13F-HR/A filed by SUSQUEHANNA INTERNATIONAL GROUP, LLP
SUSQUEHANNA INTERNATIONAL GROUP, LLP filed this 13F-HR/A for the quarter ended 2019-06-30, filed 2019-08-16, with 9,957 holding rows worth $272,128,083,000.
- Accession
- 0001446194-19-000006
- Filer
- CIK 1446194
- Filed
- 2019-08-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, amendment of type new holdings, 11,744 entries on the cover page, a total value of $272,128,083,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $272,128,083,000 with VALUE read as thousands by filing date, 13F file number 028-13216. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerSUSQUEHANNA INVESTMENT GROUP028-13224
- included managerSUSQUEHANNA SECURITIES028-13221
- included managerCAPITAL VENTURES INTERNATIONAL028-13219
- included managerSUSQUEHANNA ADVISORS GROUP, INC.028-13217
- included managerCVI Opportunities Fund I, LLLP028-16682
- included managerG1 EXECUTION SERVICES, LLC028-16683
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 |
|---|---|---|---|---|---|---|
| Xunlei Ltd-Adr | 98419E108 | COM | 33,043 | $87,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 35,700 | $86,000 | thousands by filing date | put |
| Fluent Co | 34380C102 | COM | 15,912 | $86,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 31,800 | $86,000 | thousands by filing date | call |
| REEDS INC COM | 758338107 | Stock | 22,800 | $86,000 | thousands by filing date | put |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 14,586 | $86,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 17,200 | $85,000 | thousands by filing date | call |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 23,100 | $85,000 | thousands by filing date | put |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 67,100 | $85,000 | thousands by filing date | call |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 139,700 | $85,000 | thousands by filing date | call |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 40,598 | $84,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 61,500 | $84,000 | thousands by filing date | put |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 51,627 | $84,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 10,332 | $84,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 39,400 | $84,000 | thousands by filing date | call |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 36,600 | $84,000 | thousands by filing date | put |
| FGL HLDGS | G3402M102 | ORD SHS | 10,000 | $84,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 27,346 | $83,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,071 | $83,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 16,500 | $83,000 | thousands by filing date | call |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 12,070 | $83,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 39,800 | $82,000 | thousands by filing date | put |
| BALLANTYNE STRONG INC | 058516105 | COM | 25,500 | $82,000 | thousands by filing date | call |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 15,500 | $82,000 | thousands by filing date | put |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 21,652 | $82,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 30,100 | $81,000 | thousands by filing date | call |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 20,300 | $81,000 | thousands by filing date | put |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 16,324 | $81,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 16,538 | $81,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 27,500 | $81,000 | thousands by filing date | put |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 22,400 | $81,000 | thousands by filing date | call |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 25,220 | $81,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 16,100 | $80,000 | thousands by filing date | call |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 32,200 | $80,000 | thousands by filing date | put |
| SMTC CORP | 832682207 | COM NEW | 20,700 | $80,000 | thousands by filing date | put |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 21,908 | $80,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 14,400 | $79,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | 500688106 | COM | 12,600 | $79,000 | thousands by filing date | put |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 13,000 | $79,000 | thousands by filing date | call |
| CASA SYS INC | 14713L102 | COM | 12,087 | $78,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 12,543 | $77,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 14,200 | $77,000 | thousands by filing date | put |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 15,099 | $77,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 10,600 | $77,000 | thousands by filing date | call |
| POWER REIT | 73933H101 | COM | 13,260 | $77,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 10,848 | $77,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 24,858 | $77,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 90,147 | $77,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 55,500 | $76,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 196,500 | $76,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 19,600 | $75,000 | thousands by filing date | call |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 11,200 | $75,000 | thousands by filing date | call |
| HIVE | 007786106 | Stock | 17,036 | $75,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 40,549 | $75,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 18,100 | $75,000 | thousands by filing date | put |
| HEXINDAI INC | 428295109 | ADR | 31,659 | $75,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 13,200 | $74,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 23,743 | $74,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 27,200 | $74,000 | thousands by filing date | put |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 10,000 | $74,000 | thousands by filing date | put |
| RADA ELECTR INDS LTD | M81863124 | CMN | 21,933 | $74,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 19,919 | $74,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J118 | *W EXP 03/06/202 | 321,161 | $74,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 11,674 | $73,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 29,200 | $73,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 41,800 | $73,000 | thousands by filing date | call |
| REVEN HSG REIT INC | 761378207 | COM NEW | 18,852 | $73,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 24,700 | $72,000 | thousands by filing date | call |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 19,500 | $72,000 | thousands by filing date | call |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 24,028 | $72,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 23,900 | $72,000 | thousands by filing date | call |
| COMSCORE INC | 20564W105 | COM | 14,000 | $72,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 25,100 | $72,000 | thousands by filing date | call |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 11,100 | $72,000 | thousands by filing date | call |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 28,524 | $72,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 46,908 | $72,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 12,707 | $71,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,082 | $70,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 29,443 | $70,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 14,900 | $69,000 | thousands by filing date | put |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 25,800 | $69,000 | thousands by filing date | put |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 50,000 | $69,000 | thousands by filing date | call |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 11,300 | $69,000 | thousands by filing date | call |
| ACCENDRA HEALTH INC | 690732102 | COM | 21,100 | $68,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 17,000 | $68,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 84,398 | $68,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 13,700 | $68,000 | thousands by filing date | put |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 30,800 | $68,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 10,200 | $67,000 | thousands by filing date | put |
| LIQUIDITY SVCS INC | 53635B107 | COM | 11,063 | $67,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 20,500 | $67,000 | thousands by filing date | call |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 39,823 | $67,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 19,649 | $67,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 11,067 | $67,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 64,882 | $67,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 14,100 | $67,000 | thousands by filing date | put |
| KEMPHARM INC COM NEW | 488445107 | Stock | 38,291 | $67,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,331 | $66,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 11,700 | $66,000 | thousands by filing date | call |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 28,598 | $66,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 25,300 | $66,000 | thousands by filing date | call |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 19,327 | $65,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 43,052 | $65,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 25,000 | $65,000 | thousands by filing date | put |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 21,600 | $64,000 | thousands by filing date | put |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 11,000 | $64,000 | thousands by filing date | call |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 15,200 | $64,000 | thousands by filing date | put |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 41,700 | $64,000 | thousands by filing date | call |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 69,200 | $64,000 | thousands by filing date | call |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 28,132 | $64,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 150,598 | $63,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 49,131 | $63,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 11,200 | $62,000 | thousands by filing date | put |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 43,100 | $62,000 | thousands by filing date | put |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 23,705 | $62,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 16,000 | $61,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 10,000 | $61,000 | thousands by filing date | call |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 11,300 | $61,000 | thousands by filing date | call |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 17,900 | $61,000 | thousands by filing date | put |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 37,129 | $61,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 21,400 | $61,000 | thousands by filing date | put |
| ADMA BIOLOGICS INC | 000899104 | COM | 15,600 | $60,000 | thousands by filing date | call |
| SRC ENERGY INC | 78470V108 | COM | 12,100 | $60,000 | thousands by filing date | put |
| MARCHEX INC | 56624R108 | CMN | 12,800 | $60,000 | thousands by filing date | call |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 24,900 | $60,000 | thousands by filing date | call |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 48,100 | $60,000 | thousands by filing date | put |
| ASANKO GOLD INC | 04341Y105 | COM | 95,989 | $60,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 18,700 | $60,000 | thousands by filing date | call |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 16,912 | $60,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 19,929 | $59,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 11,028 | $59,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 39,400 | $59,000 | thousands by filing date | put |
| B2GOLD CORP COM | 11777Q209 | Stock | 19,300 | $58,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 15,953 | $58,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 16,043 | $58,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 11,700 | $58,000 | thousands by filing date | put |
| VBI VACCINES INC | 91822J103 | COM NEW | 49,695 | $58,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 12,400 | $58,000 | thousands by filing date | call |
| VERASTEM INC | 92337C104 | COM | 38,600 | $58,000 | thousands by filing date | put |
| DAVIDSTEA INC | 238661102 | COM | 44,500 | $58,000 | thousands by filing date | call |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 25,500 | $58,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 28,100 | $57,000 | thousands by filing date | call |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 46,651 | $57,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 22,600 | $57,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 107,437 | $57,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 12,600 | $57,000 | thousands by filing date | put |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 20,831 | $56,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 28,300 | $56,000 | thousands by filing date | call |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 20,413 | $55,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 76,301 | $55,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 18,800 | $55,000 | thousands by filing date | call |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 74,081 | $55,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 23,600 | $54,000 | thousands by filing date | call |
| 180 DEGREE CAP CORP | 68235B109 | COM | 27,700 | $54,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 11,575 | $53,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 11,000 | $53,000 | thousands by filing date | put |
| SMART SAND INC | 83191H107 | COM | 21,900 | $53,000 | thousands by filing date | call |
| EMERSON RADIO CORP | 291087203 | COM NEW | 51,230 | $53,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 11,154 | $53,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 16,400 | $53,000 | thousands by filing date | call |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 222,297 | $53,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 14,152 | $52,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 33,250 | $51,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 30,700 | $51,000 | thousands by filing date | put |
| TIDEWATER INC NEW | 88642R117 | WARR | 16,576 | $51,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 52,296 | $51,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 18,567 | $50,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 18,600 | $50,000 | thousands by filing date | put |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 22,371 | $50,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 97,897 | $50,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 47,500 | $49,000 | thousands by filing date | call |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 22,123 | $49,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 31,100 | $49,000 | thousands by filing date | put |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 12,451 | $49,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 14,077 | $49,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 20,000 | $48,000 | thousands by filing date | put |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 11,476 | $48,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 19,443 | $48,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,257 | $47,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 30,900 | $47,000 | thousands by filing date | call |
| CURIS INC | 231269200 | COM | 25,490 | $47,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 13,500 | $47,000 | thousands by filing date | put |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 75,435 | $47,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 17,688 | $46,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 11,598 | $45,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 11,100 | $45,000 | thousands by filing date | put |
| BARNWELL INDS INC | 068221100 | COM | 39,661 | $45,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 94,500 | $45,000 | thousands by filing date | put |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 28,088 | $45,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 52,700 | $45,000 | thousands by filing date | put |
| OCWEN FINL CORP | 675746309 | COM NEW | 21,900 | $45,000 | thousands by filing date | call |
| BSQUARE CORP | 11776U300 | COM | 39,202 | $45,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 117,758 | $45,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 19,200 | $45,000 | thousands by filing date | put |
| NEW HOME CO INC COM | 645370107 | COM | 11,750 | $45,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 28,795 | $44,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 15,000 | $44,000 | thousands by filing date | put |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 19,822 | $44,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 10,685 | $44,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 18,041 | $44,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 28,336 | $43,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,500 | $43,000 | thousands by filing date | call |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 34,745 | $43,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 22,257 | $43,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 56,024 | $42,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 22,600 | $42,000 | thousands by filing date | call |
| RESEARCH FRONTIERS INC | 760911107 | COM | 12,200 | $41,000 | thousands by filing date | put |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 15,600 | $41,000 | thousands by filing date | put |
| QUICKLOGIC CORP | 74837P108 | COM | 71,933 | $41,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 17,600 | $40,000 | thousands by filing date | put |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 10,790 | $40,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 14,909 | $40,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 65,800 | $40,000 | thousands by filing date | put |
| INTERMOLECULAR INC | 45882D109 | COM | 34,251 | $40,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 10,000 | $40,000 | thousands by filing date | call |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 61,746 | $40,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 23,537 | $40,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 11,739 | $39,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 11,802 | $39,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 10,674 | $39,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 18,200 | $38,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 12,200 | $38,000 | thousands by filing date | put |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 80,100 | $38,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 12,700 | $38,000 | thousands by filing date | call |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 27,474 | $38,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 17,400 | $38,000 | thousands by filing date | put |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 17,100 | $38,000 | thousands by filing date | put |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 16,800 | $38,000 | thousands by filing date | call |
| ALTIMMUNE INC | 02155H200 | COM NEW | 15,700 | $37,000 | thousands by filing date | put |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 19,420 | $37,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 11,800 | $36,000 | thousands by filing date | put |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 20,200 | $36,000 | thousands by filing date | call |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 42,770 | $36,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 27,500 | $36,000 | thousands by filing date | call |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 16,441 | $36,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 22,500 | $35,000 | thousands by filing date | put |
| ACCENDRA HEALTH INC | 690732102 | COM | 10,900 | $35,000 | thousands by filing date | call |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 22,732 | $35,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 10,800 | $35,000 | thousands by filing date | put |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 39,063 | $34,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 16,813 | $34,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 12,602 | $34,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 21,200 | $34,000 | thousands by filing date | call |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 20,000 | $34,000 | thousands by filing date | put |
| RESONANT INC | 76118L102 | COM | 14,300 | $34,000 | thousands by filing date | call |
| UNIQUE FABRICATING INC | 90915J103 | COM | 12,675 | $34,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 13,700 | $33,000 | thousands by filing date | put |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 19,007 | $33,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 72,833 | $33,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 13,300 | $33,000 | thousands by filing date | call |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 45,400 | $33,000 | thousands by filing date | call |
| FERROGLOBE PLC | G33856108 | SHS | 18,850 | $32,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 27,366 | $32,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 10,275 | $32,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 23,047 | $32,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 10,655 | $32,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 14,680 | $32,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 18,700 | $32,000 | thousands by filing date | put |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 20,100 | $32,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 14,300 | $31,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 93,900 | $31,000 | thousands by filing date | call |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 28,746 | $31,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 50,130 | $31,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 12,800 | $30,000 | thousands by filing date | call |
| DESWELL INDS INC | 250639101 | COM | 10,728 | $30,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 13,200 | $30,000 | thousands by filing date | call |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 22,700 | $30,000 | thousands by filing date | call |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 21,497 | $30,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 11,200 | $30,000 | thousands by filing date | put |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 166,688 | $30,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 20,071 | $30,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 19,100 | $29,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,700 | $29,000 | thousands by filing date | call |
| BROADWIND INC | 11161T207 | CMN | 13,251 | $29,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 12,800 | $29,000 | thousands by filing date | call |
| PROPHASE LABS INC | 74345W108 | COM | 13,717 | $29,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 58,391 | $29,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 15,500 | $29,000 | thousands by filing date | put |
| TREVENA INC | 89532E109 | COM | 28,500 | $29,000 | thousands by filing date | call |
| CELSION CORP | 15117N503 | COM PAR NEW | 16,100 | $29,000 | thousands by filing date | call |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 17,900 | $29,000 | thousands by filing date | put |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 18,287 | $29,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 22,516 | $28,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 36,203 | $28,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 21,000 | $28,000 | thousands by filing date | call |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 14,200 | $28,000 | thousands by filing date | put |
| CURIS INC | 231269200 | COM | 15,100 | $28,000 | thousands by filing date | put |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 30,073 | $28,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 12,545 | $28,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 14,300 | $28,000 | thousands by filing date | call |
| J JILL INC | 46620W102 | COM | 14,000 | $28,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 21,024 | $28,000 | thousands by filing date | |
| OPGEN INC | 68373L208 | COM NEW | 71,942 | $28,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 134,238 | $27,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 10,700 | $26,000 | thousands by filing date | call |
| RTW RETAILWINDS INC | 74980D100 | COM | 15,261 | $26,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 52,453 | $26,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 38,323 | $26,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 36,380 | $26,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 39,657 | $26,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 10,017 | $25,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 11,000 | $25,000 | thousands by filing date | put |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 17,500 | $25,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 10,110 | $25,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 13,808 | $25,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 17,500 | $24,000 | thousands by filing date | call |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 16,056 | $24,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 12,957 | $24,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 13,700 | $24,000 | thousands by filing date | call |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 11,100 | $23,000 | thousands by filing date | call |
| FERROGLOBE PLC | G33856108 | SHS | 13,500 | $23,000 | thousands by filing date | put |
| IGC PHARMA INC | 45408X308 | COM NEW | 14,200 | $23,000 | thousands by filing date | put |
| FUEL TECH INC | 359523107 | COM | 16,633 | $23,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 10,068 | $23,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 12,100 | $23,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 40,100 | $23,000 | thousands by filing date | put |
| AKERS BIOSCIENCES INC | 00973E300 | COM NEW | 50,068 | $23,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 11,211 | $23,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 22,926 | $22,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 10,330 | $22,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 34,733 | $22,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 31,880 | $22,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 12,800 | $21,000 | thousands by filing date | put |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 16,500 | $21,000 | thousands by filing date | call |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 11,345 | $21,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 20,246 | $21,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 119,167 | $21,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 21,198 | $21,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 17,800 | $20,000 | thousands by filing date | put |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 20,800 | $20,000 | thousands by filing date | call |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 12,030 | $20,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 11,700 | $20,000 | thousands by filing date | call |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 16,162 | $20,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 38,000 | $19,000 | thousands by filing date | put |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,500 | $19,000 | thousands by filing date | put |
| REALNETWORKS INC | 75605L708 | COM | 10,100 | $19,000 | thousands by filing date | put |
| KEMPHARM INC COM NEW | 488445107 | Stock | 10,700 | $19,000 | thousands by filing date | call |
| FUEL TECH INC | 359523107 | COM | 12,600 | $18,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 13,057 | $18,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 13,656 | $18,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 28,129 | $18,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 35,515 | $18,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 10,000 | $18,000 | thousands by filing date | put |
| CONTRAFECT CORP | 212326102 | COM | 35,447 | $18,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 14,505 | $18,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 15,800 | $17,000 | thousands by filing date | call |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 12,535 | $17,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 12,503 | $17,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 13,000 | $17,000 | thousands by filing date | put |
| Ocugen | 43358V109 | Common | 89,838 | $17,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 70,048 | $17,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 10,070 | $17,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 25,438 | $16,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 16,289 | $16,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 17,738 | $16,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 11,819 | $16,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 88,171 | $16,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 18,365 | $15,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 16,301 | $15,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 20,462 | $15,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,500 | $14,000 | thousands by filing date | put |
| AIR INDS GROUP COM | 00912N205 | Stock | 12,533 | $14,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 16,163 | $14,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 53,500 | $14,000 | thousands by filing date | call |
| RENREN INC | 759892201 | SPON ADR A NEW | 14,978 | $14,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 31,941 | $14,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 28,427 | $14,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 14,101 | $14,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260508 | COM NEW | 10,237 | $14,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 14,133 | $13,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 11,957 | $13,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 31,959 | $13,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 10,600 | $13,000 | thousands by filing date | call |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 24,700 | $13,000 | thousands by filing date | put |
| BIO-KEY INTL INC | 09060C309 | COM | 10,352 | $13,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 12,738 | $12,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 36,300 | $12,000 | thousands by filing date | put |
| GOLD STD VENTURES CORP | 380738104 | COM | 11,000 | $12,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 10,865 | $12,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 12,100 | $12,000 | thousands by filing date | call |
| CONSTELLATION ALPHA CAP CORP | G2379F132 | RIGHT 99/99/9999 | 70,357 | $12,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 10,472 | $11,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 15,117 | $11,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 12,092 | $11,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 13,000 | $11,000 | thousands by filing date | call |
| SOLIGENIX INC | 834223307 | COM | 15,401 | $11,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 10,855 | $11,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 17,772 | $11,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 40,845 | $11,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 11,217 | $11,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 12,687 | $11,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 57,031 | $11,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 99,267 | $11,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 13,744 | $10,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 20,300 | $10,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 13,500 | $10,000 | thousands by filing date | call |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 12,454 | $10,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K402 | COM PAR | 43,002 | $10,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 11,672 | $10,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 20,825 | $10,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 10,050 | $9,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 18,582 | $9,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 10,106 | $9,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 25,840 | $9,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 28,405 | $9,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 15,236 | $8,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 56,357 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 33,467 | $8,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,080 | $7,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 14,900 | $7,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 14,000 | $7,000 | thousands by filing date | put |
| LILIS ENERGY INC | 532403201 | COM NEW | 11,600 | $7,000 | thousands by filing date | call |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 13,100 | $7,000 | thousands by filing date | call |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 29,627 | $7,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N111 | *W EXP 06/29/202 | 32,808 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,768 | $6,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 10,099 | $6,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 10,300 | $6,000 | thousands by filing date | put |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 31,900 | $6,000 | thousands by filing date | put |
| PHUNWARE INC | 71948P118 | *W EXP 12/26/202 | 16,145 | $6,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 10,400 | $6,000 | thousands by filing date | put |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 472,612 | $6,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 24,253 | $6,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 16,235 | $5,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 18,132 | $5,000 | thousands by filing date | |
| Brooge Holdings ltd | G9145A115 | *W EXP 12/20/202 | 19,986 | $5,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 12,308 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,399 | $4,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 19,821 | $4,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J113 | *W EXP 09/28/202 | 13,071 | $4,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 11,400 | $3,000 | thousands by filing date | put |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 11,664 | $3,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 16,015 | $3,000 | thousands by filing date | |
| CEMTREX INC | 15130G113 | *W EXP 12/02/202 | 42,446 | $3,000 | thousands by filing date | |
| ATTIS INDS INC | 049836125 | *W EXP 02/10/202 | 14,188 | $3,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T115 | *W EXP 02/18/202 | 19,743 | $2,000 | thousands by filing date | |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 27,534 | $2,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 100,224 | $2,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W105 | *W EXP 12/21/202 | 50,223 | $2,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482129 | RIGHT 12/01/2022 | 15,941 | $2,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392109 | COM | 17,910 | $2,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 43,669 | $2,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 40,476 | $2,000 | thousands by filing date | |
| TOUGHBUILT INDS INC | 89157G116 | *W EXP 11/14/202 | 13,498 | $1,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 40,766 | $1,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 17,595 | $1,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 41,367 | $1,000 | thousands by filing date | |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 57,175 | $1,000 | thousands by filing date | |
| ALTA MESA RES INC 3 | 02133L117 | COM | 213,365 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255195 | *W EXP 05/29/202 | 27,849 | $1,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 140,370 | $1,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 72,218 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 22,932 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 21,265 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EYEGATE PHARMACEUTICALS INC | 30233M115 | *W EXP 08/05/202 | 35,282 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHECK CAP LTD | M2361E120 | *W EXP 02/28/202 | 13,890 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K139 | *W EXP 05/28/202 | 188,698 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001446194-19-000005 | superseded | 2019-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001446194-19-000006 | this filing | 2019-08-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001446194-19-000008 | base | 2019-11-14 | acceptance time not in the bulk data set |