| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | SHAH CAPITAL MANAGEMENT | 2,773,780 | 3,911,000 | 23.85% | ||
| 2 | GUGGENHEIM CAPITAL LLC | 2,676,495 | 3,774,000 | 23.01% | ||
| 3 | CREDIT SUISSE AG/ | 1,463,607 | 2,063,000 | 12.58% | ||
| 4 | Invesco Ltd. | 677,340 | 955,000 | 5.82% | ||
| 5 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 483,303 | 681,000 | 4.15% | ||
| 6 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 381,400 | 534,000 | 3.26% | ||
| 7 | LAZARD ASSET MANAGEMENT LLC | 279,825 | 394,000 | 2.40% | ||
| 8 | CITADEL ADVISORS LLC | 228,835 | 323,000 | 1.97% | ||
| 9 | Guinness Atkinson Asset Management Inc | 224,000 | 316,000 | 1.93% | ||
| 10 | DEUTSCHE BANK AG\ | 195,962 | 276,000 | 1.68% | ||
| 11 | MORGAN STANLEY | 161,028 | 227,000 | 1.38% | ||
| 12 | GLG Partners LP | 150,117 | 212,000 | 1.29% | ||
| 13 | Spot Trading L.L.C | 127,900 | 180,000 | 1.10% | Call | |
| 14 | FIRST TRUST ADVISORS LP | 116,243 | 164,000 | 1.00% | ||
| 15 | Legal & General Group Plc | 115,700 | 163,000 | 0.99% | ||
| 16 | Guinness Asset Management LTD | 115,920 | 163,000 | 0.99% | ||
| 17 | KBC Group NV | 113,151 | 160,000 | 0.98% | ||
| 18 | Virtu KCG Holdings LLC | 112,820 | 159,000 | 0.97% | ||
| 19 | GOLDMAN SACHS GROUP INC | 92,765 | 131,000 | 0.80% | ||
| 20 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 91,600 | 129,000 | 0.79% | Call | |
| 21 | PARAMETRIC PORTFOLIO ASSOCIATES LLC | 89,610 | 126,000 | 0.77% | ||
| 22 | Central Asset Investments & Management Holdings (HK) Ltd | 84,100 | 119,000 | 0.73% | ||
| 23 | STATE STREET CORP | 83,740 | 118,000 | 0.72% | ||
| 24 | VAN ECK ASSOCIATES CORP | 81,902 | 115,000 | 0.70% | ||
| 25 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 81,200 | 114,000 | 0.70% | Put | |
| 26 | CITIGROUP INC | 73,761 | 104,000 | 0.63% | ||
| 27 | Zurcher Kantonalbank (Zurich Cantonalbank) | 68,300 | 96,000 | 0.59% | ||
| 28 | EQUITEC PROPRIETARY MARKETS, LLC | 59,620 | 84,000 | 0.51% | ||
| 29 | EQUITEC PROPRIETARY MARKETS, LLC | 57,200 | 79,000 | 0.48% | Put | |
| 30 | Aperio Group, LLC | 42,587 | 60,000 | 0.37% | ||
| 31 | EQUITEC PROPRIETARY MARKETS, LLC | 41,200 | 59,000 | 0.36% | Call | |
| 32 | GRACE & WHITE INC /NY | 36,901 | 52,000 | 0.32% | ||
| 33 | COWEN INC. | 31,200 | 44,000 | 0.27% | ||
| 34 | GROUP ONE TRADING LLC | 26,206 | 37,000 | 0.23% | ||
| 35 | TWO SIGMA SECURITIES, LLC | 25,480 | 36,000 | 0.22% | ||
| 36 | BARCLAYS PLC | 27,887 | 28,000 | 0.17% | ||
| 37 | BARCLAYS PLC | 26,000 | 26,000 | 0.16% | Put | |
| 38 | Spot Trading L.L.C | 15,000 | 21,000 | 0.13% | Put | |
| 39 | ROYAL BANK OF CANADA | 14,500 | 21,000 | 0.13% | ||
| 40 | Verition Fund Management LLC | 13,297 | 19,000 | 0.12% | ||
| 41 | Spot Trading L.L.C | 13,693 | 19,000 | 0.12% | ||
| 42 | BlackRock Group LTD | 11,859 | 17,000 | 0.10% | ||
| 43 | GOLDMAN SACHS GROUP INC | 11,100 | 16,000 | 0.10% | Call | |
| 44 | CITY NATIONAL BANK | 10,000 | 14,000 | 0.09% | ||
| 45 | Tower Research Capital LLC (TRC) | 8,500 | 12,000 | 0.07% | ||
| 46 | UBS Group AG | 8,500 | 12,000 | 0.07% | ||
| 47 | BANK OF AMERICA CORP /DE/ | 4,352 | 6,000 | 0.04% | ||
| 48 | BARCLAYS PLC | 5,700 | 6,000 | 0.04% | Call | |
| 49 | GOLDMAN SACHS GROUP INC | 3,800 | 5,000 | 0.03% | Put | |
| 50 | Parallax Volatility Advisers, L.P. | 4,000 | 5,000 | 0.03% | Call |
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.
