13F-HR/A filed by COWEN INC.
COWEN INC. filed this 13F-HR/A for the quarter ended 2013-09-30, filed 2013-11-25, with 219 holding rows worth $677,591,000.
- Accession
- 0001085146-13-002045
- Filer
- CIK 1466538
- Filed
- 2013-11-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, amendment of type restatement, 230 entries on the cover page, a total value of $677,591,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $677,591,000 with VALUE read as thousands by filing date, 13F file number 028-14571. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRAMIUS ADVISORS LLC028-10674
- included managerRamius Alternative Solutions LLC028-14361
- included managerCOWEN & COMPANY, LLC028-04125
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 |
|---|---|---|---|---|---|---|
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 430,482 | $97,431,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 334,000 | $56,116,000 | thousands by filing date | put |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 490,237 | $42,258,000 | thousands by filing date | |
| ONYX PHARMACEUTICALS INC | 683399109 | COM | 242,500 | $30,239,000 | thousands by filing date | call |
| LIFE TECHNOLOGIES CORP | 53217V109 | COM | 400,268 | $29,952,000 | thousands by filing date | |
| SMITHFIELD FOODS INC | 832248108 | COM | 1,167,000 | $26,673,000 | thousands by filing date | call |
| ONYX PHARMACEUTICALS INC | 683399109 | COM | 168,961 | $21,069,000 | thousands by filing date | |
| NYSE EURONEXT | 629491101 | COM | 414,314 | $17,393,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 639,283 | $15,782,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 300,300 | $14,460,000 | thousands by filing date | call |
| NOBLE CORP | H5833N103 | COMMON STOCK-FO | 374,600 | $14,149,000 | thousands by filing date | call |
| DELL INC | 24702R101 | COM | 965,600 | $13,278,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 324,110 | $13,008,000 | thousands by filing date | |
| ELAN PLC | 284131208 | ADR | 720,018 | $11,218,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 368,600 | $9,178,000 | thousands by filing date | call |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 104,600 | $7,660,000 | thousands by filing date | call |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 463,800 | $7,328,000 | thousands by filing date | put |
| PERRIGO CO PLC F | 714290103 | COM | 55,400 | $6,835,000 | thousands by filing date | call |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 468,015 | $6,557,000 | thousands by filing date | |
| LENDER PROCESSING SVCS INC | 52602E102 | COM | 189,105 | $6,292,000 | thousands by filing date | |
| NV ENERGY INC | 67073Y106 | COM | 247,180 | $5,836,000 | thousands by filing date | |
| MOLEX INC | 608554200 | COMMON STOCK | 149,325 | $5,716,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 1,594,292 | $5,484,000 | thousands by filing date | |
| ASTEX PHARMACEUTICALS INC | 04624B103 | COM | 628,972 | $5,340,000 | thousands by filing date | |
| LIFE TECHNOLOGIES CORP | 53217V109 | COM | 68,800 | $5,148,000 | thousands by filing date | call |
| PACKAGING CORP AMER COM | 695156109 | Stock | 87,900 | $5,017,000 | thousands by filing date | call |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 63,455 | $4,786,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 293,201 | $4,741,000 | thousands by filing date | |
| LIFE TECHNOLOGIES CORP | 53217V109 | COM | 60,000 | $4,490,000 | thousands by filing date | put |
| TESORO CORP | 881609101 | COM | 92,800 | $4,081,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 55,800 | $3,733,000 | thousands by filing date | call |
| COOPER TIRE & RUBR CO | 216831107 | COM | 118,900 | $3,662,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 70,100 | $3,632,000 | thousands by filing date | call |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 226,100 | $3,572,000 | thousands by filing date | call |
| ACTIVE NETWORK INC | 00506D100 | COM | 242,600 | $3,471,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 180,690 | $3,376,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 126,200 | $3,272,000 | thousands by filing date | put |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 41,200 | $3,124,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 35,000 | $3,034,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 35,000 | $3,034,000 | thousands by filing date | put |
| Equinix, Inc. | 29444U502 | EQIX | 16,382 | $3,009,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 144,369 | $2,945,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 70,000 | $2,672,000 | thousands by filing date | put |
| Lineage, Inc. | 536020100 | COM | 102,500 | $2,657,000 | thousands by filing date | call |
| SHFL ENTMT INC | 78423R105 | COM | 115,598 | $2,655,000 | thousands by filing date | |
| FORTRESS PAPER LTD-CL A | 34958R101 | CS | 384,898 | $2,627,000 | thousands by filing date | |
| MAKO SURGICAL CORP | 560879108 | COM | 88,727 | $2,618,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 135,000 | $2,522,000 | thousands by filing date | put |
| VIVUS INC | 928551100 | COM | 265,259 | $2,467,000 | thousands by filing date | |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 180,200 | $2,307,000 | thousands by filing date | put |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 452,517 | $2,244,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 49,989 | $2,204,000 | thousands by filing date | |
| HI-TECH PHARMACAL CO INC | 42840B101 | COMMON STOCK | 49,511 | $2,136,000 | thousands by filing date | |
| RUE21 INC | 781295100 | COM | 50,700 | $2,045,000 | thousands by filing date | put |
| TECHNIPFMC PLC | 30249U101 | COM | 28,300 | $2,030,000 | thousands by filing date | call |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 164,000 | $2,001,000 | thousands by filing date | call |
| COMPUWARE CORP | 205638109 | COM | 170,873 | $1,912,000 | thousands by filing date | |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 100,700 | $1,909,000 | thousands by filing date | put |
| GROUPON INC | 399473107 | COMMON STOCK | 170,000 | $1,906,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 42,750 | $1,902,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 33,460 | $1,888,000 | thousands by filing date | |
| PERRIGO CO PLC F | 714290103 | COM | 14,900 | $1,838,000 | thousands by filing date | put |
| The Jones Group Inc | 48020T101 | COM | 119,000 | $1,787,000 | thousands by filing date | put |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 26,259 | $1,745,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 35,500 | $1,690,000 | thousands by filing date | call |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 278,150 | $1,689,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 207,300 | $1,647,000 | thousands by filing date | put |
| MAKO SURGICAL CORP | 560879108 | COM | 55,000 | $1,623,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 93,700 | $1,595,000 | thousands by filing date | put |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 23,750 | $1,556,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 87,500 | $1,534,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 46,345 | $1,524,000 | thousands by filing date | |
| NOBLE CORP | H5833N103 | COMMON STOCK-FO | 40,000 | $1,510,000 | thousands by filing date | put |
| Applied Materials,Inc. | 038222105 | COM | 85,000 | $1,490,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 22,375 | $1,366,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 18,000 | $1,365,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 145,000 | $1,349,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 20,000 | $1,314,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 25,000 | $1,295,000 | thousands by filing date | put |
| BOISE INC | 09746Y105 | COMMON STOCK | 100,000 | $1,260,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 199,100 | $1,238,000 | thousands by filing date | call |
| SEATTLE GENETICS INC | 812578102 | COM | 27,800 | $1,218,000 | thousands by filing date | put |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 23,070 | $1,215,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 86,600 | $1,191,000 | thousands by filing date | call |
| OIL STS INTL INC | 678026105 | COM | 11,250 | $1,164,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 54,950 | $1,162,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 28,250 | $1,126,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 100,000 | $1,121,000 | thousands by filing date | put |
| ONYX PHARMACEUTICALS INC | 683399109 | COM | 8,900 | $1,110,000 | thousands by filing date | put |
| IRON MTN INC NEW REIT | 462846106 | COM | 40,999 | $1,108,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 44,200 | $1,036,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 44,200 | $1,036,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 270,914 | $1,035,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 37,500 | $1,020,000 | thousands by filing date | call |
| The Jones Group Inc | 48020T101 | COM | 67,000 | $1,006,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 15,000 | $985,000 | thousands by filing date | |
| 38259p508 | COM | 1,100 | $964,000 | thousands by filing date | ||
| THE ADT CORPORATION | 00101J106 | COM | 23,490 | $955,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 30,500 | $939,000 | thousands by filing date | put |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 14,175 | $932,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 27,085 | $901,000 | thousands by filing date | |
| MAKO SURGICAL CORP | 560879108 | COM | 30,000 | $885,000 | thousands by filing date | call |
| HERBALIFE LTD | G4412G101 | COM SHS | 12,575 | $877,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,200 | $874,000 | thousands by filing date | |
| LAMAR ADVERTISING | 512815101 | COMMON STOCK | 18,000 | $847,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 20,000 | $846,000 | thousands by filing date | call |
| FEDERAL SIGNAL CORP | 313855108 | COM | 65,708 | $846,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 3,500 | $843,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 4,500 | $833,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 45,000 | $828,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,600 | $810,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 40,000 | $810,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 12,620 | $785,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 15,100 | $784,000 | thousands by filing date | call |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 29,490 | $779,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 25,600 | $777,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 70,000 | $776,000 | thousands by filing date | call |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 43,500 | $740,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 65,500 | $734,000 | thousands by filing date | call |
| FAMILY DLR STORES INC | 307000109 | COM | 10,000 | $720,000 | thousands by filing date | put |
| FAMILY DLR STORES INC | 307000109 | COM | 10,000 | $720,000 | thousands by filing date | call |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 120,000 | $707,000 | thousands by filing date | put |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 23,428 | $692,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 14,297 | $669,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 12,500 | $660,000 | thousands by filing date | put |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 24,400 | $654,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 20,000 | $653,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 123,750 | $645,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 23,500 | $639,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 12,015 | $637,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 56,000 | $612,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 22,000 | $598,000 | thousands by filing date | put |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 21,900 | $587,000 | thousands by filing date | |
| STERLING BANCORP N Y | 859158107 | COM | 41,157 | $565,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 7,625 | $564,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 27,000 | $562,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 50,000 | $546,000 | thousands by filing date | put |
| BOB EVANS FARMS | 096761101 | COM | 9,000 | $515,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 32,000 | $514,000 | thousands by filing date | |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 40,000 | $512,000 | thousands by filing date | call |
| QUESTCOR PHARMACEUTICALS INC | 74835Y101 | COM | 8,800 | $510,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 10,000 | $502,000 | thousands by filing date | put |
| COPART INC COM | 217204106 | Stock | 15,750 | $501,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 10,000 | $501,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 20,000 | $498,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 52,500 | $491,000 | thousands by filing date | call |
| BALL CORP | 058498106 | COM | 10,900 | $489,000 | thousands by filing date | call |
| SOURCEFIRE INC | 83616T108 | COMMON STOCK | 6,400 | $486,000 | thousands by filing date | call |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 2,250 | $474,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 9,000 | $461,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 12,500 | $455,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 11,335 | $448,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 27,000 | $444,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 28,445 | $427,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 4,518 | $418,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 13,537 | $417,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 200,000 | $412,000 | thousands by filing date | |
| ELAN PLC | 284131208 | ADR | 26,200 | $408,000 | thousands by filing date | call |
| BROADCOM CORP | 111320107 | CL A | 15,000 | $390,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 7,000 | $363,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 22,500 | $361,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 26,100 | $360,000 | thousands by filing date | call |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 13,500 | $360,000 | thousands by filing date | |
| Inergy, LP | 456615103 | LTD | 25,750 | $355,000 | thousands by filing date | |
| HARRIS TEETER SUPERMARKETS I | 414585109 | COM | 7,088 | $349,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 5,050 | $347,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 24,300 | $333,000 | thousands by filing date | call |
| MANNKIND CORP | 56400P201 | COM | 57,500 | $328,000 | thousands by filing date | call |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 100,000 | $302,000 | thousands by filing date | call |
| FAMILY DLR STORES INC | 307000109 | COM | 4,000 | $288,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 10,000 | $286,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 9,000 | $283,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 10,000 | $283,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,015 | $258,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 2,971 | $256,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 8,875 | $254,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,700 | $253,000 | thousands by filing date | call |
| PACWEST BANCORP DEL | 695263103 | COM | 7,376 | $253,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 5,000 | $242,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 25,000 | $234,000 | thousands by filing date | put |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 35,000 | $221,000 | thousands by filing date | call |
| CAPITALSOURCE INC | 14055X102 | COM | 17,700 | $210,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 10,000 | $203,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 4,000 | $201,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,800 | $201,000 | thousands by filing date | |
| OPTIMER PHARMACEUTICALS INC | 68401H104 | COM | 13,581 | $171,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 36,600 | $150,000 | thousands by filing date | |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 10,000 | $146,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 10,000 | $113,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 42,800 | $99,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 28,000 | $94,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 20,000 | $93,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 28,400 | $91,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 2,000 | $88,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 17,000 | $75,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 52,300 | $74,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 13,503 | $74,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 16,200 | $72,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 10,600 | $64,000 | thousands by filing date | call |
| B2GOLD CORP COM | 11777Q209 | Stock | 25,000 | $62,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,300 | $62,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 13,300 | $61,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 17,400 | $59,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 11,900 | $57,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 10,000 | $53,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 9,000 | $51,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 47,800 | $45,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 93,800 | $43,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 10,600 | $40,000 | thousands by filing date | |
| RUE21 INC | 781295100 | COM | 1,000 | $40,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 11,100 | $31,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 12,300 | $31,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 15,600 | $26,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 16,800 | $21,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 31,600 | $13,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 38,000 | $11,000 | thousands by filing date | |
| OPTIMER PHARMACEUTICALS INC | 68401H104 | COM | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SMITHFIELD FOODS INC | 832248108 | COM | 35,600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-13-002029 | superseded | 2013-11-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-13-002045 | this filing | 2013-11-25 | acceptance time not in the bulk data set |