands by filing date | call |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 31,779 | $30,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 16,247 | $29,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 11,000 | $29,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 10,500 | $29,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 25,771 | $29,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 25,900 | $29,000 | thousands by filing date | call |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 12,085 | $29,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 11,660 | $29,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 20,800 | $29,000 | thousands by filing date | put |
| QUANTUM CORP | 747906204 | COM DSSG | 39,159 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 11,482 | $29,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 19,741 | $28,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 79,800 | $28,000 | thousands by filing date | call |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 24,345 | $28,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 18,880 | $28,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 11,985 | $27,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 18,300 | $26,000 | thousands by filing date | put |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 16,100 | $26,000 | thousands by filing date | call |
| NW Biotherapeutics | 66737P600 | USD | 47,200 | $26,000 | thousands by filing date | call |
| RENREN INC | 759892102 | SPONSORED ADR | 12,400 | $26,000 | thousands by filing date | call |
| XOMA CORP DEL | 98419J107 | COM | 56,012 | $26,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 28,200 | $26,000 | thousands by filing date | put |
| INTERSECTIONS INC | 460981301 | COM | 14,549 | $26,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 36,839 | $26,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 21,960 | $26,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 13,036 | $26,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 19,500 | $26,000 | thousands by filing date | call |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 15,723 | $26,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 12,692 | $25,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 24,531 | $25,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 15,000 | $25,000 | thousands by filing date | call |
| Castle Brands Inc | 148435100 | COM | 28,182 | $25,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 18,699 | $25,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 21,889 | $25,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 11,552 | $25,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 10,685 | $25,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-021758 | superseded | 2016-11-10 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-000623 | this filing | 2017-01-31 | acceptance time not in the bulk data set |