13F-HR filed by Geduld E E
Geduld E E filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-06, with 215 holding rows worth $106,624,000.
- Accession
- 0001019056-15-000874
- Filer
- CIK 1352107
- Filed
- 2015-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 216 entries on the cover page, a total value of $106,624,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $106,624,000 with VALUE read as thousands by filing date, 13F file number 028-11643. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| Bank of America | 60505104 | COM | 2,507,548 | $39,068,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Apple Inc | 037833100 | COM | 35,000 | $3,861,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 20,000 | $2,899,000 | thousands by filing date | call |
| LINKEDIN CORP | 53578A108 | COM | 15,000 | $2,852,000 | thousands by filing date | call |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 275,000 | $2,189,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 175,000 | $1,930,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 600,000 | $1,494,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 25,000 | $1,480,000 | thousands by filing date | |
| 38259p508 | COM | 2,220 | $1,417,000 | thousands by filing date | ||
| Amazon.com, Inc | 023135106 | COM | 2,700 | $1,382,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 210,100 | $1,227,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 12,400 | $1,222,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 20,000 | $1,184,000 | thousands by filing date | call |
| HK EXCHANGES & CLEARING ORD | 572993GA5 | COM | 45,818 | $1,045,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 435,000 | $918,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 32,500 | $888,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 3,000 | $875,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 23,000 | $869,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 27,500 | $858,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 40,000 | $833,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 180,000 | $821,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 27,200 | $746,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 30,500 | $733,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 23,175 | $725,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 57,500 | $683,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 40,110 | $658,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 23,000 | $627,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 40,000 | $623,000 | thousands by filing date | call |
| CIENA CORP COM NEW | 171779309 | Stock | 30,000 | $622,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 75,000 | $621,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 11,400 | $620,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 100,000 | $573,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 3,000 | $570,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 3,000 | $527,000 | thousands by filing date | |
| WRIGHT INVESTORS SVC | 982345100 | COM | 382,325 | $512,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 10,000 | $496,000 | thousands by filing date | call |
| ACADIA PHARMACEUTICALS INC | 4225108 | COM | 15,000 | $496,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SINGAPORE EXCHANGE LTD | 6303866 | COMMON | 100,000 | $494,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 48,995 | $488,000 | thousands by filing date | |
| Fannie Mae | 313586752 | PREF STK | 100,000 | $485,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 10,000 | $474,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 25,000 | $471,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 55,000 | $463,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,500 | $455,000 | thousands by filing date | |
| BEIERSDORF AG | 5107401 | COM | 5,000 | $442,000 | thousands by filing date | The CUSIP as filed is malformed. |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 70,000 | $435,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 81,000 | $419,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 30,000 | $404,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 10,000 | $403,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 10,000 | $402,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 35,000 | $401,000 | thousands by filing date | |
| DIALOG SEMICONDUCTOR PLC | 5982200 | COM | 10,000 | $399,000 | thousands by filing date | The CUSIP as filed is malformed. |
| HIGHLANDS BANKSHARESINC VA COM STK RSTD | 4308939D1 | COM | 93,510 | $397,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 10,000 | $395,000 | thousands by filing date | call |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 15,000 | $373,000 | thousands by filing date | |
| AUSTRALIAN STOCK EXCHANGE SHS | Q1080Z105 | COM | 13,815 | $367,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 8,000 | $363,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 99,900 | $359,000 | thousands by filing date | |
| SOFTBANK CORP | 6770620 | COM | 7,500 | $343,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MORPHOSYS AG NPV ORDS | 0D6632006 | COM | 5,000 | $333,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 8,600 | $332,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 25,000 | $332,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 2,000 | $327,000 | thousands by filing date | call |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 125,000 | $325,000 | thousands by filing date | |
| ADIDAS AG | 4031976 | COM | 4,000 | $322,000 | thousands by filing date | The CUSIP as filed is malformed. |
| FEDERAL HOME LN MTG CORP PFD 8.375 NCM | 313400624 | Preferred | 65,000 | $319,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 35,000 | $317,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 10,000 | $317,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 5,000 | $304,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 11,500 | $304,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 8,510 | $303,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 5,000 | $302,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 15,000 | $302,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 7,500 | $301,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 7,000 | $288,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 57,058 | $284,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 16,000 | $284,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 125,000 | $281,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 3,000 | $280,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 9,000 | $278,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 10,000 | $275,000 | thousands by filing date | |
| AVESIS INCORPORATED | 053650107 | COM | 144,200 | $274,000 | thousands by filing date | |
| MONCLER SPA | BGLP232 | COM | 15,000 | $268,000 | thousands by filing date | The CUSIP as filed is malformed. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 20,107 | $266,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 15,000 | $263,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 6,500 | $263,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 45,000 | $259,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 10,200 | $258,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G101 | COM | 25,000 | $250,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 20,000 | $248,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 20,000 | $247,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 3,000 | $241,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 15,000 | $232,000 | thousands by filing date | |
| PTX 12 01AUG2020 144A | 71426VAC2 | BOND 12% 8/01/2020 | 250,000 | $230,000 | thousands by filing date | principal |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 10,000 | $218,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 15,000 | $208,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 10,000 | $203,000 | thousands by filing date | call |
| ATMEL CORP | 049513104 | COM | 25,000 | $202,000 | thousands by filing date | |
| BOLSA A (MEX LISTING) | B39VVF6 | COM | 125,000 | $196,000 | thousands by filing date | The CUSIP as filed is malformed. |
| WIZARD WORLD INC COM STK RSTD | 97751C9B8 | COM | 340,213 | $194,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 10,000 | $191,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 100,000 | $191,000 | thousands by filing date | call |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 10,000 | $186,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 20,000 | $186,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 27,000 | $186,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 10,000 | $175,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 30,000 | $172,000 | thousands by filing date | |
| FULLSHARE HOLDINGS LIMITED (HOK LISTING) | BSVXB88 | COM | 950,000 | $170,000 | thousands by filing date | The CUSIP as filed is malformed. |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 12,500 | $168,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 40,000 | $168,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 15,000 | $162,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 22,500 | $159,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 122,176 | $153,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 25,000 | $145,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 12,500 | $144,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 17,500 | $143,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 17,200 | $142,000 | thousands by filing date | call |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,000 | $139,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 10,000 | $137,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 10,000 | $135,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 10,000 | $135,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,000 | $131,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 15,000 | $126,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 13,500 | $115,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 25,000 | $115,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 55,000 | $105,000 | thousands by filing date | |
| BYD COMPANY LIMITED | 573933CY2 | COM | 20,000 | $105,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 10,000 | $101,000 | thousands by filing date | |
| 888 HOLDINGS PLC ORD 0.5P | 993315EP1 | COM | 40,000 | $100,000 | thousands by filing date | |
| WARSAW STOCK EXCHANGE (POL LISTING) | B55XKV9 | COM | 10,000 | $100,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NZX LIMITED (NZE LISTING) (POST SPLIT) | 999A0HR13 | COM | 157,500 | $99,000 | thousands by filing date | |
| CANACCORD FINANCIAL D | 134801109 | COMMON | 25,000 | $98,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 25,000 | $90,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 15,000 | $86,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 40,000 | $81,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 110,000 | $81,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 10,000 | $81,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 50,000 | $79,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 20,100 | $77,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 15,000 | $74,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 15,000 | $74,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 12,500 | $73,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HOLDINGS, INC. | 55414P108 | COMMON STOCK | 66,000 | $71,000 | thousands by filing date | |
| JZ CAPITAL PARTNERS | B403HK5 | COM | 10,000 | $71,000 | thousands by filing date | The CUSIP as filed is malformed. |
| BM&FBOVESPA SA BOLSA DE | B2RHNV9 | COM | 25,000 | $69,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Castle Brands Inc | 148435100 | COM | 50,000 | $66,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 25,000 | $65,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 35,000 | $65,000 | thousands by filing date | |
| BURSA MALAYSIA BHD | B06FV38 | COM | 35,000 | $64,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ZYNGA INC. | 98986T108 | CL A | 25,000 | $57,000 | thousands by filing date | |
| HELLENIC TELECOM ORG | 423325307 | Common Stock | 12,500 | $54,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 10,000 | $53,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 20,000 | $52,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 175,000 | $49,000 | thousands by filing date | |
| JP MORGAN PRIVATE EQUITY LIMITED (UKM LI | B07V0H2 | COM | 50,000 | $46,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 125,000 | $43,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 18,300 | $41,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 35,000 | $41,000 | thousands by filing date | |
| Pure Technologies Ltd | 745915108 | COM | 10,000 | $40,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 25,000 | $39,000 | thousands by filing date | |
| ALICORP S.A.-COMUN | 2162834 | COM | 25,000 | $39,000 | thousands by filing date | The CUSIP as filed is malformed. |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 15,000 | $37,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q114 | *W EXP 12/17/201 | 148,995 | $37,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 20,000 | $35,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 10,000 | $34,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 15,100 | $32,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 100,000 | $28,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 36,000 | $27,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 40,000 | $27,000 | thousands by filing date | |
| RUBICON LIMITED NZD | 572993ZM8 | COM | 150,000 | $27,000 | thousands by filing date | |
| AGUAS ANDINAS A ORD | 2311238 | COM | 50,000 | $26,000 | thousands by filing date | The CUSIP as filed is malformed. |
| COCRYSTAL PHARMA INC | 19188J102 | COMMON | 40,000 | $26,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 125,000 | $24,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 25,000 | $23,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 10,000 | $23,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 10,000 | $20,000 | thousands by filing date | |
| BRADKEN LTD | B013SX6 | COM | 25,000 | $18,000 | thousands by filing date | The CUSIP as filed is malformed. |
| KBS FASHION GROUP LTD WRNT | Y46002112 | W EXP 1/22/2018 | 237,500 | $17,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 35,000 | $16,000 | thousands by filing date | |
| EMISPHERE TECHNOLOGIES INC COM STK | 291345106 | COM | 25,000 | $14,000 | thousands by filing date | |
| GLORI ENERGY INC WARRANTS EXPIRES | 379606114 | W EXP 4/19/2017 | 227,900 | $14,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $12,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 100,000 | $11,000 | thousands by filing date | |
| BOLSA DE VALOR. COP1 | B24FPF4 | COM | 2,058,500 | $11,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PHOSCAN CHEMICAL CORP | 71921E106 | COM | 40,000 | $8,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 15,000 | $8,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 60,200 | $7,000 | thousands by filing date | |
| DYNAVOX INC | 26817F104 | CL A | 150,000 | $6,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L106 | COM | 50,000 | $5,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 105,000 | $5,000 | thousands by filing date | |
| SPYGLASS RES CORP COM | 852193101 | COM | 45,500 | $4,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q128 | *W EXP 12/01/201 | 12,500 | $4,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 10,000 | $4,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC WARRANTS | 78636X113 | W EXP 06/24/2016 | 35,000 | $3,000 | thousands by filing date | |
| ZAP COM STK | 98912M201 | COM | 32,500 | $3,000 | thousands by filing date | |
| MONITISE PLC (UKM LISTING) | B1YMRB8 | COM | 50,900 | $2,000 | thousands by filing date | The CUSIP as filed is malformed. |
| U-SWIRL INC COM STK | 90349P105 | COM | 15,000 | $2,000 | thousands by filing date | |
| ALPHA BANK WARRANT (GRE LISTING) | BB22G24 | W EXP 12/26/2017 | 75,000 | $2,000 | thousands by filing date | The CUSIP as filed is malformed. |
| EUROBANK ERGASIAS BANK SA (CR) | BBL58B7 | COM | 100,000 | $2,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 50,000 | $1,000 | thousands by filing date | |
| ANTRIM ENERGY INC COM | 037243102 | COM | 75,000 | $1,000 | thousands by filing date | |
| INDIA GLOBALIZATION CAP INC | 45408X118 | W EXP 03/06/201 | 157,798 | $1,000 | thousands by filing date | |
| Health Discovery Corp | 42218r100 | com | 25,000 | $1,000 | thousands by filing date | |
| SIONIX CORP | 829400100 | COM | 200,000 | $1,000 | thousands by filing date | |
| OPTIONABLE INC COM STK | 684006109 | COM | 70,000 | $1,000 | thousands by filing date | |
| PATHFINDER MINERALS PLC (UKM LISTING) | B4MB7K7 | COM | 30,000 | $1,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LUNA GOLD CORP VANCOUVER COM | 550344303 | COM | 25,000 | $1,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A408 | *W EXP 03/26/201 | 10,000 | $1,000 | thousands by filing date | |
| Piraeus Bank SA (GRE LISTING) | BBPJ9W3 | COM | 75,000 | $1,000 | thousands by filing date | The CUSIP as filed is malformed. |
| URALS ENERGY PUBLIC LTD (UKM LISTING) | 993314IU9 | COM | 25,000 | $1,000 | thousands by filing date | |
| RLJ Entertainment Inc. Wt Exp | 74965F112 | WARRANT | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Integral Vision, Inc. | 45811H106 | common | 1,069,107 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERCATOR MINERALS LTD | 587582107 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANCED MARKETING SERVICES | 25456U109 | Stock | 90,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RMG NETWORKS HOLDING CORP | 74966K110 | COM | 35,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001019056-15-000874 | this filing | 2015-11-06 | acceptance time not in the bulk data set |