13F-HR filed by Jefferies Group LLC
Jefferies Group LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 2,290 holding rows worth $15,147,658,000.
- Accession
- 0001085146-17-002412
- Filer
- CIK 1084580
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 2,290 entries on the cover page, a total value of $15,147,658,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,147,658,000 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
- included managerJefferies Financial Products, LLC028-17499
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 |
|---|---|---|---|---|---|---|
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 11,640 | $232,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 5,901 | $231,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 2,774 | $231,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 13,220 | $231,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 4,057 | $230,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 16,853 | $230,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 8,141 | $229,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 2,782 | $229,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,677 | $228,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 10,408 | $228,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 5,231 | $228,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 4,800 | $227,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 13,581 | $227,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,486 | $226,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 10,000 | $226,000 | thousands by filing date | put |
| MARTEN TRANSPORT LTD | 573075108 | COM | 11,016 | $226,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 12,130 | $226,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 27,212 | $226,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 3,750 | $225,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,802 | $224,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 500 | $224,000 | thousands by filing date | call |
| TEGNA INC COM | 87901J105 | Stock | 16,787 | $224,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 3,771 | $224,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 8,059 | $224,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BR3 | NOTE 3.720% 3/1 | 200,000 | $224,000 | thousands by filing date | principal |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 15,287 | $223,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 11,018 | $223,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 2,600 | $222,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 12,951 | $222,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 6,438 | $222,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 30,000 | $221,000 | thousands by filing date | call |
| NextEra Energy,Inc. | 65339F101 | COM | 1,500 | $220,000 | thousands by filing date | call |
| XEROX CORP | 984121608 | COM NEW | 6,600 | $220,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 11,212 | $219,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 83,300 | $217,000 | thousands by filing date | call |
| ALMOST FAMILY INC | 020409108 | COM | 4,022 | $216,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 5,012 | $216,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 5,550 | $215,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 3,500 | $215,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 8,268 | $215,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 85,870 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,200 | $214,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 11,220 | $214,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 10,538 | $213,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,844 | $213,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 5,243 | $212,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 2,000 | $212,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 5,703 | $211,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 5,009 | $211,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 3,900 | $211,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 49,900 | $211,000 | thousands by filing date | put |
| MOMO INC | 60879B107 | ADR | 6,700 | $210,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 18,678 | $210,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 5,000 | $209,000 | thousands by filing date | call |
| MESA LABS INC COM | 59064R109 | Stock | 1,400 | $209,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 13,200 | $209,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 5,000 | $209,000 | thousands by filing date | call |
| SANDERSON FARMS | 800013104 | COM | 1,293 | $209,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 11,262 | $209,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 4,091 | $209,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 3,970 | $208,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 5,890 | $208,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 12,111 | $207,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 5,763 | $207,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 3,349 | $205,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 5,803 | $205,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 9,905 | $204,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 3,115 | $203,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 3,957 | $203,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 16,072 | $203,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 176,000 | $203,000 | thousands by filing date | principal |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 5,072 | $200,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 36,000 | $200,000 | thousands by filing date | call |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 6,001 | $200,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 9,324 | $200,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 14,230 | $198,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 100,400 | $197,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 15,900 | $197,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 2,404 | $196,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 77,722 | $195,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 13,860 | $193,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 19,000 | $191,000 | thousands by filing date | call |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 11,107 | $191,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 11,006 | $190,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 13,901 | $188,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 6,400 | $187,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 13,900 | $187,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 3,500 | $187,000 | thousands by filing date | call |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 3,955 | $184,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 10,000 | $183,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 12,587 | $180,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 28,800 | $180,000 | thousands by filing date | call |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 400 | $179,000 | thousands by filing date | put |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 12,313 | $179,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 3,250 | $177,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 13,383 | $177,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 21,916 | $177,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 13,303 | $176,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,403 | $175,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 5,000 | $175,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 13,200 | $173,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 110,301 | $173,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 12,934 | $172,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 18,276 | $172,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 4,101 | $171,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 500 | $167,000 | thousands by filing date | put |
| FOGO DE CHAO INC | 344177100 | COM | 13,508 | $167,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 11,672 | $165,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 6,637 | $163,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 2,363 | $162,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 7,500 | $161,000 | thousands by filing date | put |
| FORTERRA INC | 34960W106 | COM | 35,672 | $161,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 10,300 | $161,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 15,300 | $160,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 2,800 | $160,000 | thousands by filing date | call |
| FERROGLOBE PLC | G33856108 | SHS | 12,100 | $159,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 12,100 | $159,000 | thousands by filing date | call |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 16,585 | $159,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 463,799 | $158,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 3,000 | $157,000 | thousands by filing date | call |
| CNH INDL N V SHS | N20944109 | Stock | 13,005 | $156,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 8,264 | $155,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 10,091 | $154,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 2,800 | $153,000 | thousands by filing date | call |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 3,662 | $153,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 11,343 | $150,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 141,000 | $147,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 19,649 | $145,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 6,687 | $144,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,600 | $141,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 13,506 | $141,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 10,000 | $140,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 124,000 | $139,000 | thousands by filing date | principal |
| EROS INTL PLC | G3788M114 | SHS NEW | 9,506 | $136,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 930 | $135,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 100,000 | $134,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 2,044 | $132,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 130,000 | $130,000 | thousands by filing date | principal |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 5,000 | $129,000 | thousands by filing date | call |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 5,000 | $129,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,103 | $128,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 84,979 | $128,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 11,385 | $127,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 30,829 | $125,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 12,100 | $124,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 109,000 | $124,000 | thousands by filing date | principal |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 86,000 | $124,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279108 | COM | 29,464 | $123,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 2,440 | $122,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 19,931 | $122,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,600 | $118,000 | thousands by filing date | put |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,295 | $118,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 11,015 | $118,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 5,918 | $116,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 20,006 | $115,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 4,900 | $115,000 | thousands by filing date | put |
| LAYNE CHRISTENSEN CO | 521050AB0 | NOTE 4.250%11/1 | 114,000 | $113,000 | thousands by filing date | principal |
| DDR CORP | 23317H102 | COM | 12,147 | $111,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 5,000 | $107,000 | thousands by filing date | call |
| ENDOLOGIX INC | 29266SAB2 | NOTE 3.25011/0 | 125,000 | $107,000 | thousands by filing date | principal |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 3,000 | $105,000 | thousands by filing date | put |
| PRA Group Inc | 69354N106 | COM | 3,665 | $105,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 100,000 | $103,000 | thousands by filing date | principal |
| UNISYS CORP | 909214306 | COMMON STOCK | 12,013 | $102,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 7,400 | $100,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 598 | $98,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,500 | $96,000 | thousands by filing date | put |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 20,891 | $94,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,900 | $93,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 2,159 | $90,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 10,519 | $88,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 12,600 | $87,000 | thousands by filing date | call |
| INTREXON CORP | 46122T102 | COM | 4,500 | $86,000 | thousands by filing date | put |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 11,600 | $83,000 | thousands by filing date | call |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 15,325 | $82,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 600 | $81,000 | thousands by filing date | put |
| Accenture Plc Class A | G1151C101 | COM | 600 | $81,000 | thousands by filing date | call |
| TAHOE RES INC | 873868103 | COM | 15,039 | $79,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 3,400 | $78,000 | thousands by filing date | call |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 76,000 | $77,000 | thousands by filing date | principal |
| Elevance Health, Inc. | 036752103 | COM | 400 | $76,000 | thousands by filing date | call |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 600 | $76,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 1,100 | $76,000 | thousands by filing date | call |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 53,000 | $75,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 8,643 | $74,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 38,571 | $74,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 19,636 | $70,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 50,000 | $70,000 | thousands by filing date | principal |
| DENBURY RES INC | 247916208 | COM NEW | 50,000 | $67,000 | thousands by filing date | call |
| iShares MSCI Mexico ETF | 464286822 | SHS | 1,200 | $66,000 | thousands by filing date | put |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 1,236 | $66,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 672 | $65,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 446 | $65,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 13,500 | $65,000 | thousands by filing date | put |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 11,171 | $63,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 1,103 | $63,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 1,400 | $62,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 50,000 | $62,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906501 | COM | 10,000 | $61,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 106,666 | $61,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 58,000 | $60,000 | thousands by filing date | principal |
| Southern Company | 842587107 | COM | 1,200 | $59,000 | thousands by filing date | call |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 2,100 | $59,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 646 | $58,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 3,000 | $57,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 60,000 | $57,000 | thousands by filing date | principal |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 800 | $55,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 8,199 | $55,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 13,961 | $54,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 12,400 | $53,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 45,627 | $50,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 5,951 | $50,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 700 | $48,000 | thousands by filing date | call |
| INTERPUBLIC GROUP COS | 460690100 | COM | 2,318 | $48,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 1,819 | $48,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 370 | $46,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 13,489 | $46,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 11,000 | $46,000 | thousands by filing date | call |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 46,000 | $46,000 | thousands by filing date | principal |
| MERITOR INC | 59001K100 | COMMON STOCK | 1,728 | $45,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 698 | $44,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 99 | $44,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 12,800 | $44,000 | thousands by filing date | put |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 40,000 | $43,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F676 | COM | 455 | $42,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 12,030 | $41,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 19,700 | $39,000 | thousands by filing date | call |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 965 | $39,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 1,100 | $39,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 15,099 | $39,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 53,000 | $39,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 500 | $36,000 | thousands by filing date | call |
| BUNGE LTD | G16962105 | COM | 500 | $35,000 | thousands by filing date | call |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 36,000 | $35,000 | thousands by filing date | principal |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 898 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 100 | $33,000 | thousands by filing date | call |
| Adobe Inc | 00724F101 | COM | 211 | $31,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 668 | $30,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 28,000 | $29,000 | thousands by filing date | principal |
| BLACKHAWK NETWORK HLDGS INC | 09238EAB0 | NOTE 1.500% 1/1 | 25,000 | $28,000 | thousands by filing date | principal |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 3,900 | $27,000 | thousands by filing date | put |
| DSW INC-CLASS A | 23334L102 | CL A | 1,220 | $26,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 32,000 | $26,000 | thousands by filing date | principal |
| VERSARTIS INC | 92529L102 | COM | 10,000 | $25,000 | thousands by filing date | call |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 3,112 | $23,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 20,000 | $23,000 | thousands by filing date | principal |
| MARATHON OIL CORP | 565849106 | COM | 1,547 | $21,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 407 | $21,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 3,000 | $21,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 10,000 | $21,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 12,000 | $21,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 1,300 | $20,000 | thousands by filing date | call |
| SILVER RUN ACQUISITION | 82812A111 | *W EXP 03/28/202 | 13,200 | $20,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 169 | $18,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 2,800 | $18,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 18,000 | $17,000 | thousands by filing date | principal |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 17,000 | $17,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 43,050 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 345 | $15,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 531 | $15,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 40,700 | $14,000 | thousands by filing date | put |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 1,910 | $13,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 93 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 100 | $9,000 | thousands by filing date | call |
| DAUCH CORP | 024061103 | COM | 500 | $9,000 | thousands by filing date | put |
| VISTA OUTDOOR INC | 928377100 | COM | 407 | $9,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 10,000 | $8,000 | thousands by filing date | principal |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 400 | $7,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 160 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 100 | $7,000 | thousands by filing date | put |
| LEAR CORP COM NEW | 521865204 | Stock | 34 | $6,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 1,400 | $4,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 59 | $3,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 200 | $3,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 179 | $3,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 107 | $2,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 101 | $2,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 23 | $1,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 13 | $1,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 55 | $1,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 8 | $1,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 45 | $1,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MAGNA INTL INC COM | 559222401 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUNTSMAN CORP | 447011107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZENDESK INC | 98936J101 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNPOWER CORP | 867652406 | COM | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRUBHUB INC | 400110102 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COOPER TIRE & RUBR CO | 216831107 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCLARO INC | 67555N206 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002412 | this filing | 2017-11-14 | acceptance time not in the bulk data set |