13F-HR filed by Pine River Capital Management L.P.
Pine River Capital Management L.P. filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 469 holding rows worth $9,026,841,000.
- Accession
- 0001288136-13-000082
- Filer
- CIK 1288136
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 469 entries on the cover page, a total value of $9,026,841,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,026,841,000 with VALUE read as thousands by filing date, 13F file number 028-10902. 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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 8,090,000 | $1,359,203,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 4,050,000 | $680,441,000 | thousands by filing date | call |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 11,221,706 | $210,688,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,200,000 | $201,476,000 | thousands by filing date | put |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 189,597,000 | $193,153,000 | thousands by filing date | principal |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 12,203,314 | $167,796,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 7,181,129 | $162,149,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,572,345 | $143,460,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 289,800 | $138,165,000 | thousands by filing date | call |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 1,651,900 | $105,394,000 | thousands by filing date | call |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 5,134,491 | $101,510,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 4,952,400 | $98,578,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 198,700 | $94,732,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 750,000 | $79,959,000 | thousands by filing date | put |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 18,872,642 | $79,265,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 1,229,300 | $78,431,000 | thousands by filing date | |
| XILINX INC | 983919AD3 | SDCV 3.125% 3/1 | 48,100,000 | $77,771,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 2,037,000 | $77,162,000 | thousands by filing date | call |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 2,846,328 | $75,358,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 3,038,600 | $72,593,000 | thousands by filing date | call |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,821,998 | $72,041,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 68,500,000 | $68,414,000 | thousands by filing date | principal |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 711,121 | $65,125,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 759,100 | $64,751,000 | thousands by filing date | call |
| OFFICE DEPOT INC | 676220106 | COM | 13,167,069 | $63,596,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 724,100 | $62,773,000 | thousands by filing date | call |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 57,700,000 | $60,856,000 | thousands by filing date | principal |
| JPMorgan Chase & Co | 46625H100 | COM | 1,152,500 | $59,574,000 | thousands by filing date | call |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 625,100 | $57,960,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 647,000 | $55,668,000 | thousands by filing date | call |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 594,000 | $55,237,000 | thousands by filing date | put |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 8,342,222 | $55,225,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 1,566,500 | $55,109,000 | thousands by filing date | call |
| Procter & Gamble Co | 742718109 | COM | 700,300 | $52,936,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 1,194,600 | $49,360,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 90,943 | $43,358,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 644,700 | $42,548,000 | thousands by filing date | put |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 26,900,000 | $42,333,000 | thousands by filing date | principal |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 8,721,711 | $42,125,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 250,453 | $42,079,000 | thousands by filing date | |
| DOLE PLC ORD SHS | 256603101 | COM | 3,005,702 | $40,938,000 | thousands by filing date | |
| PHH CORP | 693320AQ6 | CNV | 20,000,000 | $40,876,000 | thousands by filing date | principal |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 3,522,200 | $40,787,000 | thousands by filing date | call |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 13,381,752 | $40,680,000 | thousands by filing date | |
| 38259p508 | COM | 44,200 | $38,713,000 | thousands by filing date | call | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 2,620,734 | $38,237,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,117,000 | $37,174,000 | thousands by filing date | call |
| ALLSTATE CORP COM | 020002101 | Stock | 735,077 | $37,158,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,000,000 | $37,080,000 | thousands by filing date | call |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 1,608,045 | $36,471,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 2,645,903 | $36,249,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 334,700 | $36,087,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 192,900 | $35,720,000 | thousands by filing date | call |
| TYSON FOODS INC | 902494AP8 | NOTE | 20,000,000 | $34,306,000 | thousands by filing date | principal |
| EVERTEC INC | 30040P103 | COM | 1,532,674 | $34,040,000 | thousands by filing date | |
| CMS ENERGY CORP | 125896BD1 | CNV | 16,685,000 | $32,347,000 | thousands by filing date | principal |
| Cisco Systems,Inc. | 17275R102 | COM | 1,353,700 | $31,718,000 | thousands by filing date | call |
| Schlumberger Limited | 806857108 | COM | 356,720 | $31,519,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 2,275,662 | $31,403,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 554,382 | $30,932,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 31,555,000 | $30,845,000 | thousands by filing date | principal |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 394,835 | $30,789,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 1,066,900 | $30,646,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 625,551 | $30,420,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 638,500 | $30,398,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 649,000 | $30,294,000 | thousands by filing date | call |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 802,854 | $29,690,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 238,000 | $28,918,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 329,000 | $28,306,000 | thousands by filing date | put |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 303,751 | $28,245,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 807,100 | $27,724,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 319,700 | $27,715,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 1,990,300 | $27,465,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 783,000 | $26,481,000 | thousands by filing date | call |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 312,500 | $25,643,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 49,764,000 | $25,629,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 524,034 | $25,422,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,050,592 | $25,182,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 357,600 | $24,858,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 1,034,300 | $24,710,000 | thousands by filing date | put |
| Citigroup Inc. | 172967424 | COM | 495,300 | $24,026,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 23,500,000 | $23,882,000 | thousands by filing date | principal |
| 38259p508 | COM | 26,900 | $23,560,000 | thousands by filing date | put | |
| Wells Fargo & Company | 949746101 | COM | 568,500 | $23,489,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 286,200 | $22,754,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 118,700 | $21,981,000 | thousands by filing date | put |
| SEI INVTS CO COM | 784117103 | Stock | 709,613 | $21,935,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 312,500 | $21,487,000 | thousands by filing date | put |
| Berkshire Hathaway Inc | 084670702 | COM | 188,600 | $21,409,000 | thousands by filing date | call |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 17,726,000 | $21,118,000 | thousands by filing date | principal |
| Philip Morris International Inc. | 718172109 | COM | 242,700 | $21,015,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 912,500 | $20,915,000 | thousands by filing date | call |
| PRICELINE GRP INC | 741503403 | COM NEW | 19,963 | $20,181,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 13,200,000 | $19,915,000 | thousands by filing date | principal |
| SUNTRUST BANKS INC | 867914103 | COM | 613,891 | $19,901,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 1,063,482 | $19,844,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 222,700 | $19,677,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 379,200 | $19,601,000 | thousands by filing date | put |
| CME Group Inc. Class A | 12572Q105 | COM | 265,080 | $19,584,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 256,900 | $19,401,000 | thousands by filing date | call |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 1,002,700 | $19,011,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 569,800 | $18,963,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 377,301 | $18,952,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAC6 | NOTE 6.250% | 17,207,000 | $18,472,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 243,500 | $18,470,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 200,000 | $18,316,000 | thousands by filing date | call |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 962,900 | $18,257,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 200,001 | $17,208,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP II | 14056V105 | COM | 1,780,495 | $17,093,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 443,800 | $16,811,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 459,400 | $16,805,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 257,300 | $16,594,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 1,191,600 | $16,443,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 51,900 | $16,226,000 | thousands by filing date | call |
| DISCOVER FINL SVCS | 254709108 | COM | 320,867 | $16,217,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 240,300 | $16,177,000 | thousands by filing date | call |
| Amgen Inc. | 031162100 | COM | 144,400 | $16,161,000 | thousands by filing date | call |
| COBALT INTL ENERGY INC | 19075F106 | COM | 648,960 | $16,134,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,647,992 | $16,085,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 188,602 | $16,057,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 163,500 | $15,730,000 | thousands by filing date | call |
| Comcast Corp | 20030N101 | COM | 346,700 | $15,642,000 | thousands by filing date | call |
| ZOETIS INC CL A | 98978V103 | Stock | 500,000 | $15,560,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 333,300 | $15,559,000 | thousands by filing date | put |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 2,020,258 | $15,493,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 847,247 | $15,250,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 544,143 | $15,204,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 200,100 | $15,125,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 201,700 | $14,918,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 302,600 | $14,679,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 441,000 | $14,628,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 250,300 | $14,204,000 | thousands by filing date | call |
| RACKSPACE HOSTING INC | 750086100 | COM | 267,967 | $14,138,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 176,600 | $14,041,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 113,600 | $13,803,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 116,400 | $13,677,000 | thousands by filing date | call |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 14,303,000 | $13,569,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 398,300 | $13,469,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 210,200 | $13,216,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 148,696 | $12,890,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 561,800 | $12,876,000 | thousands by filing date | put |
| IRON MTN INC NEW REIT | 462846106 | COM | 470,000 | $12,699,000 | thousands by filing date | call |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 7,500,000 | $12,698,000 | thousands by filing date | principal |
| Union Pacific Corporation | 907818108 | COM | 80,300 | $12,473,000 | thousands by filing date | call |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 78,800 | $12,470,000 | thousands by filing date | call |
| CHART INDS INC | 16115Q308 | COM | 99,124 | $12,196,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 138,800 | $12,018,000 | thousands by filing date | put |
| 38259p508 | COM | 13,566 | $11,883,000 | thousands by filing date | ||
| Schlumberger Limited | 806857108 | COM | 129,700 | $11,460,000 | thousands by filing date | put |
| DRESSER-RAND GROUP INC | 261608103 | COM | 181,824 | $11,345,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 200,000 | $11,287,000 | thousands by filing date | put |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 200,000 | $11,287,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 387,300 | $11,125,000 | thousands by filing date | put |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 483,300 | $11,106,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 45,000 | $11,072,000 | thousands by filing date | put |
| BOISE INC | 09746Y105 | COMMON STOCK | 876,490 | $11,044,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 458,000 | $10,882,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 151,800 | $10,869,000 | thousands by filing date | call |
| Frank's International | 001055668 | Common | 362,555 | $10,851,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 90,500 | $10,806,000 | thousands by filing date | call |
| IAC INTERACTIVECORP | 44919P508 | COM | 196,185 | $10,726,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 423,833 | $10,613,000 | thousands by filing date | |
| OMNICARE INC | 681904AP3 | NOTE 3.750% 4/0 | 7,500,000 | $10,576,000 | thousands by filing date | principal |
| Merck & Co.,Inc. | 58933Y105 | COM | 221,700 | $10,555,000 | thousands by filing date | put |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 207,006 | $10,535,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 54,900 | $10,491,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 152,100 | $10,460,000 | thousands by filing date | put |
| M.D.C. HOLDINGS INC | 552676108 | COM | 344,287 | $10,333,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 10,000,000 | $10,329,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 700,000 | $10,289,000 | thousands by filing date | call |
| XPO INC COM | 983793100 | Stock | 473,979 | $10,271,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 134,606 | $10,175,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 82,334 | $10,004,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 68,198 | $9,917,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 105,100 | $9,830,000 | thousands by filing date | call |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 9,000,000 | $9,821,000 | thousands by filing date | principal |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 233,529 | $9,806,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 1,733,655 | $9,743,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 131,623 | $9,634,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 100,100 | $9,629,000 | thousands by filing date | put |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 162,500 | $9,588,000 | thousands by filing date | put |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 361,003 | $9,584,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 300,000 | $9,510,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 80,811 | $9,273,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 271,277 | $9,175,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 80,600 | $9,150,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 204,300 | $9,138,000 | thousands by filing date | call |
| ARES CAPITAL CORP | 04010L103 | COM | 528,468 | $9,138,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 388,300 | $9,098,000 | thousands by filing date | put |
| SLR INVESTMENT CORP | 83413U100 | COM | 407,536 | $9,039,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 868,558 | $8,928,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 182,900 | $8,893,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 46,582 | $8,626,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 190,000 | $8,573,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 130,100 | $8,391,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 124,200 | $8,361,000 | thousands by filing date | put |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 256,766 | $8,327,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 109,800 | $8,292,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 179,100 | $8,289,000 | thousands by filing date | call |
| AFFORDABLE RESIDENTIAL CMNTY | 00828UAB9 | BOND | 5,975,000 | $8,227,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 107,200 | $8,132,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 26,000 | $8,129,000 | thousands by filing date | put |
| NETAPP INC COM | 64110D104 | Stock | 189,625 | $8,081,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 990,366 | $8,072,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 5,000,000 | $7,944,000 | thousands by filing date | principal |
| VODAFONE GP PLC | 92857W209 | ADR | 222,600 | $7,830,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 1,058,400 | $7,758,000 | thousands by filing date | put |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 500,000 | $7,711,000 | thousands by filing date | call |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 48,600 | $7,690,000 | thousands by filing date | put |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 498,658 | $7,664,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 500,000 | $7,660,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 183,813 | $7,595,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 140,231 | $7,522,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 290,390 | $7,516,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 300,000 | $7,458,000 | thousands by filing date | put |
| COBALT INTL ENERGY INC | 19075F106 | COM | 300,000 | $7,458,000 | thousands by filing date | call |
| Union Pacific Corporation | 907818108 | COM | 47,300 | $7,347,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 91,759 | $7,295,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 194,012 | $7,241,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 138,484 | $7,158,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 96,100 | $7,107,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 213,400 | $7,077,000 | thousands by filing date | put |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 6,500,000 | $6,882,000 | thousands by filing date | principal |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 341,364 | $6,879,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 106,200 | $6,678,000 | thousands by filing date | put |
| ENDURANCE SPECIALTY HLDGS LT | G30397106 | SHS | 123,185 | $6,618,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 109,067 | $6,528,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449AJ7 | BOND | 6,000,000 | $6,520,000 | thousands by filing date | principal |
| HILLTOP HLDGS INC | 432748101 | COM | 349,090 | $6,457,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 88,800 | $6,358,000 | thousands by filing date | put |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 6,000,000 | $6,266,000 | thousands by filing date | principal |
| INLAND REAL ESTATE CORP 5% CB 11/15/2029-REGISTERED | 457461AC5 | Bond | 5,844,000 | $6,239,000 | thousands by filing date | principal |
| AUTODESK INC COM | 052769106 | Stock | 150,954 | $6,215,000 | thousands by filing date | |
| SPARTAN STORES INC | 846822104 | COM | 278,275 | $6,138,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 53,300 | $5,966,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 161,800 | $5,919,000 | thousands by filing date | put |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 165,509 | $5,887,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 396,789 | $5,748,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 69,824 | $5,734,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 420,000 | $5,520,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 46,900 | $5,511,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 46,000 | $5,493,000 | thousands by filing date | put |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 403,803 | $5,455,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 307,720 | $5,397,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 130,663 | $5,382,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 103,724 | $5,374,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 142,000 | $5,342,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 114,329 | $5,336,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 49,000 | $5,282,000 | thousands by filing date | put |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 80,000 | $5,104,000 | thousands by filing date | put |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 60,000 | $5,086,000 | thousands by filing date | put |
| NOBLE ENERGY INC | 655044105 | COM | 75,903 | $5,086,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 431,592 | $5,075,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 550,481 | $5,059,000 | thousands by filing date | |
| INFORMATICA CORP | 45666Q102 | COM | 129,193 | $5,035,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 71,600 | $4,978,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 400,000 | $4,856,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 51,499 | $4,746,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 300,000 | $4,599,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 376,833 | $4,567,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 47,500 | $4,443,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 91,200 | $4,434,000 | thousands by filing date | put |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 300,000 | $4,409,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 66,594 | $4,309,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 2,150,000 | $4,250,000 | thousands by filing date | principal |
| Visa Inc | 92826C839 | COM | 22,100 | $4,223,000 | thousands by filing date | put |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 240,245 | $4,214,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 300,000 | $4,194,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 97,886 | $4,185,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 210,558 | $4,182,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 73,300 | $4,160,000 | thousands by filing date | put |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 4,000,000 | $4,158,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 92,500 | $4,137,000 | thousands by filing date | put |
| BIOAMBER INC | 09072Q106 | COM | 840,151 | $4,117,000 | thousands by filing date | |
| BGS ACQUISITION CORP | G1082J100 | SH | 411,500 | $4,106,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 220,597 | $4,093,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 2,500,000 | $4,077,000 | thousands by filing date | principal |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 184,094 | $4,052,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 380,002 | $4,028,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 38,568 | $4,002,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 1,000,000 | $3,991,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 664,062 | $3,965,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 77,249 | $3,959,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 250,000 | $3,930,000 | thousands by filing date | call |
| SPIRIT AIRLS INC | 848577102 | COM | 114,532 | $3,925,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 83,931 | $3,912,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 20,000 | $3,867,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 30,000 | $3,846,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 30,000 | $3,846,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 41,199 | $3,845,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490209 | SHS SER A | 380,000 | $3,838,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 213,428 | $3,812,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 175,640 | $3,780,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 3,000,000 | $3,726,000 | thousands by filing date | principal |
| Walmart Inc. | 931142103 | COM | 49,492 | $3,660,000 | thousands by filing date | |
| COLLABRIUM JAPAN ACQUISITN C | G2266G102 | SHS | 350,011 | $3,518,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 105,300 | $3,499,000 | thousands by filing date | |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 91,561 | $3,474,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 170,803 | $3,415,000 | thousands by filing date | |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 130,001 | $3,384,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 139,000 | $3,337,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 72,000 | $3,332,000 | thousands by filing date | put |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 551,998 | $3,301,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 61,799 | $3,291,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 138,450 | $3,165,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 101,524 | $3,159,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 3,000,000 | $3,148,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 89,400 | $3,071,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 73,993 | $3,070,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 228,378 | $3,067,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 47,509 | $3,042,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 31,548 | $3,035,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 60,000 | $3,033,000 | thousands by filing date | call |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 189,890 | $3,021,000 | thousands by filing date | |
| CATAMARAN CORP | 148887102 | COM | 65,011 | $2,987,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 141,585 | $2,868,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 217,598 | $2,841,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 136,273 | $2,836,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 88,500 | $2,698,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 239,200 | $2,674,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 79,300 | $2,658,000 | thousands by filing date | call |
| KEY ENERGY SVCS INC | 492914106 | COM | 351,990 | $2,566,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 29,545 | $2,558,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 435,000 | $2,514,000 | thousands by filing date | |
| AQUASITION CORP | Y0192H103 | COM | 249,900 | $2,507,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 330,283 | $2,461,000 | thousands by filing date | |
| INFINITY CROSS BORDER ACQUIS | G4772R101 | SHS | 315,000 | $2,460,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 102,226 | $2,421,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 627,725 | $2,304,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 19,974 | $2,267,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 462,799 | $2,263,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 592,600 | $2,222,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 150,000 | $2,220,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 768,355 | $2,190,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 483,083 | $2,145,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 250,000 | $2,127,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 45,000 | $2,098,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 123,104 | $2,092,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 25,000 | $2,085,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 135,000 | $2,068,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 110,991 | $2,057,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 33,236 | $2,054,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 24,410 | $2,040,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 115,618 | $2,019,000 | thousands by filing date | |
| RESPONSYS INC | 761248103 | COM | 121,114 | $2,001,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 62,244 | $1,984,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 50,000 | $1,943,000 | thousands by filing date | call |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 1,000,000 | $1,930,000 | thousands by filing date | put |
| BROADSOFT INC | 11133B409 | COM | 53,445 | $1,929,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 36,000 | $1,859,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 53,960 | $1,791,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 26,000 | $1,788,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 200,000 | $1,761,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 47,118 | $1,757,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 94,300 | $1,713,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 149,000 | $1,699,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 55,851 | $1,658,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 50,300 | $1,601,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 173,306 | $1,581,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 10,000 | $1,552,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324T107 | COM | 141,000 | $1,550,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 169,203 | $1,547,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 15,388 | $1,545,000 | thousands by filing date | |
| CHART ACQUISITION CORP | 161151105 | COM | 148,400 | $1,477,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 114,098 | $1,444,000 | thousands by filing date | |
| ISOFTSTONE HLDGS LTD | 46489B108 | SPONSORED ADS | 289,984 | $1,427,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 59,100 | $1,358,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 53,488 | $1,323,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 232,026 | $1,321,000 | thousands by filing date | |
| ENZYMOTEC LTD | 001129618 | COM | 79,000 | $1,307,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 69,600 | $1,300,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 175,429 | $1,289,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 100,000 | $1,283,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 111,672 | $1,271,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 16,712 | $1,268,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 19,000 | $1,262,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 50,211 | $1,256,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 50,000 | $1,251,000 | thousands by filing date | put |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 50,000 | $1,251,000 | thousands by filing date | call |
| Constellium NV | 001048952 | common | 64,328 | $1,248,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 61,139 | $1,229,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 133,627 | $1,180,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP | G0440W100 | COM | 116,944 | $1,178,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 69,500 | $1,117,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 42,447 | $1,087,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 1,000,000 | $1,073,000 | thousands by filing date | principal |
| EDGEN GROUP INC | 28014Q107 | CL A | 140,636 | $1,069,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 1,000,000 | $1,038,000 | thousands by filing date | principal |
| BIOTELEMETRY INC | 090672106 | COM | 102,896 | $1,020,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 5,000 | $1,009,000 | thousands by filing date | call |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 9,000 | $990,000 | thousands by filing date | put |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 27,700 | $984,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 167,433 | $973,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 28,800 | $965,000 | thousands by filing date | put |
| EMERALD OIL INC | 29101U209 | COM NEW | 132,648 | $954,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 35,800 | $942,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 54,800 | $924,000 | thousands by filing date | put |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 39,500 | $924,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 42,380 | $923,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 49,075 | $921,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 92,464 | $901,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 15,814 | $897,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 105,164 | $896,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 33,500 | $891,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 30,709 | $882,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 69,337 | $870,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 37,847 | $867,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 327,057 | $853,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 424,527 | $849,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 5,332 | $844,000 | thousands by filing date | |
| HELIOS HIGH | 42327X204 | COM NEW | 99,974 | $829,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 48,000 | $810,000 | thousands by filing date | call |
| BLACKBERRY LTD COM | 09228F103 | Stock | 100,000 | $794,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 13,800 | $771,000 | thousands by filing date | call |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 30,900 | $770,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 3,000,000 | $750,000 | thousands by filing date | principal |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 42,188 | $731,000 | thousands by filing date | |
| MEDIVATION INC | 58501N101 | COM | 11,700 | $701,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 33,139 | $619,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 7,500 | $591,000 | thousands by filing date | call |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 57,392 | $590,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 899,321 | $540,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 78,400 | $536,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 46,192 | $526,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 500,000 | $518,000 | thousands by filing date | principal |
| SPANSION INC | 84649R200 | COM CL A NEW | 50,500 | $510,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 26,099 | $497,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 52,753 | $481,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 20,000 | $436,000 | thousands by filing date | call |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 42,209 | $432,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 537,800 | $430,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 57,342 | $414,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 60,000 | $369,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 24,000 | $348,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 29,379 | $343,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 25,700 | $326,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 76,800 | $324,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 54,545 | $285,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 774,600 | $272,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 8,500 | $270,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 5,023 | $261,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 22,300 | $258,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 4,600 | $257,000 | thousands by filing date | put |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 11,302 | $244,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 15,884 | $226,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 8,200 | $225,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 16,900 | $212,000 | thousands by filing date | |
| INFINITY CROSS BORDER ACQUIS | G4772R119 | *W EXP 07/25/201 | 315,000 | $204,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123EAB0 | NOTE 4.750% 6/0 | 150,000 | $190,000 | thousands by filing date | principal |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 10,000 | $188,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 20,800 | $180,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP | G0440W126 | *W EXP 03/16/201 | 295,100 | $177,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 14,350 | $174,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 13,800 | $173,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 13,345 | $166,000 | thousands by filing date | |
| PRIME ACQUISITION CORP | G72436127 | WRT | 181,000 | $145,000 | thousands by filing date | |
| BGS ACQUISITION CORP | G1082J118 | *W EXP 03/21/201 | 686,980 | $144,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,000 | $140,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 35,500 | $119,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 55,431 | $115,000 | thousands by filing date | |
| COLLABRIUM JAPAN ACQUISITN C | G2266G110 | *W EXP 99/99/999 | 350,000 | $98,000 | thousands by filing date | |
| CHART ACQUISITION CORP | 161151113 | *W EXP 12/19/201 | 148,300 | $85,000 | thousands by filing date | |
| AQUASITION CORP | Y0192H111 | *W EXP 99/99/999 | 300,000 | $76,000 | thousands by filing date | |
| ECOTALITY INC | 27922202 | COM | 1,000,000 | $75,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Prospect Global Resources Inc. | 74348X202 | COM | 20,065 | $61,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 13,000 | $60,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315119 | WARRANT | 5,036,672 | $15,000 | thousands by filing date | |
| CRUMBS BAKE SHOP INC | 228803110 | *W EXP 05/05/201 | 95,609 | $11,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 19,466 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001288136-13-000082 | this filing | 2013-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-14-000019 | added | 2014-01-29 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-14-000064 | added | 2014-05-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-14-000087 | added | 2014-08-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-14-000102 | added | 2014-11-14 | acceptance time not in the bulk data set |