| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 5,361,976 | 7,346,000 | 39.21% | ||
| 2 | SHAH CAPITAL MANAGEMENT | 3,486,048 | 4,775,000 | 25.49% | ||
| 3 | CREDIT SUISSE AG/ | 819,677 | 1,123,000 | 5.99% | ||
| 4 | Invesco Ltd. | 611,551 | 838,000 | 4.47% | ||
| 5 | RENAISSANCE TECHNOLOGIES LLC | 575,500 | 788,000 | 4.21% | ||
| 6 | LUMINUS MANAGEMENT LLC | 451,607 | 619,000 | 3.30% | ||
| 7 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 400,500 | 549,000 | 2.93% | ||
| 8 | Guinness Atkinson Asset Management Inc | 379,300 | 520,000 | 2.78% | ||
| 9 | DEUTSCHE BANK AG\ | 289,762 | 396,000 | 2.11% | ||
| 10 | Guinness Asset Management LTD | 150,020 | 206,000 | 1.10% | ||
| 11 | GOLDMAN SACHS GROUP INC | 115,495 | 158,000 | 0.84% | ||
| 12 | Spot Trading L.L.C | 110,000 | 151,000 | 0.81% | Call | |
| 13 | KBC Group NV | 103,666 | 142,000 | 0.76% | ||
| 14 | VAN ECK ASSOCIATES CORP | 81,175 | 111,000 | 0.59% | ||
| 15 | Virtu KCG Holdings LLC | 77,882 | 107,000 | 0.57% | ||
| 16 | CITADEL ADVISORS LLC | 64,645 | 89,000 | 0.48% | ||
| 17 | CITIGROUP INC | 63,418 | 87,000 | 0.46% | ||
| 18 | Legal & General Group Plc | 58,500 | 80,000 | 0.43% | ||
| 19 | JANE STREET GROUP, LLC | 44,901 | 62,000 | 0.33% | ||
| 20 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 43,100 | 59,000 | 0.31% | Call | |
| 21 | GROUP ONE TRADING LLC | 42,646 | 58,000 | 0.31% | ||
| 22 | EQUITEC PROPRIETARY MARKETS, LLC | 37,190 | 51,000 | 0.27% | ||
| 23 | GRACE & WHITE INC /NY | 36,901 | 51,000 | 0.27% | ||
| 24 | LAZARD ASSET MANAGEMENT LLC | 37,514 | 51,000 | 0.27% | ||
| 25 | MORGAN STANLEY | 28,767 | 40,000 | 0.21% | ||
| 26 | EQUITEC PROPRIETARY MARKETS, LLC | 28,800 | 39,000 | 0.21% | Call | |
| 27 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 26,119 | 36,000 | 0.19% | ||
| 28 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 21,300 | 29,000 | 0.15% | Put | |
| 29 | EQUITEC PROPRIETARY MARKETS, LLC | 21,500 | 29,000 | 0.15% | Put | |
| 30 | ROYAL BANK OF CANADA | 14,540 | 20,000 | 0.11% | ||
| 31 | TWO SIGMA SECURITIES, LLC | 13,381 | 18,000 | 0.10% | ||
| 32 | SIMPLEX TRADING, LLC | 12,548 | 17,000 | 0.09% | ||
| 33 | BlackRock Group LTD | 11,859 | 16,000 | 0.09% | ||
| 34 | CITY NATIONAL BANK | 10,000 | 14,000 | 0.07% | ||
| 35 | Tower Research Capital LLC (TRC) | 9,611 | 13,000 | 0.07% | ||
| 36 | BARCLAYS PLC | 10,428 | 10,000 | 0.05% | ||
| 37 | BARCLAYS PLC | 7,400 | 7,000 | 0.04% | Put | |
| 38 | BANK OF AMERICA CORP /DE/ | 4,488 | 6,000 | 0.03% | ||
| 39 | BARCLAYS PLC | 5,700 | 6,000 | 0.03% | Call | |
| 40 | Parallax Volatility Advisers, L.P. | 3,000 | 4,000 | 0.02% | Call | |
| 41 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 2,500 | 3,000 | 0.02% | ||
| 42 | Spot Trading L.L.C | 2,426 | 3,000 | 0.02% | ||
| 43 | Lombard Odier & Cie (Bahamas) Ltd | 1,700 | 2,000 | 0.01% | ||
| 44 | Compagnie Lombard Odier SCmA | 1,700 | 2,000 | 0.01% | ||
| 45 | UBS Group AG | 509 | 1,000 | 0.01% | ||
| 46 | WELLS FARGO & COMPANY/MN | 401 | 1,000 | 0.01% | ||
| 47 | PNC FINANCIAL SERVICES GROUP, INC. | 847 | 1,000 | 0.01% | ||
| 48 | TCI Wealth Advisors, Inc. | 30 | 0 | 0.00% | ||
| 49 | GOLDMAN SACHS GROUP INC | 100 | 0 | 0.00% | Put |
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.
