13F-HR filed by D. E. Shaw & Co., Inc.
D. E. Shaw & Co., Inc. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 3,776 holding rows worth $97,714,809,000.
- Accession
- 0001104659-20-125810
- Filer
- CIK 1009207
- Filed
- 2020-11-16
- 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, 4,969 entries on the cover page, a total value of $97,714,809,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $97,714,809,000 with VALUE read as thousands by filing date, 13F file number 028-05396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerD. E. SHAW & CO, L.P.028-05394
- included managerD. E. Shaw Investment Management, L.L.C.028-11452
- included managerD. E. Shaw Heliant Adviser, L.L.C.028-14492
- included managerD. E. Shaw Adviser II, L.L.C.028-15385
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 |
|---|---|---|---|---|---|---|
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 7,297 | $263,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 41,191 | $262,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 71,459 | $262,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 8,706 | $261,000 | thousands by filing date | |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 7,993 | $261,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 47,500 | $260,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 57,035 | $260,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 3,322 | $259,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 20,000 | $259,000 | thousands by filing date | call |
| XPERI HLDG CORP | 98390M103 | COM | 22,500 | $259,000 | thousands by filing date | put |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 8,017 | $258,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 10,353 | $258,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 7,230 | $257,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 16,712 | $257,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 773 | $257,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 14,778 | $257,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 13,757 | $257,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,295 | $256,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 652 | $256,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 13,341 | $255,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 2,300 | $255,000 | thousands by filing date | put |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 22,500 | $254,000 | thousands by filing date | |
| UFP INDUSTRIES INC | 90278Q108 | COM | 4,496 | $254,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 7,701 | $254,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 11,028 | $253,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 15,363 | $252,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,986 | $251,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 2,726 | $251,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 29,700 | $251,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 50,000 | $251,000 | thousands by filing date | call |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 2,368 | $250,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 18,500 | $250,000 | thousands by filing date | put |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 24,236 | $250,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 32,927 | $250,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 26,300 | $249,000 | thousands by filing date | put |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 21,383 | $249,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 20,100 | $248,000 | thousands by filing date | call |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 3,897 | $248,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 20,000 | $247,000 | thousands by filing date | put |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 4,994 | $247,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,036 | $245,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 50,500 | $245,000 | thousands by filing date | put |
| PARSONS CORP DEL COM | 70202L102 | Stock | 7,278 | $244,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 6,459 | $244,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 6,700 | $243,000 | thousands by filing date | call |
| CNO FINL GROUP INC | 12621E103 | COM | 15,158 | $243,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 8,056 | $242,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 30,108 | $241,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 10,944 | $239,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 55,314 | $239,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 4,803 | $237,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 2,889 | $237,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 23,009 | $237,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 2,600 | $236,000 | thousands by filing date | call |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 228,466 | $236,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 13,503 | $235,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 21,601 | $235,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 6,671 | $232,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 28,028 | $232,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 50,000 | $230,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 64,261 | $229,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 24,119 | $229,000 | thousands by filing date | |
| HEALTHCARE MERGER CORP | 42227L102 | COM CL A | 22,534 | $229,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 4,631 | $228,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 4,200 | $226,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 20,000 | $225,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y100 | COM | 39,700 | $225,000 | thousands by filing date | put |
| SUPERIOR INDS INTL INC | 868168105 | COM | 177,937 | $223,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 9,196 | $222,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 17,828 | $221,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,405 | $220,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 15,657 | $218,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 11,200 | $217,000 | thousands by filing date | call |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 19,356 | $216,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,334 | $215,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 3,217 | $214,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 24,500 | $214,000 | thousands by filing date | call |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 7,007 | $214,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 209,345 | $214,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 4,800 | $212,000 | thousands by filing date | put |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 6,732 | $211,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,157 | $211,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 20,000 | $210,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 231,851 | $209,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 29,100 | $207,000 | thousands by filing date | call |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 18,605 | $207,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 7,231 | $206,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 1,979 | $206,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 4,845 | $205,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 29,600 | $205,000 | thousands by filing date | call |
| DRIVE SHACK INC | 262077100 | COM | 183,105 | $205,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 4,402 | $204,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 4,100 | $203,000 | thousands by filing date | put |
| LANDSTAR SYS INC COM | 515098101 | Stock | 1,620 | $203,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 6,283 | $202,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 10,700 | $202,000 | thousands by filing date | call |
| CRH MEDICAL CORP | 12626F105 | COM | 93,700 | $202,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 17,480 | $199,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 59,960 | $197,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 23,288 | $197,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 25,612 | $196,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 17,600 | $194,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 13,762 | $194,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 55,000 | $194,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 15,285 | $194,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 11,040 | $193,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 29,058 | $193,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 14,264 | $191,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 46,400 | $190,000 | thousands by filing date | call |
| KALA BIO INC COM | 483119103 | Stock | 25,298 | $190,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 27,675 | $189,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 10,000 | $189,000 | thousands by filing date | put |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 33,281 | $188,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 37,349 | $187,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 19,753 | $186,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 30,349 | $186,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 30,000 | $183,000 | thousands by filing date | put |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 15,000 | $183,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 201,544 | $181,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 14,386 | $178,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 20,561 | $178,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761119 | *W EXP 06/21/202 | 150,000 | $177,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 12,500 | $173,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 35,000 | $172,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 12,200 | $170,000 | thousands by filing date | call |
| IVERIC BIO INC | 46583P102 | COM | 30,020 | $169,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 306,532 | $168,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 12,500 | $166,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 15,000 | $166,000 | thousands by filing date | put |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 10,347 | $166,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 26,094 | $165,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 20,143 | $164,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 14,686 | $164,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 19,354 | $164,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 132,456 | $162,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 53,208 | $162,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 60,000 | $161,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 13,063 | $159,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 55,831 | $159,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 12,671 | $157,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 13,768 | $156,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 11,700 | $156,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 25,574 | $155,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 503,977 | $155,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 15,851 | $154,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 13,200 | $153,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 10,311 | $153,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 10,100 | $152,000 | thousands by filing date | put |
| AMERICAN VANGUARD CORP | 030371108 | COM | 11,603 | $152,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 61,106 | $152,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 16,100 | $151,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 29,227 | $151,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 24,679 | $150,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T117 | *W EXP 99/99/999 | 99,933 | $150,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 21,697 | $149,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 12,294 | $146,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 11,987 | $145,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 12,770 | $144,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 70,000 | $143,000 | thousands by filing date | call |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 12,432 | $142,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 10,000 | $142,000 | thousands by filing date | put |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 14,367 | $142,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 26,089 | $142,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K112 | *W EXP 04/01/202 | 272,120 | $139,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 20,938 | $138,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 51,707 | $138,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 15,673 | $137,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 50,000 | $137,000 | thousands by filing date | call |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 12,116 | $137,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 50,000 | $136,000 | thousands by filing date | call |
| TENNECO INC | 880349105 | COM | 19,604 | $136,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 19,747 | $136,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 18,082 | $135,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 11,876 | $133,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 84,273 | $133,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 21,515 | $133,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 15,823 | $131,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 10,999 | $131,000 | thousands by filing date | |
| SC HEALTH CORP | G78516401 | *W EXP 99/99/999 | 112,500 | $129,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 50,000 | $127,000 | thousands by filing date | put |
| TELENAV INC | 879455103 | COMMON STOCK | 34,778 | $125,000 | thousands by filing date | |
| CHURCHILL CAP CORP III | 17144C112 | *W EXP 03/01/202 | 62,500 | $125,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 29,847 | $122,000 | thousands by filing date | |
| FLYING EAGLE ACQUISITION COR | 34407Y111 | *W EXP 02/26/202 | 37,500 | $122,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 349,000 | $121,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 16,750 | $119,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 14,786 | $118,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 17,794 | $116,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 15,940 | $116,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 46,753 | $116,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 29,300 | $115,000 | thousands by filing date | call |
| SPARK ENERGY INC | 846511103 | CL A COM | 13,559 | $113,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 50,000 | $113,000 | thousands by filing date | call |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 10,232 | $112,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 25,000 | $110,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 88,900 | $110,000 | thousands by filing date | call |
| EASTMAN KODAK CO | 277461406 | COM NEW | 12,401 | $109,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 10,989 | $108,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 12,008 | $107,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 12,637 | $107,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 38,539 | $106,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 20,342 | $103,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 22,742 | $101,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 10,500 | $99,000 | thousands by filing date | call |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 20,400 | $96,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 18,100 | $95,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 116,147 | $94,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 10,447 | $94,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 11,649 | $93,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 22,145 | $92,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 10,414 | $92,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 13,080 | $90,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 12,663 | $90,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 30,000 | $90,000 | thousands by filing date | put |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 18,531 | $89,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 13,786 | $89,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 28,111 | $89,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439110 | W EXP 08/04/202 | 60,080 | $89,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 95,880 | $87,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 19,846 | $86,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 14,677 | $86,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 16,105 | $86,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 12,700 | $83,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 100,000 | $81,000 | thousands by filing date | put |
| TUSCAN HLDGS CORP II | 90070A111 | *W EXP 04/01/202 | 162,500 | $81,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 10,661 | $80,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 11,380 | $79,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 50,848 | $78,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 29,700 | $77,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC | 233253111 | *W EXP 02/21/202 | 25,000 | $75,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 52,663 | $74,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 24,096 | $72,000 | thousands by filing date | call |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 20,000 | $71,000 | thousands by filing date | put |
| VIRNETX HLDG CORP | 92823T108 | COM | 13,488 | $71,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 13,001 | $70,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 28,408 | $69,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 42,600 | $67,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 22,536 | $66,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 14,900 | $66,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 216,666 | $65,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 116,020 | $64,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 18,074 | $63,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 92,167 | $62,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 23,100 | $59,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 10,499 | $55,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 33,764 | $55,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 10,528 | $54,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,080 | $53,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 11,630 | $51,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K118 | *W EXP 06/01/202 | 13,774 | $51,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 30,815 | $49,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 17,790 | $48,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 16,413 | $44,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,800 | $38,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 10,012 | $37,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 17,091 | $36,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,615 | $34,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 12,992 | $34,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 54,261 | $33,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 12,658 | $31,000 | thousands by filing date | |
| CITIC CAPITAL ACQUISITION CO | G21513117 | *W EXP 01/17/202 | 25,000 | $31,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 40,478 | $30,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 27,200 | $30,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 24,108 | $29,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 19,031 | $28,000 | thousands by filing date | |
| CHEER HLDG INC | G39973113 | *W EXP 02/13/202 | 500,773 | $28,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 11,872 | $27,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 10,030 | $24,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 26,801 | $23,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 11,565 | $19,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 11,245 | $18,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 47,290 | $13,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 12,228 | $12,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 41,284 | $8,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 16,982 | $4,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 12,800 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-20-125810 | this filing | 2020-11-16 | acceptance time not in the bulk data set |