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Institutional Investment Manager
PRELUDE CAPITAL MANAGEMENT, LLC
PRELUDE CAPITAL MANAGEMENT, LLC (CIK: 0001387508) incorporated in Delaware, located at 600 Lexington Avenue, 20th Floor, New York, NY. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 1,562 holdings with a total value of $953,338,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 YAMANA GOLD INC 1,000 4,000 0.00%
52 TSR INC 500 4,000 0.00%
53 Jive Software Inc 900 4,000 0.00%
54 NEXEO SOLUTIONS INC 6,261 4,000 0.00%
55 TURTLE BEACH CORP COM 2,700 4,000 0.00%
56 VIACOM INC NEW 100 4,000 0.00%
57 BAZAARVOICE INC 700 4,000 0.00%
58 REALTY INCOME CORP 60 4,000 0.00%
59 LUMOS NETWORKS CORP 300 4,000 0.00%
60 TRUSTCO BANK CM 500 4,000 0.00%
61 ZAFGEN INC COM 1,200 4,000 0.00%
62 TARENA INTL INC 300 4,000 0.00%
63 1st Source Corp 100 4,000 0.00%
64 ICF INTL INC COM 100 4,000 0.00%
65 MAXLINEAR INC COM 200 4,000 0.00%
66 TELECOM ITALIA S P A NEW 600 5,000 0.00%
67 CAMECO CORP 600 5,000 0.00%
68 China Distance Education Holdings Ltd 400 5,000 0.00%
69 HANMI FINL CORP COM NEW 200 5,000 0.00%
70 WINNEBAGO INDS INC COM 200 5,000 0.00%
71 NEW ORIENTAL ED & TECH GRP I 100 5,000 0.00%
72 TESSCO TECHNOLOGIES INC COM 400 5,000 0.00%
73 DERMA SCIENCES ORD 1,000 5,000 0.00%
74 MILLER INDS INC TENN COM NEW 200 5,000 0.00%
75 PENN WEST PETE LTD NEW 2,600 5,000 0.00%
76 DAQO NEW ENERGY CORP 300 6,000 0.00%
77 VOYA FINANCIAL INC 200 6,000 0.00%
78 Corrections Cp Amer Ne 400 6,000 0.00%
79 PICO HLDGS INC 548 6,000 0.00%
80 UNIVERSAL TECHNICAL INST INC 3,300 6,000 0.00%
81 AETERNA ZENTARIS INC 1,700 6,000 0.00%
82 CHINA SOUTHN AIRLS LT 200 6,000 0.00%
83 GENWORTH FINL INC 1,200 6,000 0.00%
84 VIMPELCOM LTD 1,600 6,000 0.00%
85 LUBYS INC COM 1,400 6,000 0.00%
86 CLEAR CHANNEL OUTDOOR HLDGS CL A 1,000 6,000 0.00%
87 FIDELITY NATIONAL FINANCIAL IN FNFV GROUP COM 500 6,000 0.00%
88 INVESTMENT TECHNOLOGY GRP NEW 370 6,000 0.00%
89 TRILLIUM THERAPEUTICS INC 400 6,000 0.00%
90 APTEVO THERAPEUTICS INC 2,496 6,000 0.00%
91 SILVER STD RES INC 500 6,000 0.00%
92 OIL STS INTL INC 200 6,000 0.00%
93 A O SMITH 65 6,000 0.00%
94 TOWNEBANK PORTSMOUTH VA COM 300 7,000 0.00%
95 DDR CORP 400 7,000 0.00%
96 ATKORE INTL GROUP INC COM 400 7,000 0.00%
97 CHINA LIFE INS CO LTD 500 7,000 0.00%
98 SAFETY INS GROUP INC COM 100 7,000 0.00%
99 DESTINATION MATERNITY CORP 1,000 7,000 0.00%
100 DBV TECHNOLOGIES S A 200 7,000 0.00%
Page 2 of 32

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001140361-16-086044, filed 2016.11.14).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.