| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GOLDMAN SACHS GROUP INC | 100 | 0 | 0.00% | Put | |
| 2 | BARCLAYS PLC | 800 | 0 | 0.00% | Put | |
| 3 | BARCLAYS PLC | 5,700 | 0 | 0.00% | Call | |
| 4 | BARCLAYS PLC | 1,828 | 0 | 0.00% | ||
| 5 | TCI Wealth Advisors, Inc. | 30 | 0 | 0.00% | ||
| 6 | SIMPLEX TRADING, LLC | 1,694 | 1,000 | 0.01% | ||
| 7 | PNC FINANCIAL SERVICES GROUP, INC. | 847 | 1,000 | 0.01% | ||
| 8 | Creative Planning | 1,050 | 1,000 | 0.01% | ||
| 9 | WELLS FARGO & COMPANY/MN | 2,557 | 2,000 | 0.02% | ||
| 10 | Lombard Odier & Cie (Bahamas) Ltd | 1,700 | 2,000 | 0.02% | ||
| 11 | Compagnie Lombard Odier SCmA | 1,700 | 2,000 | 0.02% | ||
| 12 | Spot Trading L.L.C | 2,326 | 2,000 | 0.02% | ||
| 13 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 2,500 | 2,000 | 0.02% | ||
| 14 | BANK OF AMERICA CORP /DE/ | 4,350 | 4,000 | 0.04% | ||
| 15 | EQUITEC PROPRIETARY MARKETS, LLC | 6,000 | 6,000 | 0.07% | Put | |
| 16 | UBS Group AG | 8,400 | 8,000 | 0.09% | ||
| 17 | Legal & General Group Plc | 9,500 | 9,000 | 0.10% | ||
| 18 | NOMURA HOLDINGS INC | 10,000 | 10,000 | 0.11% | ||
| 19 | CITY NATIONAL BANK | 10,000 | 10,000 | 0.11% | ||
| 20 | CITADEL ADVISORS LLC | 10,591 | 10,000 | 0.11% | ||
| 21 | ROYAL BANK OF CANADA | 14,500 | 14,000 | 0.15% | ||
| 22 | MORGAN STANLEY | 15,287 | 14,000 | 0.15% | ||
| 23 | Kovack Advisors, Inc. | 20,000 | 19,000 | 0.21% | ||
| 24 | EQUITEC PROPRIETARY MARKETS, LLC | 19,500 | 19,000 | 0.21% | Call | |
| 25 | Tower Research Capital LLC (TRC) | 19,366 | 19,000 | 0.21% | ||
| 26 | EQUITEC PROPRIETARY MARKETS, LLC | 23,190 | 23,000 | 0.25% | ||
| 27 | TWO SIGMA SECURITIES, LLC | 36,406 | 35,000 | 0.39% | ||
| 28 | GRACE & WHITE INC /NY | 36,901 | 36,000 | 0.40% | ||
| 29 | Rotella Capital Management, Inc. | 38,541 | 37,000 | 0.41% | ||
| 30 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 42,400 | 41,000 | 0.45% | Call | |
| 31 | GROUP ONE TRADING LLC | 45,946 | 45,000 | 0.50% | ||
| 32 | CITIGROUP INC | 55,023 | 54,000 | 0.59% | ||
| 33 | GOLDMAN SACHS GROUP INC | 82,570 | 80,000 | 0.88% | ||
| 34 | GLG Partners LP | 103,227 | 100,000 | 1.10% | ||
| 35 | KBC Group NV | 103,666 | 101,000 | 1.11% | ||
| 36 | Spot Trading L.L.C | 110,000 | 107,000 | 1.18% | Call | |
| 37 | Virtu KCG Holdings LLC | 144,365 | 140,000 | 1.54% | ||
| 38 | Guinness Asset Management LTD | 150,020 | 146,000 | 1.61% | ||
| 39 | DEUTSCHE BANK AG\ | 204,762 | 199,000 | 2.19% | ||
| 40 | CREDIT SUISSE AG/ | 312,143 | 303,000 | 3.33% | ||
| 41 | Guinness Atkinson Asset Management Inc | 379,300 | 369,000 | 4.06% | ||
| 42 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 494,400 | 481,000 | 5.29% | ||
| 43 | Invesco Ltd. | 652,176 | 634,000 | 6.97% | ||
| 44 | RENAISSANCE TECHNOLOGIES LLC | 661,200 | 643,000 | 7.07% | ||
| 45 | GUGGENHEIM CAPITAL LLC | 802,631 | 780,000 | 8.58% | ||
| 46 | SHAH CAPITAL MANAGEMENT | 4,713,173 | 4,581,000 | 50.40% |
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.
