13F-HR filed by Jefferies Group LLC
Jefferies Group LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-18, with 1,874 holding rows worth $15,726,595,000.
- Accession
- 0001085146-14-000736
- Filer
- CIK 1084580
- Filed
- 2014-02-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 1,874 entries on the cover page, a total value of $15,726,595,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,726,595,000 with VALUE read as thousands by filing date, 13F file number 028-10917. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerJEFFERIES LLC028-13184
- included managerJefferies Investment Advisers, LLC028-13965
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 |
|---|---|---|---|---|---|---|
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 5,091 | $237,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 4,131 | $236,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,500 | $236,000 | thousands by filing date | call |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 2,595 | $236,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 5,710 | $236,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 7,570 | $236,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 3,029 | $235,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 4,451 | $235,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 3,977 | $235,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 4,392 | $235,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 3,983 | $235,000 | thousands by filing date | |
| COVANCE INC | 222816100 | COM | 2,668 | $235,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 6,098 | $234,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 8,518 | $234,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,831 | $233,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 34,670 | $233,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 15,840 | $233,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 7,478 | $232,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 7,616 | $231,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282EAC6 | NOTE 3.250% 6/0 | 196,000 | $230,000 | thousands by filing date | principal |
| Texas Instruments Incorporated | 882508104 | COM | 5,200 | $228,000 | thousands by filing date | call |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 6,509 | $228,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 3,063 | $227,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 9,523 | $227,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 9,507 | $227,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 9,078 | $227,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 4,524 | $226,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 6,738 | $226,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 2,793 | $226,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,914 | $225,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 7,487 | $225,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 5,425 | $225,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 22,271 | $225,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 11,763 | $225,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 2,673 | $224,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 4,575 | $224,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 13,630 | $224,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 6,882 | $223,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 5,329 | $223,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 7,317 | $223,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 8,394 | $223,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 12,435 | $222,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 701 | $222,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 25,700 | $222,000 | thousands by filing date | call |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 9,028 | $221,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 11,079 | $221,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 7,800 | $221,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 2,533 | $220,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 3,885 | $220,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 7,472 | $220,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 180,000 | $220,000 | thousands by filing date | principal |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 9,500 | $219,000 | thousands by filing date | call |
| REXNORD CORP | 76169B102 | COMMON STOCK | 8,103 | $219,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 9,493 | $219,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,550 | $217,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 10,290 | $217,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 60,000 | $217,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 65,000 | $216,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 2,039 | $216,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 7,183 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 3,201 | $215,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 7,666 | $215,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 6,000 | $214,000 | thousands by filing date | call |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 7,090 | $214,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 2,902 | $214,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 30,000 | $214,000 | thousands by filing date | put |
| MONSTER WORLDWIDE INC | 611742107 | COM | 30,000 | $214,000 | thousands by filing date | call |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 5,888 | $213,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 4,016 | $213,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 7,199 | $213,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 7,917 | $212,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 9,993 | $212,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 1,982 | $211,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 6,778 | $211,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 5,957 | $211,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 2,294 | $210,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 5,161 | $209,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 7,480 | $209,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,500 | $208,000 | thousands by filing date | call |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 21,600 | $208,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 5,900 | $208,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 9,077 | $208,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 2,045 | $207,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 8,002 | $207,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 62,600 | $207,000 | thousands by filing date | call |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 6,199 | $207,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 7,947 | $205,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 8,923 | $204,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 24,100 | $203,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 11,689 | $203,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 2,200 | $203,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 12,816 | $203,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 2,485 | $203,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 4,105 | $202,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 10,900 | $202,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 4,800 | $202,000 | thousands by filing date | put |
| TIME WARNER INC | 887317303 | COM NEW | 2,883 | $201,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 5,884 | $201,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 11,443 | $201,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 2,449 | $200,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 11,157 | $199,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 5,681 | $199,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 7,418 | $199,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,782 | $197,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 26,620 | $197,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 3,918 | $196,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 10,900 | $194,000 | thousands by filing date | call |
| ARRIS GROUP INC | 04270V106 | COM | 7,917 | $193,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 11,963 | $192,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 480 | $191,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 2,652 | $189,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 2,508 | $189,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 16,497 | $189,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 11,872 | $188,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 17,655 | $187,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 476,820 | $186,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 4,000 | $185,000 | thousands by filing date | call |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 2,580 | $184,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 2,984 | $183,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 3,010 | $182,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 14,470 | $181,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,251 | $180,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 3,700 | $178,000 | thousands by filing date | call |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 25,000 | $178,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 4,822 | $175,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 7,060 | $174,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 12,982 | $172,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 5,322 | $172,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 11,700 | $172,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 3,399 | $171,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 19,900 | $171,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 4,162 | $169,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 143,000 | $168,000 | thousands by filing date | principal |
| HATTERAS FINL CORP | 41902R103 | COM | 10,299 | $168,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 14,605 | $167,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 8,600 | $167,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 3,879 | $164,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 13,814 | $163,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 9,100 | $162,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 3,763 | $162,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 155,000 | $162,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4,814 | $160,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 3,260 | $159,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 5,408 | $159,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 14,242 | $159,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 10,565 | $159,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,122 | $158,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 3,100 | $158,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 2,847 | $157,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 21,200 | $156,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 10,000 | $154,000 | thousands by filing date | put |
| MURPHY USA INC COM | 626755102 | Stock | 3,693 | $153,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 20,594 | $153,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 2,011 | $153,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 30,000 | $152,000 | thousands by filing date | call |
| AbbVie,Inc. | 00287Y109 | COM | 2,838 | $150,000 | thousands by filing date | |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 11,400 | $149,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 10,157 | $149,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 20,938 | $146,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 71,000 | $145,000 | thousands by filing date | call |
| MONSTER BEVERAGE CORP NE | 611740101 | COM | 2,131 | $144,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 3,457 | $143,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 12,663 | $142,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 16,089 | $141,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 8,700 | $140,000 | thousands by filing date | put |
| REALD INC | 75604L105 | COMMON STOCK | 16,152 | $138,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 3,600 | $137,000 | thousands by filing date | call |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 1,306 | $134,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 4,122 | $133,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233101 | COMMON STOCK | 5,721 | $133,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,750 | $131,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 4,637 | $131,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 5,366 | $129,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,612 | $128,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 2,556 | $128,000 | thousands by filing date | |
| Equinix, Inc. | 29444U502 | EQIX | 723 | $128,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 20,000 | $126,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 4,397 | $123,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 14,600 | $123,000 | thousands by filing date | call |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 19,706 | $121,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 40,700 | $120,000 | thousands by filing date | call |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 3,330 | $117,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 2,700 | $116,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 12,396 | $116,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 2,074 | $113,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 5,974 | $113,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 20,200 | $112,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 1,303 | $110,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 7,463 | $110,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 12,874 | $110,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 937 | $108,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 2,149 | $107,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 12,801 | $107,000 | thousands by filing date | |
| IJH | 464287507 | COM | 790 | $106,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,800 | $106,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 4,604 | $103,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 800 | $103,000 | thousands by filing date | put |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 771 | $102,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 5,000 | $102,000 | thousands by filing date | put |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 28,550 | $100,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 5,000 | $100,000 | thousands by filing date | put |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 75,000 | $100,000 | thousands by filing date | principal |
| EMERSON ELEC CO COM | 291011104 | Stock | 1,400 | $98,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 1,385 | $97,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 2,802 | $95,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 891 | $94,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 7,290 | $94,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 18,400 | $93,000 | thousands by filing date | put |
| YELP INC CL A | 985817105 | Stock | 1,355 | $93,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 1,553 | $92,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 36,600 | $92,000 | thousands by filing date | call |
| PEABODY ENERGY CORP | 704549104 | COM | 4,638 | $91,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 1,631 | $90,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 12,389 | $88,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 72,000 | $88,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 15,400 | $87,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 7,490 | $87,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 2,236 | $86,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 14,377 | $86,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 11,765 | $86,000 | thousands by filing date | |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 51,000 | $84,000 | thousands by filing date | principal |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 60,000 | $84,000 | thousands by filing date | principal |
| PDL BIOPHARMA INC | 69329YAE4 | CNV | 52,000 | $80,000 | thousands by filing date | principal |
| XEROX CORP | 984121103 | COM | 6,427 | $79,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 50,000 | $79,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W379 | UL VIXSTFUT ETF | 4,700 | $79,000 | thousands by filing date | call |
| CENVEO INC | 15670S105 | COM | 21,698 | $75,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 21,874 | $73,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 3,399 | $71,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 2,134 | $70,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 20,000 | $68,000 | thousands by filing date | call |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,000 | $67,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 11,900 | $66,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BB8 | NOTE | 50,000 | $66,000 | thousands by filing date | principal |
| MURPHY OIL CORP COM | 626717102 | Stock | 1,000 | $65,000 | thousands by filing date | put |
| XL GROUP PLC | G98290102 | SHS | 2,000 | $64,000 | thousands by filing date | call |
| GENWORTH FINL INC | 37247D106 | COM SHS | 4,039 | $63,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,500 | $62,000 | thousands by filing date | put |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 4,000 | $62,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 664 | $61,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 1,233 | $61,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 900 | $61,000 | thousands by filing date | call |
| Honeywell Technologies | 438516106 | COM | 657 | $60,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 421 | $60,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 2,276 | $60,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 950 | $60,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 999 | $55,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 1,328 | $54,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10,400 | $53,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,600 | $51,000 | thousands by filing date | put |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 44,000 | $49,000 | thousands by filing date | principal |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 42,000 | $49,000 | thousands by filing date | principal |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 40,000 | $49,000 | thousands by filing date | principal |
| METHANEX CORP COM | 59151K108 | Stock | 774 | $48,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 1,041 | $48,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 1,200 | $47,000 | thousands by filing date | put |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 50,000 | $47,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075F106 | COM | 2,800 | $46,000 | thousands by filing date | put |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 379 | $45,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 42,000 | $45,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 33,000 | $45,000 | thousands by filing date | principal |
| BODY CENTRAL CORP | 09689U102 | COM | 11,200 | $44,000 | thousands by filing date | call |
| MATTEL INC | 577081102 | COM | 879 | $42,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 30,000 | $41,000 | thousands by filing date | principal |
| BARRICK GOLD CORP | 067901108 | COM | 2,277 | $40,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 701 | $38,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,900 | $36,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 5,000 | $36,000 | thousands by filing date | call |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 598 | $35,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 25,000 | $34,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 27,000 | $34,000 | thousands by filing date | principal |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 10,422 | $32,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 20,000 | $32,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 24,000 | $32,000 | thousands by filing date | principal |
| ZYNGA INC. | 98986T108 | CL A | 8,045 | $31,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 2,131 | $30,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 300 | $29,000 | thousands by filing date | put |
| ATI INC COM | 01741R102 | Stock | 824 | $29,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 479 | $28,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 2,668 | $28,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 491 | $26,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 134 | $25,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 1,104 | $25,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 430 | $24,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL | 91307CAF9 | NOTE 1.000% 9/1 | 10,000 | $24,000 | thousands by filing date | principal |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 274 | $22,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 319 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 451 | $21,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 1,500 | $21,000 | thousands by filing date | call |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 1,010 | $20,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 400 | $20,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 4,947 | $20,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 300 | $18,000 | thousands by filing date | put |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 166 | $18,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 300 | $16,000 | thousands by filing date | put |
| ROVI CORP | 779376102 | COM | 836 | $16,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 165 | $15,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 777 | $15,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 180 | $14,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 359 | $14,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 468 | $13,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 557 | $13,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 10,000 | $13,000 | thousands by filing date | principal |
| UNITED STATES STL CORP NEW | 912909108 | COM | 400 | $12,000 | thousands by filing date | call |
| ROYAL GOLD INC | 780287108 | COM | 265 | $12,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 150 | $11,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 163 | $11,000 | thousands by filing date | |
| SANTARUS INC | 802817304 | COM | 340 | $11,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 400 | $10,000 | thousands by filing date | call |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 1,089 | $10,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 300 | $10,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 250 | $10,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 81 | $9,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 600 | $9,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 190 | $9,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 350 | $9,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 678 | $8,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 216 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 440 | $8,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 90 | $7,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 92 | $7,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 147 | $6,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 157 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 51 | $6,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 75 | $6,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 80 | $6,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 81 | $5,000 | thousands by filing date | |
| JOS A BANK CLOTHIERS INC | 480838101 | COM | 100 | $5,000 | thousands by filing date | put |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 630 | $5,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 342 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 70 | $4,000 | thousands by filing date | |
| JOS A BANK CLOTHIERS INC | 480838101 | COM | 70 | $4,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 49 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 54 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 69 | $3,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 156 | $3,000 | thousands by filing date | |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 139 | $3,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 117 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 50 | $3,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 29 | $2,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 9 | $2,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 30 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 24 | $2,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 38 | $2,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 140 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 81 | $2,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973W107 | COM | 49 | $2,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 1,140 | $2,000 | thousands by filing date | |
| DOMINION RESOURCES INC/VA | 25746UAT6 | CNV | 800 | $2,000 | thousands by filing date | principal |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 8 | $1,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 20 | $1,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 20 | $1,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 86 | $1,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 21 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 11 | $1,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 38 | $1,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 15 | $1,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 65 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 28 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 22 | $1,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 17 | $1,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 37 | $1,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 38 | $1,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 39 | $1,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 76 | $1,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 95 | $1,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 36 | $1,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 28 | $1,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 23 | $1,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 500 | $1,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 62 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 31 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 37 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000736 | this filing | 2014-02-18 | acceptance time not in the bulk data set |