Location: Stamford, CT
CIK: 0001393825 · Show all filings
Period: Q3 2013 (← Previous) (Next →)
Filing Date: Nov 13, 2013
Total Value: $2.708B (76.4% shares, 23.6% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | SPDR S&P 500 ETF TR | 1,990,000 | $335M | 12.4% | $168.10 | — | — | Put | 78462F953 |
| — | RADIAN GROUP INC | 95,833,000 | $136M | 5.0% | $1.42 | $1.26 | — | NOTE 3.000%11/1 | 750236AK7 |
| — | PHH CORP | 52,500,000 | $107M | 4.0% | $2.04 | $1.83 | — | NOTE 6.000% 6/1 | 693320AQ6 |
| — | BARCLAYS BK PLC | 5,500,000 | $80.85M | 3.0% | $14.70 | — | — | Put | 06740C958 |
| — | SMITHFIELD FOODS INC | 2,200,000 | $74.73M | 2.8% | $33.97 | — | — | Call | 832248908 |
| — | PRICELINE COM INC | 21,431,000 | $71.5M | 2.6% | $3.34 | $2.73 | — | NOTE 1.250% 3/1 | 741503AN6 |
| — | ONYX PHARMACEUTICALS INC | 523,700 | $65.31M | 2.4% | $124.70 | — | — | Call | 683399909 |
| — | BANK OF AMERICA CORPORATION | 4,495,800 | $62.04M | 2.3% | $13.80 | — | — | Put | 060505954 |
| — | MICRON TECHNOLOGY INC | 31,000,000 | $59.25M | 2.2% | $1.91 | $1.91 | — | NOTE 2.375% 5/0 | 595112AW3 |
| — | DISH NETWORK CORP | 1,302,658 | $58.63M | 2.2% | $45.01 | $42.52 | — | CL A | 25470M109 |
| — | MGIC INVT CORP WIS | 45,786,000 | $58.33M | 2.2% | $1.27 | $1.14 | — | NOTE 2.000% 4/0 | 552848AE3 |
| — | MICRON TECHNOLOGY INC | 29,500,000 | $55.87M | 2.1% | $1.89 | $1.89 | — | NOTE 3.125% 5/0 | 595112AX1 |
| VZ | VERIZON COMMUNICATIONS INC | 1,029,090 | $48.02M | 1.8% | $46.66 * | $26.60 | -1.8% | COM | 92343V104 |
| — | LINCOLN NATL CORP IND | 1,404,285 | $45.92M | 1.7% | $32.70 | $26.94 | — | *W EXP 07/10/201 | 534187117 |
| — | HERBALIFE LTD | 605,800 | $42.27M | 1.6% | $69.77 | — | — | Put | G4412G951 |
| — | DOLE FOOD CO INC NEW | 2,862,289 | $38.98M | 1.4% | $13.62 | $13.17 | — | COM | 256603101 |
| — | ISTAR FINL INC | 30,500,000 | $38.03M | 1.4% | $1.25 | $1.19 | — | NOTE 3.000%11/1 | 45031UBR1 |
| — | BANK OF AMERICA CORPORATION | 2,750,000 | $37.95M | 1.4% | $13.80 | — | — | Call | 060505904 |
| — | OFFICE DEPOT INC | 7,813,812 | $37.74M | 1.4% | $4.83 | $4.80 | — | COM | 676220106 |
| — | ANADARKO PETE CORP | 400,000 | $37.2M | 1.4% | $92.99 | — | — | Put | 032511957 |
| — | DISH NETWORK CORP | 824,000 | $37.09M | 1.4% | $45.01 | — | — | Call | 25470M909 |
| — | ACTAVIS INC | 251,247 | $36.18M | 1.3% | $144.00 | $126.22 | — | COM | 00507K103 |
| STZ | CONSTELLATION BRANDS INC | 622,083 | $35.71M | 1.3% | $57.40 * | $44.93 | +3.7% | CL A | 21036P108 |
| — | HERBALIFE LTD | 449,700 | $31.38M | 1.2% | $69.77 | — | — | Call | G4412G901 |
| BAC | BANK OF AMERICA CORPORATION | 2,189,056 | $30.21M | 1.1% | $13.80 * | $10.03 | +12.0% | COM | 060505104 |
| — | MGIC INVT CORP WIS | 27,782,000 | $30.09M | 1.1% | $1.08 | $1.04 | — | NOTE 5.000% 5/0 | 552848AD5 |
| — | CHESAPEAKE ENERGY CORP | 29,285,000 | $28.72M | 1.1% | $0.98 | $0.97 | — | NOTE 2.500% 5/1 | 165167CA3 |
| — | MOSAIC CO NEW | 623,800 | $26.84M | 1.0% | $43.02 | — | — | Call | 61945C903 |
| — | LIFE TECHNOLOGIES CORP | 355,016 | $26.57M | 1.0% | $74.83 | $74.01 | — | COM | 53217V109 |
| HLF | HERBALIFE LTD | 364,758 | $25.45M | 0.9% | $69.77 * | $30.35 | +0.8% | COM USD SHS | G4412G101 |
| — | FOREST LABS INC | 591,043 | $25.29M | 0.9% | $42.79 | $41.75 | — | COM | 345838106 |
| — | HESS CORP | 321,584 | $24.87M | 0.9% | $77.34 | $66.49 | — | COM | 42809H107 |
| — | U S AIRWAYS GROUP INC | 1,215,500 | $23.05M | 0.9% | $18.96 | — | — | Call | 90341W908 |
| — | AMGEN INC | 200,000 | $22.39M | 0.8% | $111.94 | — | — | Call | 031162900 |
| — | NYSE EURONEXT | 515,391 | $21.64M | 0.8% | $41.98 | $41.64 | — | COM | 629491101 |
| — | MBIA INC | 2,100,000 | $21.48M | 0.8% | $10.23 | — | — | Call | 55262C900 |
| — | L-3 COMMUNICATIONS CORP | 19,500,000 | $21.27M | 0.8% | $1.09 | $1.09 | — | DEBT 3.000% 8/0 | 502413AW7 |
| — | ANADARKO PETE CORP | 225,366 | $20.96M | 0.8% | $92.99 | $85.93 | — | COM | 032511107 |
| — | ALEXION PHARMACEUTICALS INC | 177,839 | $20.66M | 0.8% | $116.16 | $116.16 | — | COM | 015351109 |
| — | MOSAIC CO NEW | 468,800 | $20.17M | 0.7% | $43.02 | — | — | Put | 61945C953 |
| OXY | OCCIDENTAL PETE CORP DEL | 214,076 | $20.02M | 0.7% | $93.54 * | $57.83 | +2.4% | COM | 674599105 |
| — | VODAFONE GROUP PLC NEW | 555,000 | $19.52M | 0.7% | $35.18 | $35.18 | — | SPONS ADR NEW | 92857W209 |
| — | RITE AID CORP | 9,849,000 | $19.49M | 0.7% | $1.98 | $1.51 | — | NOTE 8.500% 5/1 | 767754BU7 |
| — | ISHARES | 212,500 | $19.46M | 0.7% | $91.58 | — | — | Put | 464288953 |
| — | COMMONWEALTH REIT | 808,288 | $17.71M | 0.7% | $21.91 | $23.12 | — | COM SH BEN INT | 203233101 |
| NTAP | NETAPP INC | 411,419 | $17.54M | 0.6% | $42.62 * | $26.74 | +15.2% | COM | 64110D104 |
| MOS | MOSAIC CO NEW | 402,323 | $17.31M | 0.6% | $43.02 * | $46.26 | -21.4% | COM | 61945C103 |
| — | FOREST LABS INC | 400,000 | $17.12M | 0.6% | $42.79 | — | — | Call | 345838906 |
| — | HALLIBURTON CO | 300,000 | $14.45M | 0.5% | $48.15 | — | — | Put | 406216951 |
| — | BLACKBERRY LTD | 1,800,400 | $14.3M | 0.5% | $7.94 | — | — | Put | 09228F953 |
| — | LENDER PROCESSING SVCS INC | 413,797 | $13.77M | 0.5% | $33.27 | $32.83 | — | COM | 52602E102 |
| — | LEAP WIRELESS INTL INC | 12,948,000 | $13.24M | 0.5% | $1.02 | $1.01 | — | NOTE 4.500% 7/1 | 521863AL4 |
| — | DELL INC | 931,600 | $12.83M | 0.5% | $13.77 | — | — | Call | 24702R901 |
| — | ISHARES | 120,000 | $12.79M | 0.5% | $106.61 | — | — | Put | 464287955 |
| — | CABLEVISION SYS CORP | 749,497 | $12.62M | 0.5% | $16.84 | $16.84 | — | CL A NY CABLVS | 12686C109 |
| — | COMMUNITY HEALTH SYS INC NEW | 300,000 | $12.45M | 0.5% | $41.50 | — | — | Call | 203668908 |
| — | ARRIS GROUP INC NEW | 712,000 | $12.15M | 0.4% | $17.06 | — | — | Put | 04270V956 |
| — | ALEXION PHARMACEUTICALS INC | 100,000 | $11.62M | 0.4% | $116.16 | — | — | Put | 015351959 |
| — | BOISE INC | 900,998 | $11.35M | 0.4% | $12.60 | $12.60 | — | COM | 09746Y105 |
| — | MYLAN INC | 288,986 | $11.03M | 0.4% | $38.17 | $31.03 | — | COM | 628530107 |
| CYH | COMMUNITY HEALTH SYS INC NEW | 261,861 | $10.87M | 0.4% | $41.50 * | $35.46 | 0.0% | COM | 203668108 |
| — | FOREST LABS INC | 250,000 | $10.7M | 0.4% | $42.79 | — | — | Put | 345838956 |
| — | STEWART ENTERPRISES INC | 813,918 | $10.7M | 0.4% | $13.14 | $13.09 | — | CL A | 860370105 |
| — | NEWCASTLE INVT CORP | 1,847,433 | $10.38M | 0.4% | $5.62 | $5.62 | — | COM | 65105M108 |
| TMUS | T-MOBILE US INC | 399,472 | $10.37M | 0.4% | $25.97 * | $19.37 | +21.9% | COM | 872590104 |
| — | RUE21 INC | 254,400 | $10.26M | 0.4% | $40.34 | — | — | Put | 781295950 |
| — | TIME WARNER CABLE INC | 90,800 | $10.13M | 0.4% | $111.60 | $112.08 | — | COM | 88732J207 |
| NWSA | NEWS CORP NEW | 600,418 | $9.643M | 0.4% | $16.06 * | $14.03 | 0.0% | CL A | 65249B109 |
| — | LINN ENERGY LLC | 367,500 | $9.526M | 0.4% | $25.92 | — | — | Call | 536020900 |
| — | OCCIDENTAL PETE CORP DEL | 100,000 | $9.354M | 0.3% | $93.54 | — | — | Call | 674599905 |
| — | BANK OF AMERICA CORPORATION | 1,526,202 | $9.295M | 0.3% | $6.09 | $5.56 | — | *W EXP 01/16/201 | 060505146 |
| TSM | TAIWAN SEMICONDUCTOR MFG LTD | 529,800 | $8.985M | 0.3% | $16.96 | $16.96 | — | SPONSORED ADR | 874039100 |
| — | CHARTER COMMUNICATIONS INC D | 65,733 | $8.858M | 0.3% | $134.76 | $125.63 | — | CL A NEW | 16117M305 |
| — | VIVUS INC | 944,600 | $8.804M | 0.3% | $9.32 | — | — | Call | 928551900 |
| — | ACTIVE NETWORK INC | 600,000 | $8.586M | 0.3% | $14.31 | $14.31 | — | COM | 00506D100 |
| — | DOLE FOOD CO INC NEW | 619,700 | $8.44M | 0.3% | $13.62 | — | — | Put | 256603951 |
| — | POTASH CORP SASK INC | 264,649 | $8.278M | 0.3% | $31.28 | $31.28 | — | COM | 73755L107 |
| — | HARTFORD FINL SVCS GROUP INC | 362,238 | $8.096M | 0.3% | $22.35 | $21.90 | — | *W EXP 06/26/201 | 416515120 |
| — | GANNETT INC | 300,000 | $8.037M | 0.3% | $26.79 | — | — | Put | 364730951 |
| — | ISHARES | 292,000 | $7.379M | 0.3% | $25.27 | — | — | Put | 464286953 |
| — | SHIRE PLC | 60,861 | $7.297M | 0.3% | $119.90 | $119.90 | — | SPONSORED ADR | 82481R106 |
| — | U S AIRWAYS GROUP INC | 371,151 | $7.037M | 0.3% | $18.96 | $17.80 | — | COM | 90341W108 |
| MBI | MBIA INC | 669,181 | $6.846M | 0.3% | $10.23 * | $5.48 | +0.2% | COM | 55262C100 |
| NOK | NOKIA CORP | 1,013,300 | $6.597M | 0.2% | $6.51 | $6.51 | — | SPONSORED ADR | 654902204 |
| — | ALEXION PHARMACEUTICALS INC | 55,000 | $6.389M | 0.2% | $116.16 | — | — | Call | 015351909 |
| — | COMMUNITY HEALTH SYS INC NEW | 150,000 | $6.225M | 0.2% | $41.50 | — | — | Put | 203668958 |
| — | DIRECTV | 100,000 | $5.975M | 0.2% | $59.75 | — | — | Put | 25490A959 |
| — | VIROPHARMA INC | 151,800 | $5.966M | 0.2% | $39.30 | $39.30 | — | COM | 928241108 |
| — | AMERICAN RLTY CAP PPTYS INC | 476,640 | $5.815M | 0.2% | $12.20 | $15.26 | — | COM | 02917T104 |
| — | FIDELITY NATIONAL FINANCIAL | 200,000 | $5.32M | 0.2% | $26.60 | — | — | Put | 31620R955 |
| — | CAPITOL ACQUISITION CORP II | 500,000 | $4.845M | 0.2% | $9.69 | $9.69 | — | COM | 14056V105 |
| — | BERRY PETE CO | 104,528 | $4.508M | 0.2% | $43.13 | $43.13 | — | CL A | 085789105 |
| — | PENNEY J C INC | 502,422 | $4.431M | 0.2% | $8.82 | $8.82 | — | COM | 708160106 |
| — | CNOOC LTD | 21,180 | $4.274M | 0.2% | $201.79 | $201.79 | — | SPONSORED ADR | 126132109 |
| — | BLACKBERRY LTD | 500,000 | $3.973M | 0.1% | $7.95 | — | — | Call | 09228F903 |
| — | DOCUMENT SEC SYS INC | 3,423,199 | $3.902M | 0.1% | $1.14 | $1.14 | — | COM | 25614T101 |
| — | TEVA PHARMACEUTICAL INDS LTD | 100,000 | $3.778M | 0.1% | $37.78 | — | — | Put | 881624959 |
| — | SOURCEFIRE INC | 49,406 | $3.751M | 0.1% | $75.92 | $75.92 | — | COM | 83616T108 |
| — | ASSURED GUARANTY LTD | 200,000 | $3.75M | 0.1% | $18.75 | — | — | Call | G0585R906 |
| — | NEXSTAR BROADCASTING GROUP I | 83,500 | $3.716M | 0.1% | $44.50 | — | — | Call | 65336K903 |
| — | CEMEX SAB DE CV | 311,000 | $3.477M | 0.1% | $11.18 | — | — | Put | 151290959 |
| — | ISHARES | 87,800 | $3.44M | 0.1% | $39.18 | — | — | Call | 464287904 |
| — | IPATH S&P500 VIX | 200,000 | $2.94M | 0.1% | $14.70 | $14.70 | — | COM | 06740C188 |
| — | HEALTH MGMT ASSOC INC NEW | 227,945 | $2.918M | 0.1% | $12.80 | $14.08 | — | CL A | 421933102 |
| — | SPRINT CORP | 450,000 | $2.795M | 0.1% | $6.21 | $6.21 | — | COM SER 1 | 85207U105 |
| — | GLEACHER & CO INC | 201,405 | $2.769M | 0.1% | $13.75 | $13.88 | — | COM NEW | 377341201 |
| — | DRAGONWAVE INC | 1,316,059 | $2.606M | 0.1% | $1.98 | $1.98 | — | COM | 26144M103 |
| — | MBIA INC | 250,000 | $2.558M | 0.1% | $10.23 | — | — | Put | 55262C950 |
| — | VIVUS INC | 268,367 | $2.501M | 0.1% | $9.32 | $12.58 | — | COM | 928551100 |
| NWS | NEWS CORP NEW | 150,000 | $2.465M | 0.1% | $16.43 * | $14.24 | 0.0% | CL B | 65249B208 |
| — | RUCKUS WIRELESS INC | 141,307 | $2.378M | 0.1% | $16.83 | $16.83 | — | COM | 781220108 |
| — | OREXIGEN THERAPEUTICS INC | 372,405 | $2.287M | 0.1% | $6.14 | $5.95 | — | COM | 686164104 |
| — | CONSTELLATION BRANDS INC | 39,600 | $2.273M | 0.1% | $57.40 | — | — | Call | 21036P908 |
| — | NTT DOCOMO INC | 130,492 | $2.117M | 0.1% | $16.22 | $16.22 | — | SPONS ADR | 62942M201 |
| — | COMPANHIA DE BEBIDAS DAS AME | 55,000 | $2.109M | 0.1% | $38.35 | $38.35 | — | SPON ADR PFD | 20441W203 |
| — | LAS VEGAS SANDS CORP | 30,000 | $1.993M | 0.1% | $66.43 | — | — | Put | 517834957 |
| EG | EVEREST RE GROUP LTD | 13,572 | $1.974M | 0.1% | $145.45 * | $100.10 | +4.5% | COM | G3223R108 |
| — | A H BELO CORP | 250,000 | $1.963M | 0.1% | $7.85 | $6.86 | — | COM CL A | 001282102 |
| TMO | THERMO FISHER SCIENTIFIC INC | 20,800 | $1.917M | 0.1% | $92.16 * | $86.81 | 0.0% | COM | 883556102 |
| SPY | SPDR S&P 500 ETF TR | 11,400 | $1.916M | 0.1% | $168.07 | $167.18 | — | TR UNIT | 78462F103 |
| — | INTERCONTINENTALEXCHANGE INC | 10,400 | $1.887M | 0.1% | $181.44 | $181.44 | — | COM | 45865V100 |
| ACGL | ARCH CAP GROUP LTD | 33,206 | $1.797M | 0.1% | $54.12 * | $16.61 | +2.4% | ORD | G0450A105 |
| CTSH | COGNIZANT TECHNOLOGY SOLUTIO | 21,800 | $1.79M | 0.1% | $82.11 * | $32.90 | 0.0% | CL A | 192446102 |
| — | XL GROUP PLC | 57,554 | $1.774M | 0.1% | $30.82 | $30.38 | — | SHS | G98290102 |
| — | CBS CORP NEW | 30,600 | $1.688M | 0.1% | $55.16 | $55.16 | — | CL B | 124857202 |
| AXS | AXIS CAPITAL HOLDINGS LTD | 38,881 | $1.684M | 0.1% | $43.31 * | $31.40 | +0.7% | SHS | G0692U109 |
| — | PARTNERRE LTD | 18,369 | $1.681M | 0.1% | $91.51 | $90.65 | — | COM | G6852T105 |
| RNR | RENAISSANCERE HOLDINGS LTD | 17,241 | $1.561M | 0.1% | $90.54 * | $88.43 | -1.3% | COM | G7496G103 |
| — | HEALTH MGMT ASSOC INC NEW | 118,400 | $1.516M | 0.1% | $12.80 | — | — | Put | 421933952 |
| REEMF | RARE ELEMENT RES LTD | 559,776 | $1.495M | 0.1% | $2.67 * | $2.22 | 0.0% | COM | 75381M102 |
| — | VALIDUS HOLDINGS LTD | 40,151 | $1.485M | 0.1% | $36.99 | $36.22 | — | COM SHS | G9319H102 |
| — | VALEANT PHARMACEUTICALS INTL | 13,500 | $1.408M | 0.1% | $104.30 | $86.08 | — | COM | 91911K102 |
| ALL | ALLSTATE CORP | 27,860 | $1.408M | 0.1% | $50.54 * | $37.29 | +3.4% | COM | 020002101 |
| TRV | TRAVELERS COMPANIES INC | 15,586 | $1.321M | 0.0% | $84.76 * | $63.36 | -0.9% | COM | 89417E109 |
| — | CHUBB CORP | 13,886 | $1.239M | 0.0% | $89.23 | $85.26 | — | COM | 171232101 |
| YZCAY | YANZHOU COAL MNG CO LTD | 129,000 | $1.233M | 0.0% | $9.56 | $9.56 | — | SPON ADR H SHS | 984846105 |
| — | ACE LTD | 13,145 | $1.23M | 0.0% | $93.57 | $90.01 | — | SHS | H0023R105 |
| — | HARTFORD FINL SVCS GROUP INC | 39,500 | $1.229M | 0.0% | $31.11 | — | — | Put | 416515954 |
| — | SPHERIX INC | 142,821 | $1.134M | 0.0% | $7.94 | $6.68 | — | COM PAR $0.01 | 84842R304 |
| MGTI | MGT CAPITAL INVTS INC | 305,624 | $1.127M | 0.0% | $3.69 * | $4.19 | 0.0% | COM NEW | 55302P202 |
| — | PERRIGO CO | 9,000 | $1.11M | 0.0% | $123.33 | $123.33 | — | COM | 714290103 |
| — | WHITEWAVE FOODS CO | 55,600 | $1.11M | 0.0% | $19.96 | $19.96 | — | COM CL A | 966244105 |
| — | EXPRESS SCRIPTS HLDG CO | 17,000 | $1.05M | 0.0% | $61.76 | $61.76 | — | COM | 30219G108 |
| — | SOLARWINDS INC | 29,000 | $1.017M | 0.0% | $35.07 | $35.07 | — | COM | 83416B109 |
| CX | CEMEX SAB DE CV | 90,320 | $1.01M | 0.0% | $11.18 | $10.58 | — | SPON ADR NEW | 151290889 |
| STXS | STEREOTAXIS INC | 281,262 | $937K | 0.0% | $3.33 * | $3.07 | 0.0% | COM NEW | 85916J409 |
| — | PENNEY J C INC | 100,000 | $882K | 0.0% | $8.82 | — | — | Call | 708160906 |
| — | SEMGROUP CORP | 15,300 | $872K | 0.0% | $56.99 | $56.99 | — | CL A | 81663A105 |
| — | CHINA MOBILE LIMITED | 15,000 | $846K | 0.0% | $56.40 | $56.40 | — | SPONSORED ADR | 16941M109 |
| — | THOMAS PPTYS GROUP INC | 113,910 | $765K | 0.0% | $6.72 | $6.72 | — | COM | 884453101 |
| — | LIFE TECHNOLOGIES CORP | 10,000 | $748K | 0.0% | $74.80 | — | — | Call | 53217V909 |
| — | TWENTY FIRST CENTY FOX INC | 20,000 | $668K | 0.0% | $33.40 | $33.40 | — | CL B | 90130A200 |
| — | OREXIGEN THERAPEUTICS INC | 100,000 | $614K | 0.0% | $6.14 | — | — | Call | 686164904 |
| — | BGS ACQUISITION CORP | 59,000 | $591K | 0.0% | $10.02 | $10.10 | — | SH | G1082J100 |
| — | FIRST MARBLEHEAD CORP | 685,405 | $562K | 0.0% | $0.82 | $0.82 | — | COM | 320771108 |
| — | CHINA PETE & CHEM CORP | 6,734 | $527K | 0.0% | $78.26 | $91.45 | — | SPON ADR H SHS | 16941R108 |
| — | HERTZ GLOBAL HOLDINGS INC | 21,600 | $479K | 0.0% | $22.18 | $22.18 | — | COM | 42805T105 |
| — | T-MOBILE US INC | 16,900 | $439K | 0.0% | $25.98 | — | — | Call | 872590904 |
| — | CHINA LIFE INS CO LTD | 10,933 | $425K | 0.0% | $38.87 | $34.86 | — | SPON ADR REP H | 16939P106 |
| TWI | TITAN INTL INC ILL | 28,700 | $420K | 0.0% | $14.63 * | $20.56 | -21.3% | COM | 88830M102 |
| — | CENVEO INC | 110,000 | $325K | 0.0% | $2.95 | $2.95 | — | COM | 15670S105 |
| — | DELL INC | 22,400 | $308K | 0.0% | $13.75 | — | — | Put | 24702R951 |
| — | WPCS INTL INC | 55,688 | $156K | 0.0% | $2.80 | $4.38 | — | COM PAR $.0001 | 92931L302 |
| — | REAL GOODS SOLAR INC | 45,691 | $128K | 0.0% | $2.80 | $2.80 | — | CL A | 75601N104 |
| — | EXIDE TECHNOLOGIES | 246,440 | $92,000 | 0.0% | $0.37 | $0.37 | — | COM NEW | 302051206 |
| — | PAULSON CAP CORP | 143,886 | $47,000 | 0.0% | $0.33 | $0.33 | — | COM | 703797100 |
| — | EON COMMUNICATIONS CORP | 43,677 | $42,000 | 0.0% | $0.96 | $0.96 | — | COM NEW | 268763208 |
| — | PROSPECT GLOBAL RES INC | 10,747 | $33,000 | 0.0% | $3.07 | $3.07 | — | COM NEW | 74348X202 |
| — | CELL THERAPEUTICS INC | 15,000 | $25,000 | 0.0% | $1.67 | $1.67 | — | COM NPV NEW 2012 | 150934883 |
| BLDP | BALLARD PWR SYS INC NEW | 11,200 | $20,000 | 0.0% | $1.79 | $1.28 | +39.8% | COM | 058586108 |
| — | CELSION CORPORATION | 12,400 | $14,000 | 0.0% | $1.13 | $1.05 | — | COM NEW | 15117N305 |
| — | DELCATH SYS INC | 38,293 | $13,000 | 0.0% | $0.34 | $0.34 | — | COM | 24661P104 |
| — | AASTROM BIOSCIENCES INC | 18,618 | $5,000 | 0.0% | $0.27 | $0.38 | — | COM NEW | 00253U305 |