13F-HR filed by MARINER INVESTMENT GROUP LLC
MARINER INVESTMENT GROUP LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 338 holding rows worth $666,014,000.
- Accession
- 0001085146-14-000597
- Filer
- CIK 1096978
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 338 entries on the cover page, a total value of $666,014,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $666,014,000 with VALUE read as thousands by filing date, 13F file number 028-11231. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerHAVENS ADVISORS LLC028-10727
- reports for this filerDOLPHIN FINANCIAL PARTNERS, L.L.C 028-11307
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 310,575 | $57,360,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 592,868 | $33,189,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 337,226 | $26,820,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 373,807 | $22,047,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 1,021,500 | $21,584,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 225,002 | $19,791,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 1,090,100 | $19,480,000 | thousands by filing date | put |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 585,821 | $18,289,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 119,820 | $17,812,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 105,052 | $14,734,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 525,000 | $13,626,000 | thousands by filing date | |
| HEALTH CARE REIT INC CONV 6.50 | 42217K601 | PFD | 243,400 | $12,545,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 223,875 | $11,001,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 145,299 | $10,887,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 96,625 | $9,842,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 482,934 | $9,784,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 412,071 | $9,263,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 432,500 | $9,121,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 445,791 | $7,935,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 150,277 | $7,809,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 424,904 | $7,317,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 545,341 | $7,226,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 432,281 | $7,163,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 334,883 | $7,116,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 75,143 | $6,771,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 299,736 | $6,154,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 434,300 | $5,272,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,414,366 | $4,925,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 322,700 | $4,921,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 93,348 | $4,881,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 282,382 | $4,832,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 390,354 | $4,821,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 371,389 | $4,791,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 77,088 | $4,388,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 5,094 | $4,256,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 90,000 | $4,086,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 538,985 | $3,962,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 500,000 | $3,950,000 | thousands by filing date | call |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 216,797 | $3,898,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 57,095 | $3,894,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 200,000 | $3,590,000 | thousands by filing date | call |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 155,923 | $3,577,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 45,003 | $3,541,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 234,711 | $3,333,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 29,700 | $3,299,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 155,500 | $3,292,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 56,600 | $3,177,000 | thousands by filing date | call |
| PETSMART INC | 716768106 | COM | 43,635 | $3,174,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 126,745 | $2,956,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 228,892 | $2,934,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 187,205 | $2,840,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 65,620 | $2,832,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 300,700 | $2,712,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 803,400 | $2,698,000 | thousands by filing date | put |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 203,915 | $2,559,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 315,993 | $2,541,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 205,159 | $2,499,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 203,669 | $2,444,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 141,733 | $2,398,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 73,614 | $2,319,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 36,256 | $2,294,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 173,482 | $2,293,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 43,500 | $2,273,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 121,818 | $2,188,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 206,630 | $2,139,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 18,469 | $2,117,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 145,493 | $2,110,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 54,000 | $2,072,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 168,461 | $2,020,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 531,100 | $1,893,000 | thousands by filing date | put |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 110,711 | $1,888,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 152,390 | $1,885,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 240,000 | $1,882,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 115,997 | $1,808,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 20,111 | $1,780,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 35,000 | $1,746,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 19,800 | $1,738,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 86,764 | $1,720,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 139,102 | $1,682,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 154,661 | $1,649,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 156,117 | $1,642,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 88,446 | $1,592,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 91,897 | $1,582,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 118,261 | $1,563,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 41,200 | $1,541,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 87,403 | $1,521,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 40,247 | $1,519,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 77,640 | $1,463,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 20,000 | $1,425,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 77,057 | $1,375,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 24,941 | $1,331,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 105,760 | $1,324,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 97,778 | $1,323,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 252,596 | $1,308,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 188,700 | $1,304,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 70,265 | $1,256,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 330,800 | $1,248,000 | thousands by filing date | call |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 105,991 | $1,229,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 30,000 | $1,215,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 99,718 | $1,214,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 132,000 | $1,208,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 68,889 | $1,162,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 230,200 | $1,156,000 | thousands by filing date | call |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 90,857 | $1,152,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 108,523 | $1,129,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 83,123 | $1,125,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 71,000 | $1,105,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 90,260 | $1,098,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 163,200 | $1,084,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 43,641 | $1,075,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 59,000 | $1,010,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 67,067 | $1,003,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 21,007 | $965,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 44,314 | $959,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 190,000 | $958,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 60,740 | $958,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 73,293 | $923,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 99,656 | $922,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 122,000 | $921,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 72,018 | $912,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 76,700 | $898,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 80,000 | $894,000 | thousands by filing date | call |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 40,800 | $892,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 15,964 | $885,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 440,600 | $876,000 | thousands by filing date | put |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 49,566 | $871,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 15,324 | $870,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 27,000 | $870,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 85,686 | $859,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 25,000 | $848,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 114,000 | $836,000 | thousands by filing date | call |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 9,900 | $835,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 47,427 | $805,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 17,000 | $804,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 44,339 | $794,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 47,757 | $787,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 65,305 | $786,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 38,104 | $782,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 40,000 | $780,000 | thousands by filing date | call |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 21,800 | $770,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 300,700 | $764,000 | thousands by filing date | call |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 58,554 | $759,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 63,173 | $748,000 | thousands by filing date | |
| NUVEEN PA PREMIUM INC MUNI 2 | 67061F101 | COM | 60,278 | $717,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 57,695 | $711,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 463,000 | $697,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 93,620 | $695,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 20,400 | $688,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 73,900 | $668,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 87,900 | $662,000 | thousands by filing date | put |
| MVC CAPITAL INC | 553829102 | COM | 48,744 | $658,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 20,000 | $655,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 162,300 | $655,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 46,650 | $649,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 23,000 | $645,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 34,950 | $642,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 35,618 | $636,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 14,775 | $629,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 200,000 | $610,000 | thousands by filing date | call |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 24,464 | $604,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 24,000 | $604,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 32,788 | $595,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 77,100 | $586,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 40,000 | $576,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 38,163 | $575,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 175,000 | $560,000 | thousands by filing date | call |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 43,500 | $552,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 265,000 | $533,000 | thousands by filing date | call |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 7,000 | $530,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 50,000 | $528,000 | thousands by filing date | call |
| Schlumberger Limited | 806857108 | COM | 130,200 | $514,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 14,356 | $505,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 56,239 | $501,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 27,600 | $487,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 132,000 | $478,000 | thousands by filing date | put |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 45,721 | $460,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 37,377 | $452,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 784,900 | $436,000 | thousands by filing date | put |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 259,300 | $434,000 | thousands by filing date | call |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 50,952 | $431,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 30,840 | $429,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 30,905 | $426,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 34,255 | $420,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 41,618 | $407,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 215,000 | $394,000 | thousands by filing date | call |
| TIVO INC | 888706108 | COM | 30,000 | $394,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 45,081 | $390,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 33,872 | $387,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 17,500 | $376,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 30,400 | $367,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 7,000 | $357,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 28,656 | $357,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 15,286 | $352,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,977 | $350,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 33,000 | $347,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 20,000 | $342,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 42,668 | $335,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 316,900 | $328,000 | thousands by filing date | put |
| CHEESECAKE FACTORY INC | 163072101 | COM | 80,900 | $323,000 | thousands by filing date | call |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 25,500 | $320,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 222,500 | $319,000 | thousands by filing date | call |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 357,800 | $319,000 | thousands by filing date | put |
| ISHARES | 464286848 | EXCHANGE TRADED | 742,800 | $304,000 | thousands by filing date | put |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 24,834 | $298,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 22,334 | $293,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 6,000 | $285,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 221,500 | $282,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 40,000 | $270,000 | thousands by filing date | put |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 21,110 | $266,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 120,000 | $266,000 | thousands by filing date | call |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 20,954 | $266,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 21,750 | $264,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 21,715 | $259,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 350,000 | $256,000 | thousands by filing date | put |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 26,881 | $256,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 22,428 | $253,000 | thousands by filing date | |
| 38259p508 | COM | 11,700 | $247,000 | thousands by filing date | put | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 19,733 | $244,000 | thousands by filing date | |
| 38259p508 | COM | 10,500 | $242,000 | thousands by filing date | call | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 20,540 | $240,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,300 | $223,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 161,000 | $223,000 | thousands by filing date | call |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 147,700 | $220,000 | thousands by filing date | call |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 120,000 | $219,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 13,200 | $204,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 609,100 | $201,000 | thousands by filing date | call |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 15,084 | $199,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 14,000 | $195,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 71,400 | $192,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 385,800 | $188,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 286,100 | $187,000 | thousands by filing date | call |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 10,100 | $185,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 40,000 | $183,000 | thousands by filing date | call |
| TIME WARNER CABLE INC | 88732J207 | COM | 56,000 | $174,000 | thousands by filing date | call |
| FIRST TRUST | 33733G109 | COM BEN INTR | 21,998 | $173,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 321,300 | $164,000 | thousands by filing date | call |
| MATTEL INC | 577081102 | COM | 90,000 | $155,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 196,400 | $151,000 | thousands by filing date | call |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 13,414 | $149,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 10,400 | $147,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 80,000 | $146,000 | thousands by filing date | call |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 11,020 | $145,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 150,000 | $139,000 | thousands by filing date | put |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 63,200 | $139,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 164,000 | $130,000 | thousands by filing date | put |
| ISHARES | 464286848 | EXCHANGE TRADED | 424,000 | $119,000 | thousands by filing date | call |
| YAHOO INC | 984332106 | COM | 30,000 | $119,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 65,000 | $117,000 | thousands by filing date | call |
| NUCOR CORP COM | 670346105 | Stock | 366,900 | $116,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 54,100 | $116,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 78,500 | $115,000 | thousands by filing date | put |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 32,460 | $113,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 150,000 | $113,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 152,400 | $110,000 | thousands by filing date | call |
| ENSCO PLC | G3157S106 | SHS CLASS A | 75,100 | $104,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 136,300 | $101,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 98,000 | $100,000 | thousands by filing date | call |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 15,000 | $100,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 12,100 | $95,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 12,957 | $95,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 60,000 | $92,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 140,400 | $89,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 39,900 | $87,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 51,000 | $83,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 129,500 | $83,000 | thousands by filing date | call |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 50,000 | $76,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 143,900 | $72,000 | thousands by filing date | put |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 60,000 | $68,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 25,800 | $68,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 180,400 | $67,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 65,000 | $65,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 200,000 | $64,000 | thousands by filing date | put |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 75,900 | $55,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 368,700 | $54,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 50,000 | $53,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 35,000 | $52,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 114,000 | $49,000 | thousands by filing date | call |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 83,100 | $49,000 | thousands by filing date | put |
| NUCOR CORP COM | 670346105 | Stock | 16,900 | $48,000 | thousands by filing date | call |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 29,400 | $46,000 | thousands by filing date | put |
| XILINX INC | 983919101 | COM | 80,000 | $46,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 80,000 | $41,000 | thousands by filing date | call |
| E M C CORP MASS | 268648102 | COM | 30,000 | $36,000 | thousands by filing date | call |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 30,000 | $36,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 288,800 | $35,000 | thousands by filing date | put |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 25,000 | $32,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 20,000 | $31,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 60,000 | $31,000 | thousands by filing date | put |
| Eli Lilly and Company | 532457108 | COM | 100,000 | $30,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 40,000 | $29,000 | thousands by filing date | put |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 10,000 | $29,000 | thousands by filing date | call |
| Comcast Corp | 20030N101 | COM | 30,000 | $28,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 15,000 | $28,000 | thousands by filing date | call |
| CORNING INC | 219350105 | COM | 15,000 | $28,000 | thousands by filing date | call |
| VIACOM INC | 92553P201 | CL B | 10,000 | $27,000 | thousands by filing date | call |
| TIME WARNER INC | 887317303 | COM NEW | 10,000 | $26,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 15,000 | $25,000 | thousands by filing date | call |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 500,000 | $25,000 | thousands by filing date | put |
| KOHLS CORP | 500255104 | COM | 68,000 | $24,000 | thousands by filing date | put |
| ALCOA INC | 013817101 | COM | 13,900 | $23,000 | thousands by filing date | call |
| GENERAL MTRS CO COM | 37045V100 | Stock | 27,900 | $22,000 | thousands by filing date | put |
| NEWFIELD EXPL CO | 651290108 | COM | 20,000 | $22,000 | thousands by filing date | call |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 10,000 | $21,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 100,000 | $20,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 50,000 | $20,000 | thousands by filing date | put |
| COBALT INTL ENERGY INC | 19075F106 | COM | 15,000 | $20,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 50,000 | $19,000 | thousands by filing date | call |
| Eli Lilly and Company | 532457108 | COM | 100,000 | $16,000 | thousands by filing date | call |
| COOPER TIRE & RUBR CO | 216831107 | COM | 15,300 | $16,000 | thousands by filing date | put |
| TIME WARNER CABLE INC | 88732J207 | COM | 33,100 | $16,000 | thousands by filing date | put |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 60,000 | $15,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 57,800 | $14,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 25,800 | $14,000 | thousands by filing date | put |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 100,000 | $13,000 | thousands by filing date | put |
| WYNN RESORTS LTD | 983134107 | COM | 131,000 | $10,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 30,100 | $9,000 | thousands by filing date | put |
| MATTEL INC | 577081102 | COM | 85,000 | $9,000 | thousands by filing date | put |
| PETSMART INC | 716768106 | COM | 36,000 | $9,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 123,800 | $8,000 | thousands by filing date | put |
| NORDSTROM INC | 655664100 | COM | 69,400 | $8,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 10,000 | $8,000 | thousands by filing date | call |
| COACH INC | 189754104 | COM | 20,000 | $8,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 48,800 | $8,000 | thousands by filing date | put |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 55,500 | $7,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 151,700 | $6,000 | thousands by filing date | call |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 10,000 | $6,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 15,000 | $6,000 | thousands by filing date | put |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 84,800 | $6,000 | thousands by filing date | call |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 40,000 | $5,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 38,000 | $5,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 20,000 | $5,000 | thousands by filing date | put |
| CHEESECAKE FACTORY INC | 163072101 | COM | 53,700 | $3,000 | thousands by filing date | put |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 50,000 | $2,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 20,400 | $2,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 20,000 | $2,000 | thousands by filing date | call |
| ALCOA INC | 013817101 | COM | 14,000 | $2,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 2,399,080 | $1,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 20,000 | $1,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000597 | this filing | 2014-02-13 | acceptance time not in the bulk data set |