13F-HR filed by WOLVERINE ASSET MANAGEMENT LLC
WOLVERINE ASSET MANAGEMENT LLC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-14, with 2,594 holding rows worth $4,671,720,000.
- Accession
- 0001279891-14-000006
- Filer
- CIK 1279891
- Filed
- 2014-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 2,594 entries on the cover page, a total value of $4,671,720,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,671,720,000 with VALUE read as thousands by filing date, 13F file number 028-10687. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 43,309,000 | $263,731,000 | thousands by filing date | principal |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 58,829,000 | $128,268,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AU7 | COM | 55,109,000 | $122,004,000 | thousands by filing date | principal |
| WESTERN REFNG INC | 959319AC8 | NOTE 5.750% 6/1 | 28,856,000 | $117,103,000 | thousands by filing date | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 61,400,000 | $110,417,000 | thousands by filing date | principal |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 42,322,000 | $108,541,000 | thousands by filing date | principal |
| SALESFORCE COM INC | 79466LAB0 | BOND | 34,590,000 | $92,515,000 | thousands by filing date | principal |
| UNITED THERAPEUTICS CORP DEL | 91307CAF9 | NOTE 1.000% 9/1 | 39,250,000 | $77,831,000 | thousands by filing date | principal |
| D.R. HORTON INC | 23331ABB4 | NOTE | 43,332,000 | $72,296,000 | thousands by filing date | principal |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 35,325,000 | $66,904,000 | thousands by filing date | principal |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 29,000,000 | $66,641,000 | thousands by filing date | principal |
| EQUINIX INC | 29444UAG1 | CNV | 39,911,000 | $64,768,000 | thousands by filing date | principal |
| INTERMUNE INC | 45884XAF0 | NOTE 2.500%12/1 | 23,868,000 | $62,891,000 | thousands by filing date | principal |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 23,550,000 | $59,257,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 25,000,000 | $55,797,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 42,521,000 | $55,263,000 | thousands by filing date | principal |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 1,309,179 | $54,279,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 20,000,000 | $53,777,000 | thousands by filing date | principal |
| 3-D SYS CORP DEL | 88554DAB2 | NOTE 5.500%12/1 | 12,540,000 | $51,985,000 | thousands by filing date | principal |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 18,931,000 | $51,946,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAK7 | NOTE 5.000%10/1 | 20,600,000 | $51,528,000 | thousands by filing date | principal |
| PRICELINE COM INC | 741503AN6 | BOND | 11,456,000 | $44,935,000 | thousands by filing date | principal |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 32,891,000 | $42,825,000 | thousands by filing date | principal |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 31,800,000 | $41,991,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 24,980,000 | $37,910,000 | thousands by filing date | principal |
| LIONS GATE ENTERTAINMENT 3.625% CB 03/15/2025- REG | 53626YAA6 | Bond | 11,619,000 | $37,636,000 | thousands by filing date | principal |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 26,344,000 | $34,844,000 | thousands by filing date | principal |
| AKORN INC | 009728AB2 | NOTE 3.500% 6/0 | 13,352,000 | $33,988,000 | thousands by filing date | principal |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 27,500,000 | $33,706,000 | thousands by filing date | principal |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 24,053,000 | $33,050,000 | thousands by filing date | principal |
| ECPG 3 11/27/17 | 292554AD4 | Bond 30/360P2 U | 20,764,000 | $32,273,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 24,991,000 | $30,951,000 | thousands by filing date | principal |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 10,201,000 | $30,577,000 | thousands by filing date | principal |
| ProShares Tr II Ultra Short Futures (uvxy) | 74347W346 | ETF | 49,267 | $28,776,000 | thousands by filing date | put |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 33,877,000 | $28,700,000 | thousands by filing date | principal |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 27,650,000 | $28,368,000 | thousands by filing date | principal |
| PDL BIOPHARMA INC | 69329YAE4 | CNV | 17,710,000 | $27,332,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAC5 | CNV | 14,375,000 | $26,055,000 | thousands by filing date | principal |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 722,638 | $25,581,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 18,690,000 | $25,533,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 27,000,000 | $25,495,000 | thousands by filing date | principal |
| MASTEC INC SR UNS CONV 4% | 576323AG4 | CORP CV | 9,218,000 | $25,413,000 | thousands by filing date | principal |
| TEXAS CAPITAL BANCSHARES INC | 88224Q115 | WTS | 507,031 | $25,385,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 23,430,000 | $24,140,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 15,570,000 | $23,867,000 | thousands by filing date | principal |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 32,476,000 | $23,839,000 | thousands by filing date | principal |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 23,590,000 | $23,380,000 | thousands by filing date | principal |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 12,994,000 | $23,121,000 | thousands by filing date | principal |
| ARAY 3.5 02/18 | 004397AD7 | Bond 30/360P2 U | 11,500,000 | $22,005,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 16,292,000 | $21,990,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 21,715,000 | $21,941,000 | thousands by filing date | principal |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 21,109,000 | $21,536,000 | thousands by filing date | principal |
| Albany Molecular Research Conv | 012423AA7 | CONV | 15,000,000 | $20,410,000 | thousands by filing date | principal |
| INTERMUNE INC | 45884XAE3 | NOTE 2.500% 9/1 | 15,500,000 | $20,024,000 | thousands by filing date | principal |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 15,300,000 | $19,738,000 | thousands by filing date | principal |
| SIGNATURE BANK-CW18 | 82669G112 | Wt | 200,700 | $19,150,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 18,288,000 | $19,004,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 17,800,000 | $18,956,000 | thousands by filing date | principal |
| ENDO HEALTH SOLUTIONS INC | 29264FAB2 | BOND | 7,973,000 | $18,731,000 | thousands by filing date | principal |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 10,890,000 | $18,357,000 | thousands by filing date | principal |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 8,070,000 | $18,107,000 | thousands by filing date | principal |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 23,006,000 | $17,704,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAB6 | AMERICAN DEP SHS | 6,750,000 | $17,634,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 213,395 | $17,336,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 6,550,000 | $16,407,000 | thousands by filing date | principal |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 168,759 | $16,285,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694AB3 | NOTE 3.800% 7/0 | 11,824,000 | $15,507,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 8,069,000 | $15,153,000 | thousands by filing date | principal |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 10,550,000 | $15,046,000 | thousands by filing date | principal |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 247,730 | $14,603,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123EAB0 | NOTE 4.750% 6/0 | 9,000,000 | $14,594,000 | thousands by filing date | principal |
| ELY 3.75 08/19 | 131193AC8 | Bond 30/360P2 U | 10,250,000 | $14,431,000 | thousands by filing date | principal |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 13,250,000 | $13,843,000 | thousands by filing date | principal |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 11,250,000 | $13,655,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 15,000,000 | $13,646,000 | thousands by filing date | principal |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 116,493 | $13,611,000 | thousands by filing date | |
| JAKKS PAC INC | 47012EAD8 | NOTE 4.500%11/0 | 13,380,000 | $13,538,000 | thousands by filing date | principal |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 11,113 | $13,510,000 | thousands by filing date | put |
| INTEROIL CORP | 460951106 | COM | 206,140 | $13,349,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 16,481,000 | $12,896,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS IN | 686164AA2 | CONV | 11,500,000 | $12,849,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AC3 | DBCV 4.750% 4/1 | 10,500,000 | $12,842,000 | thousands by filing date | principal |
| Wells Fargo & Company | 949746101 | COM | 258,153 | $12,840,000 | thousands by filing date | |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 3,975,000 | $12,812,000 | thousands by filing date | principal |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 12,400,000 | $12,592,000 | thousands by filing date | principal |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 11,000,000 | $12,490,000 | thousands by filing date | principal |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 520,525 | $12,446,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 122,052 | $12,307,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 452,006 | $12,011,000 | thousands by filing date | |
| ACCURAY INC | 004397AB1 | CNV | 10,000,000 | $11,976,000 | thousands by filing date | principal |
| HEARTWARE INTERNATIONAL | 422368AA8 | NOTE | 9,633,000 | $11,555,000 | thousands by filing date | principal |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 17,497,000 | $11,317,000 | thousands by filing date | principal |
| HERBALIFE LTD | G4412G101 | COM SHS | 197,447 | $11,307,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 8,782,000 | $11,261,000 | thousands by filing date | principal |
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 155,000 | $11,248,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 11,117,000 | $11,167,000 | thousands by filing date | principal |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 263,395 | $11,102,000 | thousands by filing date | |
| DENDREON CORP | 24823QAB3 | NOTE 4.750% 6/1 | 11,395,000 | $11,005,000 | thousands by filing date | principal |
| CAPITALSOURCE INC | 14055X102 | COM | 723,596 | $10,557,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 9,000 | $10,514,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 10,082,000 | $10,424,000 | thousands by filing date | principal |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 11,415,000 | $10,271,000 | thousands by filing date | principal |
| INTEROIL CORP | 460951AC0 | NOTE 2.750%11/1 | 10,130,000 | $10,199,000 | thousands by filing date | principal |
| ProShares Tr II Ultra Short Futures (uvxy) | 74347W346 | ETF | 32,682 | $9,918,000 | thousands by filing date | call |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 112,744 | $9,756,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 80,667 | $9,592,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 10,000,000 | $9,253,000 | thousands by filing date | principal |
| QTM 4.5 11/17 | 747906AJ4 | Bond 30/360P2 U | 8,910,000 | $9,216,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 2,097 | $9,188,000 | thousands by filing date | call |
| HALLIBURTON CO COM | 406216101 | Stock | 154,334 | $9,088,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 9,218,000 | $9,026,000 | thousands by filing date | principal |
| HEADWATERS INC | 42210PAR3 | NOTE 8.750% 2/0 | 8,270,000 | $8,990,000 | thousands by filing date | principal |
| BPZ RESOURCES INC | 055639AC2 | CONV BND | 7,390,000 | $8,640,000 | thousands by filing date | principal |
| FOREST LABS INC | 345838106 | COM | 92,813 | $8,563,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 7,500,000 | $8,541,000 | thousands by filing date | principal |
| LSI CORPORATION | 502161102 | COM | 757,466 | $8,385,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 87,260 | $8,315,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 8,625,000 | $8,282,000 | thousands by filing date | principal |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 20,691,000 | $8,134,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 2,592 | $8,131,000 | thousands by filing date | call |
| METLIFE INC | 59156R116 | PREFERRED STOCK | 260,932 | $8,004,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 858,100 | $7,997,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768300 | UNIT 99/99/9999 | 619,643 | $7,967,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 128,080 | $7,863,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 8,744,000 | $7,816,000 | thousands by filing date | principal |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 7,500,000 | $7,627,000 | thousands by filing date | principal |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 7,350,000 | $7,435,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 18,931 | $7,405,000 | thousands by filing date | put |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 8,655 | $7,326,000 | thousands by filing date | put |
| The Jones Group Inc | 48020T101 | COM | 487,527 | $7,298,000 | thousands by filing date | |
| JOS A BANK CLOTHIERS INC | 480838101 | COM | 111,186 | $7,149,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 7,000,000 | $7,111,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 5,203 | $6,961,000 | thousands by filing date | call |
| RDA MICROELECTRONICS INC | 749394102 | SPONSORED ADR | 381,138 | $6,833,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 89,422 | $6,597,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 6,802,000 | $6,463,000 | thousands by filing date | principal |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 219,199 | $6,433,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 89,296 | $6,327,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 547,426 | $6,295,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 6,311,000 | $6,280,000 | thousands by filing date | principal |
| SINA CORP | G81477104 | ORD | 102,222 | $6,175,000 | thousands by filing date | |
| MANNKIND CORP | 56400PAC6 | BOND | 6,480,000 | $6,122,000 | thousands by filing date | principal |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 172,800 | $6,041,000 | thousands by filing date | |
| JINKOSOLAR HLDG CO LTD | 47759TAA8 | NOTE 4.000% 5/1 | 5,500,000 | $5,975,000 | thousands by filing date | principal |
| Cal Dive International | 12802TAB7 | CONV BOND | 6,195,000 | $5,935,000 | thousands by filing date | principal |
| UNS ENERGY CORP | 903119105 | COM | 97,744 | $5,867,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 70,600 | $5,513,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 176,550 | $5,503,000 | thousands by filing date | |
| ENPRO INDS INC | 29355XAB3 | DBCV 3.938%10/1 | 2,500,000 | $5,465,000 | thousands by filing date | principal |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 2,990 | $5,428,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 821,529 | $5,298,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 592,482 | $5,273,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 308,671 | $5,247,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 127,800 | $5,126,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 104,447 | $4,988,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 144,869 | $4,986,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 3,265,000 | $4,968,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 13,239 | $4,875,000 | thousands by filing date | put |
| ALERE INC | 01449J105 | COM | 141,430 | $4,858,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 182,082 | $4,804,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 230,146 | $4,708,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 212,169 | $4,684,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 127,717 | $4,585,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 38,300 | $4,584,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 548,947 | $4,583,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 64,389 | $4,553,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 24,277 | $4,540,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 74,193 | $4,504,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645AA8 | NOTE 2.875% 9/0 | 4,376,000 | $4,477,000 | thousands by filing date | principal |
| OMNICARE INC | 681904108 | COM | 74,990 | $4,474,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 133,745 | $4,457,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 133,821 | $4,425,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 44,413 | $4,415,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 6,830 | $4,384,000 | thousands by filing date | put |
| CONVERGYS CORP | 212485AE6 | SDCV | 2,150,000 | $4,380,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 115,675 | $4,329,000 | thousands by filing date | |
| ProShares Tr II Ultra Short Futures (uvxy) | 74347W346 | ETF | 71,905 | $4,307,000 | thousands by filing date | |
| EPL Oil & Gas, Inc. | 26883D108 | COM | 111,296 | $4,296,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 43,765 | $4,290,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 192,888 | $4,145,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 4,117,000 | $4,133,000 | thousands by filing date | principal |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 586,095 | $4,131,000 | thousands by filing date | |
| HI-TECH PHARMACAL CO INC | 42840B101 | COMMON STOCK | 94,965 | $4,114,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 29,705 | $4,074,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 860,579 | $4,036,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 142,517 | $3,979,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 2,032 | $3,889,000 | thousands by filing date | call |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 153,182 | $3,846,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 203,043 | $3,827,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 56,553 | $3,826,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 4,132 | $3,790,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 2,871,000 | $3,777,000 | thousands by filing date | principal |
| COMERICA INC-CW18 | 200340115 | WTS | 164,546 | $3,685,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 62,789 | $3,629,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 226,095 | $3,590,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 398,817 | $3,589,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 640,395 | $3,586,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 450,236 | $3,543,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | G73030AA9 | DEBT 2.500% 9/1 | 3,000,000 | $3,530,000 | thousands by filing date | principal |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 176,529 | $3,470,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,651 | $3,411,000 | thousands by filing date | call |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 257,207 | $3,369,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 205,904 | $3,315,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 89,187 | $3,294,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 4,000,000 | $3,289,000 | thousands by filing date | principal |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 98,650 | $3,280,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 32,669 | $3,209,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639AB4 | MTNF 6.500% 3/0 | 3,138,000 | $3,209,000 | thousands by filing date | principal |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 207,746 | $3,207,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 3,000,000 | $3,205,000 | thousands by filing date | principal |
| Microsoft Corp | 594918104 | COM | 77,649 | $3,182,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 76,314 | $3,129,000 | thousands by filing date | |
| REGIS CORP | 758932AA5 | NOTE | 3,050,000 | $3,126,000 | thousands by filing date | principal |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 2,522 | $3,105,000 | thousands by filing date | call |
| KBR INC COM | 48242W106 | Stock | 116,359 | $3,104,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 2,959 | $3,046,000 | thousands by filing date | put |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 29,816 | $3,043,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 36,872 | $3,009,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 987 | $2,998,000 | thousands by filing date | call |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 31,400 | $2,968,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 53,385 | $2,963,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 68,964 | $2,915,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 200 | $2,900,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 25,225 | $2,891,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 6,965 | $2,877,000 | thousands by filing date | call |
| BLACKROCK INC CL A COM | 09247X101 | COM | 9,060 | $2,849,000 | thousands by filing date | |
| MASTEC INC | 576323AL3 | NOTE 4.000% 6/1 | 1,034,000 | $2,845,000 | thousands by filing date | principal |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 601,186 | $2,837,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 172,873 | $2,824,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 17,264 | $2,818,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 113,458 | $2,816,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 179 | $2,728,000 | thousands by filing date | call |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 51,000 | $2,724,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 27,503 | $2,718,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 220 | $2,703,000 | thousands by filing date | call |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 74,381 | $2,694,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 1,207 | $2,683,000 | thousands by filing date | put |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 6,260 | $2,597,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 80,059 | $2,571,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AH2 | BOND | 3,000,000 | $2,568,000 | thousands by filing date | principal |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 105,497 | $2,550,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 26,083 | $2,545,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 241,437 | $2,542,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,253 | $2,514,000 | thousands by filing date | call |
| Procter & Gamble Co | 742718109 | COM | 30,950 | $2,494,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 3,726 | $2,493,000 | thousands by filing date | call |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 94,516 | $2,468,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 30,883 | $2,453,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 30,551 | $2,446,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 42,920 | $2,436,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 1,500,000 | $2,426,000 | thousands by filing date | principal |
| SINA CORP | G81477104 | ORD | 2,225 | $2,424,000 | thousands by filing date | put |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 39,217 | $2,422,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 222,878 | $2,407,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 53,404 | $2,405,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 56,572 | $2,365,000 | thousands by filing date | |
| QUESTCOR PHARMACEUTICALS INC | 74835Y101 | COM | 35,942 | $2,333,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 23,791 | $2,291,000 | thousands by filing date | |
| QUARTET MERGER CORP | 747717304 | UNIT 11/01/2015T | 225,900 | $2,290,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 43,105 | $2,288,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 32,246 | $2,277,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 16,278 | $2,272,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 46,463 | $2,268,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,814 | $2,256,000 | thousands by filing date | put |
| URS CORP NEW | 903236107 | COM | 47,903 | $2,254,000 | thousands by filing date | |
| YONGYE INTL INC | 98607B106 | COM | 326,144 | $2,221,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 329,634 | $2,215,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 2,313 | $2,174,000 | thousands by filing date | put |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 141,712 | $2,168,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 184,480 | $2,158,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 573,891 | $2,157,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 71,688 | $2,143,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 720 | $2,137,000 | thousands by filing date | call |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 172,993 | $2,127,000 | thousands by filing date | |
| QUESTCOR PHARMACEUTICALS INC | 74835Y101 | COM | 1,806 | $2,095,000 | thousands by filing date | put |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 2,163,000 | $2,093,000 | thousands by filing date | principal |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 187,173 | $2,081,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 79,599 | $2,060,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 18,405 | $2,051,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 60,450 | $2,048,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 10,876 | $2,011,000 | thousands by filing date | |
| ATMI INC | 00207R101 | COM | 58,708 | $1,996,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 250,809 | $1,991,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 2,648 | $1,961,000 | thousands by filing date | put |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 168,749 | $1,952,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 40,367 | $1,948,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 17,849 | $1,944,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 25,321 | $1,935,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 233,742 | $1,930,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 95,283 | $1,913,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 216,053 | $1,892,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 1,162 | $1,890,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 5,819 | $1,855,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 107,764 | $1,850,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 626 | $1,849,000 | thousands by filing date | put |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 86,195 | $1,842,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES S | 74343G303 | ADR CL B CONV | 525,788 | $1,840,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 41,743 | $1,837,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 26,157 | $1,815,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 225,000 | $1,813,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 7,827 | $1,810,000 | thousands by filing date | put |
| CENTURYLINK INC | 156700106 | COM | 55,000 | $1,806,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 109,408 | $1,801,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 115,429 | $1,791,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 195,934 | $1,788,000 | thousands by filing date | |
| Vitesse Semiconductor Corp | 928497AE6 | DBCV 8.000% 6/1 | 1,603,000 | $1,745,000 | thousands by filing date | principal |
| FLIR SYS INC | 302445101 | COM | 48,080 | $1,730,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 5,191 | $1,725,000 | thousands by filing date | put |
| GENESEE & WYO INC | 371559204 | UNIT 10/01/2015 | 13,381 | $1,720,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 93,624 | $1,711,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 345 | $1,700,000 | thousands by filing date | call |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 126,455 | $1,685,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 135,723 | $1,681,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 91,242 | $1,644,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 33,497 | $1,627,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 58,000 | $1,626,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 8,035 | $1,621,000 | thousands by filing date | put |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 62,157 | $1,592,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 5,465 | $1,587,000 | thousands by filing date | call |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 122,882 | $1,579,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 265 | $1,573,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 44,706 | $1,567,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 21,367 | $1,561,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 22,900 | $1,548,000 | thousands by filing date | |
| AUTONAVI HLDGS LTD | 05330F106 | SPONSORED ADR | 76,526 | $1,533,000 | thousands by filing date | |
| PPL CORP | 69351T114 | UNIT 99/99/9999S | 27,907 | $1,527,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 68,526 | $1,517,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 135,191 | $1,507,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 3,088 | $1,507,000 | thousands by filing date | call |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 17,013 | $1,471,000 | thousands by filing date | |
| MERGEWORTHRX CORP | 58952R106 | COM | 181,900 | $1,469,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 5,800 | $1,453,000 | thousands by filing date | |
| CORSICANTO LTD SR CONV NT CONV DTD 7/15/2012 3.5% 1/15/2032 | 220480AC1 | CONVERTIBLE | 2,000,000 | $1,447,000 | thousands by filing date | principal |
| CARRIZO OIL + GAS INC | 144577AA1 | COMPANY GUAR 06/28 4.375 | 1,500,000 | $1,440,000 | thousands by filing date | principal |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 21,505 | $1,439,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 311,254 | $1,425,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 1,558 | $1,423,000 | thousands by filing date | put |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 111,770 | $1,415,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 32,850 | $1,407,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 1,977 | $1,404,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,939 | $1,401,000 | thousands by filing date | call |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 145,749 | $1,386,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 50,876 | $1,384,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 146,855 | $1,380,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 210,830 | $1,376,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 15,916 | $1,372,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 105,133 | $1,371,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 7,124 | $1,360,000 | thousands by filing date | call |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 72,200 | $1,355,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 16,037 | $1,350,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 98,634 | $1,349,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 71,211 | $1,340,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 39,400 | $1,337,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 2,152 | $1,334,000 | thousands by filing date | put |
| TOLL BROTHERS INC COM | 889478103 | Stock | 36,989 | $1,327,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 27,217 | $1,323,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150112 | *W EXP 12/05/201 | 186,737 | $1,316,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 146,055 | $1,307,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 2,787 | $1,305,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 15,923 | $1,303,000 | thousands by filing date | |
| NTS INC NEV COM | 62943b105 | COM | 672,544 | $1,298,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 20,984 | $1,296,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 17 | $1,294,000 | thousands by filing date | call |
| ROSETTA RESOURCES INC | 777779307 | COM | 27,674 | $1,289,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 36,459 | $1,285,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 87,946 | $1,266,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 62,077 | $1,240,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 55,100 | $1,235,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 51,071 | $1,229,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 95,015 | $1,210,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 31,435 | $1,202,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 20,097 | $1,197,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 147,865 | $1,194,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 70,442 | $1,190,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 290,399 | $1,190,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 1,140,000 | $1,183,000 | thousands by filing date | principal |
| EXXON MOBIL CORP | 30231G102 | COM | 1,308 | $1,182,000 | thousands by filing date | call |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 49,217 | $1,171,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 16,400 | $1,153,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 88,682 | $1,149,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 775 | $1,140,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 132,071 | $1,138,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 193,410 | $1,137,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 30,200 | $1,137,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 277,568 | $1,129,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 45,486 | $1,113,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 91,107 | $1,107,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 64,850 | $1,106,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 98,300 | $1,092,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 19,797 | $1,091,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 125,568 | $1,079,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 83,966 | $1,078,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 1,122 | $1,076,000 | thousands by filing date | put |
| TRANSALTA CORP | 89346D107 | COM | 83,800 | $1,075,000 | thousands by filing date | |
| TERRAVIA HLDGS INC | 83415TAB7 | NOTE 6.000% 2/0 | 700,000 | $1,074,000 | thousands by filing date | principal |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 32,573 | $1,073,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 74,627 | $1,062,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 10,600 | $1,062,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 20,918 | $1,060,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 32,650 | $1,059,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 18,342 | $1,055,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 117,714 | $1,054,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q709 | UNIT 99/99/9999 | 33,408 | $1,053,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 12,002 | $1,052,000 | thousands by filing date | |
| AMERICAN AIRLS GROUP INC | 02376R409 | PFD A MAND CV ADDED | 37,705 | $1,040,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 903 | $1,039,000 | thousands by filing date | call |
| NORDION INC | 65563c105 | COM | 90,136 | $1,038,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 168,946 | $1,037,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 880 | $1,032,000 | thousands by filing date | put |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 18,200 | $1,030,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 10,300 | $1,028,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 59,034 | $1,027,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,925 | $1,026,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 930 | $1,010,000 | thousands by filing date | call |
| MEDIVATION INC | 58501N101 | COM | 15,690 | $1,009,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 17,400 | $1,007,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUIS | 425886207 | COM | 100,000 | $1,005,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 56,318 | $998,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 42,340 | $992,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 814,000 | $989,000 | thousands by filing date | principal |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 87,874 | $987,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 1,174 | $974,000 | thousands by filing date | put |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 54,334 | $964,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 48,165 | $958,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 546 | $950,000 | thousands by filing date | call |
| DENDREON CORP | 24823Q107 | COM | 16,346 | $947,000 | thousands by filing date | put |
| Duke Energy Corporation | 26441C204 | COM | 13,222 | $941,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 30,972 | $939,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,523 | $937,000 | thousands by filing date | call |
| RYLAND GROUP INC | 783764103 | COM | 856 | $936,000 | thousands by filing date | call |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 46,906 | $928,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 63,209 | $920,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 861 | $919,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 25,502 | $913,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 64,866 | $909,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 68,299 | $906,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 2,155 | $904,000 | thousands by filing date | put |
| OMNICARE | 68214L201 | PFD | 12,767 | $903,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 25,607 | $902,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 700 | $897,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 23,700 | $897,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 8,952 | $891,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 72,788 | $888,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 5,015 | $885,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 18,413 | $876,000 | thousands by filing date | |
| TOWER GROUP INTERNATIONAL LT | G8988C105 | COM | 323,440 | $873,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 42,593 | $869,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 47,861 | $867,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1,735 | $856,000 | thousands by filing date | put |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 60,933 | $850,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 11,300 | $844,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 49,181 | $843,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 53,391 | $839,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 62,549 | $825,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 978 | $824,000 | thousands by filing date | call |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 40,026 | $822,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 41,200 | $822,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 3,700 | $821,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 44,271 | $818,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 13,860 | $815,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 44,461 | $811,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 40,600 | $810,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 283,200 | $809,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 97,882 | $808,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 33,500 | $805,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 231 | $795,000 | thousands by filing date | call |
| T-Mobile US,Inc. | 872590104 | COM | 23,963 | $791,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 9,700 | $787,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 475 | $784,000 | thousands by filing date | call |
| Costco Wholesale Corporation | 22160K105 | COM | 6,997 | $781,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 8,002 | $775,000 | thousands by filing date | put |
| CIENA CORP COM NEW | 171779309 | Stock | 1,562 | $773,000 | thousands by filing date | call |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 36,424 | $772,000 | thousands by filing date | |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 109,778 | $771,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 42,279 | $769,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 187,967 | $768,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 7,200 | $767,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 54,923 | $764,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 55,209 | $763,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 7,740 | $754,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 97,732 | $752,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 60,944 | $751,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 25,483 | $750,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 3,493 | $749,000 | thousands by filing date | call |
| VIRNETX HLDG CORP | 92823T108 | COM | 1,204 | $747,000 | thousands by filing date | put |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 182,111 | $746,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 47,299 | $744,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 41,545 | $743,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 17,000 | $741,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 12,302 | $739,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 45,700 | $737,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 6,104 | $737,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 10,600 | $735,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 11,195 | $735,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 10,900 | $731,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 568 | $723,000 | thousands by filing date | call |
| SEATTLE GENETICS INC | 812578102 | COM | 15,860 | $722,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 604 | $722,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 46,732 | $722,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 62,290 | $720,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001279891-14-000006 | this filing | 2014-05-14 | acceptance time not in the bulk data set |