| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 4,685,338 | 13,822,000 | 32.49% | ||
| 2 | CREDIT SUISSE AG/ | 3,010,877 | 8,882,000 | 20.88% | ||
| 3 | Invesco Ltd. | 1,712,778 | 5,053,000 | 11.88% | ||
| 4 | SHAH CAPITAL MANAGEMENT | 1,548,156 | 4,567,000 | 10.74% | ||
| 5 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 372,200 | 1,098,000 | 2.58% | ||
| 6 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 317,200 | 936,000 | 2.20% | Call | |
| 7 | DEUTSCHE BANK AG\ | 276,762 | 815,000 | 1.92% | ||
| 8 | LAZARD ASSET MANAGEMENT LLC | 238,202 | 702,000 | 1.65% | ||
| 9 | Spot Trading L.L.C | 194,000 | 572,000 | 1.34% | Call | |
| 10 | Guinness Atkinson Asset Management Inc | 191,100 | 564,000 | 1.33% | ||
| 11 | GLG Partners LP | 150,117 | 443,000 | 1.04% | ||
| 12 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 144,722 | 427,000 | 1.00% | ||
| 13 | MARSHALL WACE, LLP | 144,064 | 425,000 | 1.00% | ||
| 14 | FIRST TRUST ADVISORS LP | 129,961 | 383,000 | 0.90% | ||
| 15 | GROUP ONE TRADING LLC | 119,111 | 351,000 | 0.83% | ||
| 16 | Legal & General Group Plc | 115,700 | 342,000 | 0.80% | ||
| 17 | CITIGROUP INC | 115,672 | 341,000 | 0.80% | ||
| 18 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 115,300 | 340,000 | 0.80% | Put | |
| 19 | VAN ECK ASSOCIATES CORP | 106,031 | 313,000 | 0.74% | ||
| 20 | Guinness Asset Management LTD | 105,120 | 310,000 | 0.73% | ||
| 21 | GOLDMAN SACHS GROUP INC | 101,422 | 299,000 | 0.70% | ||
| 22 | Aperio Group, LLC | 83,105 | 245,000 | 0.58% | ||
| 23 | STATE STREET CORP | 69,600 | 205,000 | 0.48% | ||
| 24 | BARCLAYS PLC | 73,000 | 146,000 | 0.34% | Call | |
| 25 | MORGAN STANLEY | 42,685 | 126,000 | 0.30% | ||
| 26 | GRACE & WHITE INC /NY | 36,901 | 109,000 | 0.26% | ||
| 27 | GOLDMAN SACHS GROUP INC | 26,700 | 79,000 | 0.19% | Put | |
| 28 | INTEGRAL DERIVATIVES, LLC | 25,000 | 74,000 | 0.17% | Call | |
| 29 | UBS AG | 22,907 | 68,000 | 0.16% | ||
| 30 | GOLDMAN SACHS GROUP INC | 22,300 | 66,000 | 0.16% | Call | |
| 31 | Tower Research Capital LLC (TRC) | 16,752 | 50,000 | 0.12% | ||
| 32 | Spot Trading L.L.C | 16,700 | 49,000 | 0.12% | Put | |
| 33 | ROYAL BANK OF CANADA | 14,500 | 42,000 | 0.10% | ||
| 34 | BANK OF AMERICA CORP /DE/ | 14,227 | 42,000 | 0.10% | ||
| 35 | Virtu KCG Holdings LLC | 12,510 | 37,000 | 0.09% | ||
| 36 | BlackRock Group LTD | 11,859 | 35,000 | 0.08% | ||
| 37 | BARCLAYS PLC | 15,200 | 30,000 | 0.07% | Put | |
| 38 | MILLENNIUM MANAGEMENT LLC | 10,090 | 30,000 | 0.07% | ||
| 39 | CITY NATIONAL BANK | 10,000 | 30,000 | 0.07% | ||
| 40 | PEAK6 Group LLC | 9,400 | 28,000 | 0.07% | Call | |
| 41 | WELLS FARGO & COMPANY/MN | 4,565 | 13,000 | 0.03% | ||
| 42 | BARCLAYS PLC | 5,896 | 12,000 | 0.03% | ||
| 43 | Global X Management CO LLC | 3,482 | 10,000 | 0.02% | ||
| 44 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 2,500 | 7,000 | 0.02% | ||
| 45 | PEAK6 Group LLC | 2,000 | 6,000 | 0.01% | Put | |
| 46 | Lombard Odier & Cie (Bahamas) Ltd | 1,700 | 5,000 | 0.01% | ||
| 47 | Creative Planning | 1,525 | 4,000 | 0.01% | ||
| 48 | AMERICAN INTERNATIONAL GROUP, INC. | 1,000 | 2,950 | 0.01% | ||
| 49 | UBS AG | 600 | 2,000 | 0.00% | Call | |
| 50 | BlackRock Fund Advisors | 605 | 2,000 | 0.00% |
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.
