13F-HR filed by Jefferies Group LLC
Jefferies Group LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 1,327 holding rows worth $9,035,960,000.
- Accession
- 0001085146-20-002964
- Filer
- CIK 1084580
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 1,327 entries on the cover page, a total value of $9,035,960,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,035,960,000 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 managerLeucadia Investment Management Ltd028-17885
- 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 |
|---|---|---|---|---|---|---|
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 17,000 | $474,000 | thousands by filing date | call |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 7,500 | $473,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 2,000 | $471,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 15,500 | $465,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 2,900 | $464,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 5,752 | $462,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 5,500 | $456,000 | thousands by filing date | put |
| MODERNA INC | 60770K107 | COM | 6,394 | $452,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 827 | $448,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 31,889 | $448,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 24,200 | $446,000 | thousands by filing date | call |
| EVERI HLDGS INC | 30034T103 | COM | 53,130 | $438,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 244,104 | $437,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 273,000 | $433,000 | thousands by filing date | principal |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,553 | $431,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 42,500 | $429,000 | thousands by filing date | put |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 250,000 | $429,000 | thousands by filing date | principal |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 42,403 | $428,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 25,000 | $426,000 | thousands by filing date | call |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 50,000 | $426,000 | thousands by filing date | put |
| AMERIS BANCORP | 03076K108 | COM | 18,500 | $421,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,688 | $420,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 3,000 | $420,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 3,600 | $418,000 | thousands by filing date | call |
| QIAGEN NV | N72482123 | SHS NEW | 7,994 | $418,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 40,511 | $418,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 7,546 | $417,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 4,500 | $417,000 | thousands by filing date | put |
| Morgan Stanley | 617446448 | COM | 8,600 | $416,000 | thousands by filing date | put |
| LIVONGO HEALTH INC | 539183103 | COM | 2,959 | $414,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 6,700 | $410,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 12,250 | $407,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 10,000 | $401,000 | thousands by filing date | call |
| V F CORP COM | 918204108 | Stock | 5,705 | $401,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,671 | $400,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 33,500 | $400,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 7,459 | $398,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,948 | $397,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 30,000 | $396,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 75,000 | $394,000 | thousands by filing date | put |
| T-Mobile US,Inc. | 872590104 | COM | 3,419 | $391,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 15,376 | $389,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,800 | $388,000 | thousands by filing date | call |
| CIIG MERGER CORP | 12559C103 | COM CL A | 38,673 | $388,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 15,000 | $386,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 5,000 | $385,000 | thousands by filing date | call |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 10,878 | $381,000 | thousands by filing date | |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 150,000 | $380,000 | thousands by filing date | principal |
| PAE INC | 69290Y109 | COM CL A | 44,363 | $377,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 8,000 | $373,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 4,000 | $370,000 | thousands by filing date | call |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,600 | $370,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 43,721 | $370,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 31,039 | $370,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 7,969 | $369,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 10,000 | $366,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 69,727 | $366,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 6,500 | $366,000 | thousands by filing date | call |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 30,000 | $365,000 | thousands by filing date | put |
| ATHENEX INC | 04685N103 | COM | 30,000 | $363,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,677 | $361,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 9,150 | $360,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 25,500 | $360,000 | thousands by filing date | call |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 5,000 | $359,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 57,534 | $358,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 3,800 | $356,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 15,000 | $353,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 3,934 | $353,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 9,900 | $347,000 | thousands by filing date | put |
| ANAPTYSBIO INC | 032724106 | COM | 23,200 | $342,000 | thousands by filing date | put |
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 32,500 | $342,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 30,736 | $342,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,560 | $340,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 3,042 | $340,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 6,550 | $336,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 100,000 | $335,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 31,700 | $333,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 19,000 | $331,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 9,800 | $330,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 150,000 | $328,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,834 | $326,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2,500 | $326,000 | thousands by filing date | call |
| GOGO INC | 38046C109 | COM | 35,000 | $323,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 297,000 | $317,000 | thousands by filing date | principal |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 300,000 | $315,000 | thousands by filing date | principal |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,003 | $312,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 25,361 | $312,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 16,150 | $311,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 33,948 | $308,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 18,000 | $307,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 2,200 | $306,000 | thousands by filing date | call |
| REALTY INCOME CORP COM | 756109104 | REIT | 5,000 | $304,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 25,000 | $304,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 14,000 | $303,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 19,953 | $303,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 2,872 | $298,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 20,100 | $298,000 | thousands by filing date | call |
| HERC HLDGS INC COM | 42704L104 | Stock | 7,500 | $297,000 | thousands by filing date | call |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 4,536 | $294,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 16,323 | $294,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 2,900 | $293,000 | thousands by filing date | put |
| TERADYNE INC COM | 880770102 | Stock | 3,641 | $289,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 50,000 | $287,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 283,000 | $286,000 | thousands by filing date | principal |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T109 | SHS CL A | 15,000 | $285,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,000 | $283,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 15,000 | $280,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 27,385 | $280,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 10,000 | $279,000 | thousands by filing date | put |
| HERC HLDGS INC COM | 42704L104 | Stock | 7,000 | $277,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 25,000 | $277,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 4,646 | $276,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 7,693 | $276,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 110,000 | $274,000 | thousands by filing date | principal |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 10,700 | $273,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 3,400 | $273,000 | thousands by filing date | call |
| iShares Russell Midcap ETF | 464287499 | SHS | 4,740 | $272,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 2,848 | $271,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,000 | $269,000 | thousands by filing date | put |
| CMB.TECH NV SHS | B38564108 | Stock | 30,516 | $269,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 11,875 | $269,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 7,000 | $267,000 | thousands by filing date | call |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 43,100 | $267,000 | thousands by filing date | put |
| COUSINSPPTYSINC | 222795502 | STOK | 9,300 | $266,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 9,500 | $266,000 | thousands by filing date | call |
| FORTERRA INC | 34960W106 | COM | 22,500 | $266,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 5,000 | $260,000 | thousands by filing date | put |
| SUTRO BIOPHARMA INC | 869367102 | COM | 25,900 | $260,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 4,345 | $258,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 13,000 | $258,000 | thousands by filing date | call |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,368 | $258,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T129 | UNIT 99/99/9999 | 25,000 | $258,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 14,000 | $256,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 12,000 | $256,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 1,349 | $255,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,219 | $255,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 10,000 | $255,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 62,200 | $254,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 3,035 | $252,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 7,500 | $252,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 107,700 | $249,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP | 543195101 | COM CL A | 25,002 | $246,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 214,000 | $245,000 | thousands by filing date | principal |
| NORDSTROM INC | 655664100 | COM | 20,500 | $244,000 | thousands by filing date | call |
| ANAPTYSBIO INC | 032724106 | COM | 16,480 | $243,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 9,242 | $243,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 12,500 | $241,000 | thousands by filing date | put |
| IAC INTERACTIVECORP NEW | 44891N109 | COM | 2,000 | $240,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 19,627 | $239,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 89,900 | $236,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 935 | $235,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 1,853 | $233,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 5,000 | $232,000 | thousands by filing date | |
| Agora Inc-Adr | 00851L103 | COM | 5,393 | $232,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 3,750 | $231,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 7,000 | $229,000 | thousands by filing date | call |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 14,673 | $228,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 100,000 | $225,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 8,400 | $224,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 5,306 | $223,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 2,538 | $222,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 85,868 | $222,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 1,500 | $220,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 16,000 | $219,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 84,390 | $219,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 1,224 | $217,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,000 | $217,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 9,900 | $217,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 5,200 | $216,000 | thousands by filing date | call |
| NETFIN ACQUISITION CORP | G6455A115 | *W EXP 08/01/202 | 159,108 | $215,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 2,702 | $213,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 10,000 | $212,000 | thousands by filing date | put |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 2,601 | $211,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 18,400 | $210,000 | thousands by filing date | |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 12,100 | $210,000 | thousands by filing date | put |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 25,000 | $209,000 | thousands by filing date | put |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 25,000 | $209,000 | thousands by filing date | call |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 764 | $208,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 6,350 | $208,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 400 | $206,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 10,249 | $205,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 9,135 | $205,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 5,000 | $204,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 6,936 | $203,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,510 | $202,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B208 | *W EXP 07/21/202 | 2,521,251 | $202,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 1,895 | $200,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 14,000 | $198,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 1,500 | $194,000 | thousands by filing date | call |
| TRINE ACQUISITION CORP | 89628U116 | *W EXP 03/31/202 | 74,102 | $194,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 5,000 | $189,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 5,000 | $188,000 | thousands by filing date | put |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 150,000 | $186,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 30,000 | $186,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K118 | *W EXP 06/01/202 | 49,999 | $185,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 11,033 | $184,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 31,325 | $181,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 20,901 | $178,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 53,948 | $178,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 9,323 | $173,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 51,000 | $173,000 | thousands by filing date | principal |
| WPX ENERGY INC | 98212B103 | COM | 35,000 | $172,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 100,000 | $164,000 | thousands by filing date | principal |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 37,700 | $159,000 | thousands by filing date | put |
| OAKTREE ACQUISITION CORP | G67145113 | *W EXP 99/99/999 | 54,000 | $158,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 91,000 | $154,000 | thousands by filing date | principal |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 10,000 | $151,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,200 | $150,000 | thousands by filing date | call |
| SCVX CORP | G79448117 | *W EXP 01/24/202 | 98,942 | $148,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 3,500 | $144,000 | thousands by filing date | put |
| Morgan Stanley | 617446448 | COM | 2,914 | $141,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 1,400 | $141,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 3,400 | $141,000 | thousands by filing date | put |
| Colonnade Acquisition Corp | G2283K128 | COLONNADE ACQUISITION CORP | 14,200 | $141,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G114 | *W EXP 11/12/202 | 129,286 | $140,000 | thousands by filing date | |
| NEVRO CORP | 64157FAC7 | NOTE 2.750% 4/0 | 90,000 | $138,000 | thousands by filing date | principal |
| GIGCAPITAL2 INC | 375036118 | *W EXP 02/28/202 | 150,000 | $137,000 | thousands by filing date | |
| BRINKER INTL INC COM | 109641100 | Stock | 3,100 | $132,000 | thousands by filing date | put |
| YY INC | 98426TAF3 | NOTE 1.375% 6/1 | 124,000 | $132,000 | thousands by filing date | principal |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 104,000 | $132,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 1,500 | $131,000 | thousands by filing date | put |
| FINSERV ACQUISITION CORP | 318085115 | *W EXP 12/31/202 | 131,182 | $131,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784122 | *W EXP 08/27/202 | 30,000 | $131,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 1,000 | $129,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 10,000 | $128,000 | thousands by filing date | put |
| Caterpillar Inc. | 149123101 | COM | 844 | $126,000 | thousands by filing date | |
| PAE INC | 69290Y117 | *W EXP 09/11/202 | 56,984 | $125,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 3,778 | $124,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 2,500 | $124,000 | thousands by filing date | call |
| Uber Technologies | 90353T100 | COM | 3,312 | $121,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 101,000 | $121,000 | thousands by filing date | principal |
| RANGE RES CORP COM | 75281A109 | Stock | 18,000 | $119,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 27,500 | $119,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 3,250 | $117,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 8,500 | $117,000 | thousands by filing date | put |
| SmileDirectClub Inc | 83192H106 | COM | 10,000 | $117,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 3,300 | $116,000 | thousands by filing date | call |
| HEXO CORP | 428304109 | COM | 174,300 | $115,000 | thousands by filing date | call |
| CC NEUBERGER PRINCIPAL HLDNG | G1992Y122 | *W EXP 99/99/999 | 62,299 | $112,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 6,000 | $110,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 2,600 | $109,000 | thousands by filing date | put |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 10,000 | $108,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG | H33700115 | *W EXP 08/28/202 | 167,650 | $107,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 130,000 | $105,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R120 | *W EXP 10/30/202 | 74,997 | $105,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 2,374 | $98,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 10,100 | $95,000 | thousands by filing date | call |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 13,787 | $95,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 166,260 | $95,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 613 | $93,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 11,100 | $92,000 | thousands by filing date | call |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 36,000 | $92,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 81,000 | $90,000 | thousands by filing date | principal |
| HEALTHCARE MERGER CORP | 42227L110 | *W EXP 12/17/202 | 50,000 | $88,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | Y58473102 | SHS | 5,000 | $85,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 13,736 | $85,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q118 | *W EXP 03/31/202 | 50,125 | $85,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 9,600 | $77,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 46,000 | $75,000 | thousands by filing date | principal |
| JAWS ACQUISITION CORP | G50744112 | *W EXP 99/99/999 | 33,900 | $72,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 2,500 | $71,000 | thousands by filing date | call |
| EVENTBRITE INC | 29975E109 | COM CL A | 6,500 | $71,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761119 | *W EXP 06/21/202 | 59,216 | $70,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 6,600 | $68,000 | thousands by filing date | call |
| APEX TECHNOLOGY ACQUISITION | 03768F110 | *W EXP 09/18/202 | 35,000 | $68,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15,918 | $67,000 | thousands by filing date | |
| CHURCHILL CAP CORP III | 17144C112 | *W EXP 03/01/202 | 33,150 | $66,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 10,400 | $65,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 474 | $65,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 11,200 | $65,000 | thousands by filing date | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,125 | $63,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 24,000 | $62,000 | thousands by filing date | principal |
| CARS COM INC | 14575E105 | COM | 7,500 | $61,000 | thousands by filing date | call |
| HAYMAKER ACQUISITION CORP II | 42087L119 | *W EXP 10/31/202 | 59,155 | $60,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 10,000 | $59,000 | thousands by filing date | principal |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 64,000 | $56,000 | thousands by filing date | principal |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 3,189 | $55,000 | thousands by filing date | |
| ARTIUS ACQUISITION INC | 04316G113 | *W EXP 07/13/202 | 33,333 | $54,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 65,000 | $53,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 17,117 | $51,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 53,000 | $51,000 | thousands by filing date | principal |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 4,524 | $50,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 609 | $50,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754114 | *W EXP 12/06/202 | 99,987 | $50,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 8,332 | $49,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 53,000 | $49,000 | thousands by filing date | principal |
| Wells Fargo & Company | 949746101 | COM | 2,000 | $47,000 | thousands by filing date | call |
| SEA LTD | 81141R100 | SPONSORD ADS | 300 | $46,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 1,598 | $45,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 29,000 | $45,000 | thousands by filing date | principal |
| Bristol-Myers Squibb Company | 110122108 | COM | 728 | $44,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 138 | $40,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 13,000 | $39,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 39,000 | $39,000 | thousands by filing date | principal |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 200 | $38,000 | thousands by filing date | call |
| FOLEY TRASIMENE ACQUISTN COR | 34431F112 | *W EXP 05/26/202 | 16,789 | $38,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 622 | $36,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 3,300 | $36,000 | thousands by filing date | call |
| D8 HOLDINGS CORP | G2614K128 | *W EXP 08/05/202 | 50,000 | $36,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 3,454 | $35,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 14,000 | $31,000 | thousands by filing date | principal |
| CHURCHILL CAPITAL CORP IV | 171439110 | W EXP 08/04/202 | 21,160 | $31,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,259 | $30,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867117 | *W EXP 03/31/202 | 10,427 | $29,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T117 | *W EXP 99/99/999 | 17,301 | $26,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 21,000 | $24,000 | thousands by filing date | principal |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 21,000 | $22,000 | thousands by filing date | principal |
| MOMO INC | 60879B107 | ADR | 1,500 | $21,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,400 | $21,000 | thousands by filing date | call |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 22,000 | $21,000 | thousands by filing date | principal |
| CIIG MERGER CORP | 12559C111 | *W EXP 12/31/202 | 22,049 | $19,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP INC | 83406B119 | *W EXP 10/01/202 | 18,187 | $17,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 1,281 | $16,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO | 80821R117 | W EXP 12/31/202 | 26,900 | $14,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C117 | *W EXP 09/01/202 | 11,258 | $14,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 176 | $13,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 3,600 | $12,000 | thousands by filing date | put |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 11,000 | $12,000 | thousands by filing date | principal |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| CYTOKINETICS INC | 23282W605 | COM NEW | 400 | $9,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 660 | $7,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 156 | $6,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 400 | $5,000 | thousands by filing date | put |
| HALL OF FAME RESORT & ENTMT | 40619L110 | *W EXP 07/01/202 | 20,000 | $5,000 | thousands by filing date | |
| TARGET HOSPITALITY CORP | 87615L115 | *W EXP 03/15/202 | 33,063 | $3,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 53 | $2,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 145 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-002964 | this filing | 2020-11-13 | acceptance time not in the bulk data set |