0001140361-17-030726.txt : 20170809
0001140361-17-030726.hdr.sgml : 20170809
20170809110442
ACCESSION NUMBER: 0001140361-17-030726
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170630
FILED AS OF DATE: 20170809
DATE AS OF CHANGE: 20170809
EFFECTIVENESS DATE: 20170809
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ADVENT CAPITAL MANAGEMENT /DE/
CENTRAL INDEX KEY: 0001097278
IRS NUMBER: 134168910
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05049
FILM NUMBER: 171016839
BUSINESS ADDRESS:
STREET 1: 888 SEVENTH AVENUE, 31ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2124821600
MAIL ADDRESS:
STREET 1: 888 SEVENTH AVENUE, 31ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001097278
XXXXXXXX
06-30-2017
06-30-2017
ADVENT CAPITAL MANAGEMENT /DE/
888 SEVENTH AVENUE, 31ST FLOOR
NEW YORK
NY
10019
13F HOLDINGS REPORT
028-05049
N
Paul L Latronica
Managing Director and Portfolio Manager
212-482-1606
/s/ Paul L Latronica
New York
NY
08-08-2017
2
310
5226711
false
1
0001280782
028-11097
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
2
0001692234
028-17598
Russell Investments Group, Ltd.
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Air Lease Corp
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Akamai Technologies Inc
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Allscripts Healthcare Solution
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Johnson & Johnson
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VEREIT Inc
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VEREIT Inc
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Ares Capital Corp
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Ares Capital Corp
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Meritor Inc
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Bristol-Myers Squibb Co
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BroadSoft Inc
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BroadSoft Inc
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CSG Systems International Inc
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CalAmp Corp
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Cardtronics PLC
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Cemex SAB de CV
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Chart Industries Inc
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Ciena Corp
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Citrix Systems Inc
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Clovis Oncology Inc
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Colony NorthStar Inc
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Cornerstone OnDemand Inc
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Ctrip.com International Ltd
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Danaher Corp
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Depomed Inc
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Electronics For Imaging Inc
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Emergent BioSolutions Inc
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Encore Capital Group Inc
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Endologix Inc
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Fidelity National Financial, Inc.
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FireEye Inc
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Expedia Inc
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Horizon Pharma Plc
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Illumina Inc
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Intel Corp
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Jazz Pharmaceuticals PLC
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KB Home
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Knowles Corp
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Lam Research Corp
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Charter Communications Inc
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Live Nation Entertainment Inc
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Microchip Technology Inc
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Micron Technology Inc
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Lam Research Corp
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Oasis Petroleum Inc
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Old Republic International Cor
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CVS Health Corp
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Palo Alto Networks Inc
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Pandora Media Inc
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PRA Group Inc
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Proofpoint Inc
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Quidel Corp
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RPM International Inc
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Arconic Inc
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Red Hat Inc
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TiVo Corp
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Royal Gold Inc
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SM Energy Co
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salesforce.com Inc
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Western Digital Corp
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ServiceNow Inc
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Spectranetics Corp/The
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Spirit Realty Capital Inc
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CalAtlantic Group Inc
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Starwood Property Trust Inc
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Starwood Property Trust Inc
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Starwood Waypoint Homes
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Sucampo Pharmaceuticals Inc
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SOLE
4308000
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Synchronoss Technologies Inc
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87157BAA1
286
336000
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336000
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TCP Capital Corp
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TPG Specialty Lending Inc
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1300000
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SOLE
1300000
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Tesla Inc
CONV
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29025
25359000
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25359000
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Tesla Inc
CONV
88160RAC5
18625
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Tesla Inc
CONV
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12458
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Teva Pharmaceutical Industries
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35196
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32751000
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Innoviva Inc
CONV
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10250000
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10250000
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Toll Brothers Inc
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28306
28331000
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Twitter Inc
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47376
50147000
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50147000
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Twitter Inc
CONV
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80650
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Veeco Instruments Inc
CONV
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15925
15560000
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15560000
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Verint Systems Inc
CONV
92343XAA8
54183
55277000
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55277000
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Weatherford International PLC
CONV
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85856
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Web.com Group Inc
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3755
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3721000
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WebMD Health Corp
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WebMD Health Corp
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WebMD Health Corp
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Anthem Inc
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12879000
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Whiting Petroleum Corp
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Workday Inc
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340000
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340000
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Wright Medical Group NV
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98235TAC1
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269000
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89185000
0
0
Altaba Inc
CONV
984332AF3
148134
130604000
PRN
SOLE
130604000
0
0
QIAGEN NV
CONV
N72482AA5
21325
17400000
PRN
SOLE
17400000
0
0
Allergan PLC
CONV PFD
G0177J116
55954
64507
SH
SOLE
64507
0
0
American Tower Corp
CONV PFD
03027X407
14732
122159
SH
SOLE
122159
0
0
Anthem Inc
CONV PFD
036752202
32982
628956
SH
SOLE
628956
0
0
Arconic Inc
CONV PFD
03965L308
11279
314882
SH
SOLE
314882
0
0
Bank of America Corp
CONV PFD
060505682
63578
50379
SH
SOLE
50379
0
0
Becton Dickinson and Co
CONV PFD
075887208
56149
1027265
SH
SOLE
1027265
0
0
Dominion Energy Inc
CONV PFD
25746U836
22508
448782
SH
SOLE
448782
0
0
DTE Energy Co
CONV PFD
233331883
8227
151580
SH
SOLE
151580
0
0
Frontier Communications Corp
CONV PFD
35906A207
6227
211000
SH
SOLE
211000
0
0
Great Plains Energy Inc
CONV PFD
391164878
13077
245261
SH
SOLE
245261
0
0
New York Community Bancorp Inc
CONV PFD
64944P307
17134
333111
SH
SOLE
333111
0
0
NextEra Energy Inc
CONV PFD
65339F820
37963
707667
SH
SOLE
707667
0
0
NextEra Energy Inc
CONV PFD
65339F846
7022
109866
SH
SOLE
109866
0
0
Southwestern Energy Co
CONV PFD
845467208
4682
321910
SH
SOLE
321910
0
0
Stanley Black & Decker Inc
CONV PFD
854502887
42989
398370
SH
SOLE
398370
0
0
Stericycle Inc
CONV PFD
858912207
6145
96000
SH
SOLE
96000
0
0
T-Mobile US Inc
CONV PFD
872590203
17606
178361
SH
SOLE
178361
0
0
Tyson Foods Inc
CONV PFD
902494301
325
4786
SH
SOLE
4786
0
0
Wells Fargo & Co
CONV PFD
949746804
93282
71147
SH
SOLE
71147
0
0
Welltower Inc
CONV PFD
95040Q203
13120
198085
SH
SOLE
198085
0
0
Western Gas Equity Partners LP
CONV PFD
032511404
8094
197103
SH
SOLE
197103
0
0
WPX Energy Inc
CONV PFD
98212B202
7005
150240
SH
SOLE
150240
0
0
Advanced Micro Devices Inc
COM
007903107
911
73000
SH
SOLE
73000
0
0
Advent Claymore Convertible Se
COM
007639107
3451
554000
SH
SOLE
554000
0
0
Air Lease Corp
COM
00912X302
436
11669
SH
SOLE
11669
0
0
American Airlines Group Inc
COM
02376R102
5032
100000
SH
SOLE
100000
0
0
Amgen Inc
COM
031162100
6459
37500
SH
SOLE
37500
0
0
Apple Inc
COM
037833100
10
70
SH
SOLE
70
0
0
B2Gold Corp
COM
11777Q209
141
50000
SH
SOLE
50000
0
0
Biogen Inc
COM
09062X103
4206
15500
SH
SOLE
15500
0
0
BioMarin Pharmaceutical Inc
COM
09061G101
500
5500
SH
SOLE
5500
0
0
Boston Scientific Corp
COM
101137107
638
23000
SH
SOLE
23000
0
0
BP PLC
COM
055622104
1559
45000
SH
SOLE
45000
0
0
CBS Corp
COM
124857202
319
5000
SH
SOLE
5000
0
0
CenturyLink Inc
COM
156700106
2954
123700
SH
SOLE
123700
0
0
Charter Communications Inc
COM
16119P108
1179
3500
SH
SOLE
3500
0
0
Ciena Corp
COM
171779309
375
15000
SH
SOLE
15000
0
0
Clovis Oncology Inc
COM
189464100
1756
18750
SH
SOLE
18750
0
0
Comerica Inc
COM
200340107
1362
18600
SH
SOLE
18600
0
0
CommScope Holding Co Inc
COM
20337X109
761
20000
SH
SOLE
20000
0
0
Cummins Inc
COM
231021106
9084
56000
SH
SOLE
56000
0
0
Danaher Corp
COM
235851102
422
5000
SH
SOLE
5000
0
0
Delta Air Lines Inc
COM
247361702
1290
24000
SH
SOLE
24000
0
0
DISH Network Corp
COM
25470M109
1801
28700
SH
SOLE
28700
0
0
Eaton Corp PLC
COM
G29183103
6226
80000
SH
SOLE
80000
0
0
Finisar Corp
COM
31787A507
520
20000
SH
SOLE
20000
0
0
FireEye Inc
COM
31816Q101
1673
110000
SH
SOLE
110000
0
0
Freeport-McMoRan Inc
COM
35671D857
601
50000
SH
SOLE
50000
0
0
General Motors Co
COM
37045V100
7405
212000
SH
SOLE
212000
0
0
HCA Healthcare Inc
COM
40412C101
1413
16200
SH
SOLE
16200
0
0
Home Depot Inc/The
COM
437076102
690
4500
SH
SOLE
4500
0
0
Immunomedics Inc
COM
452907108
486
55000
SH
SOLE
55000
0
0
Incyte Corp
COM
45337C102
5099
40500
SH
SOLE
40500
0
0
Infinera Corp
COM
45667G103
213
20000
SH
SOLE
20000
0
0
Inphi Corp
COM
45772F107
69
2000
SH
SOLE
2000
0
0
Insulet Corp
COM
45784P101
770
15000
SH
SOLE
15000
0
0
Intel Corp
COM
458140100
1350
40000
SH
SOLE
40000
0
0
KeyCorp
COM
493267108
756
40315
SH
SOLE
40315
0
0
Kroger Co/The
COM
501044101
466
20000
SH
SOLE
20000
0
0
Lam Research Corp
COM
512807108
18
125
SH
SOLE
125
0
0
Lockheed Martin Corp
COM
539830109
6746
24300
SH
SOLE
24300
0
0
LyondellBasell Industries NV
COM
N53745100
5907
70000
SH
SOLE
70000
0
0
Macquarie Infrastructure Corp
COM
55608B105
4725
60267
SH
SOLE
60267
0
0
Merck & Co Inc
COM
58933Y105
3909
61000
SH
SOLE
61000
0
0
Micron Technology Inc
COM
595112103
1344
45000
SH
SOLE
45000
0
0
Microsoft Corp
COM
594918104
110
1600
SH
SOLE
1600
0
0
Nabors Industries Ltd
COM
G6359F103
720
88500
SH
SOLE
88500
0
0
Nexstar Media Group Inc
COM
65336K103
598
10000
SH
SOLE
10000
0
0
ON Semiconductor Corp
COM
682189105
281
20000
SH
SOLE
20000
0
0
PRA Group Inc
COM
69354N106
265
7000
SH
SOLE
7000
0
0
Proofpoint Inc
COM
743424103
304
3500
SH
SOLE
3500
0
0
Sprint Corp
COM
85207U105
493
60000
SH
SOLE
60000
0
0
Synchrony Financial
COM
87165B103
298
10000
SH
SOLE
10000
0
0
Take-Two Interactive Software
COM
874054109
8
104
SH
SOLE
104
0
0
TEGNA Inc
COM
87901J105
95
6600
SH
SOLE
6600
0
0
T-Mobile US Inc
COM
872590104
727
12000
SH
SOLE
12000
0
0
TPG Pace Energy Holdings Corp
COM
872656202
3127
300000
SH
SOLE
300000
0
0
United Parcel Service Inc
COM
911312106
8814
79700
SH
SOLE
79700
0
0
United States Steel Corp
COM
912909108
6310
285000
SH
SOLE
285000
0
0
UnitedHealth Group Inc
COM
91324P102
742
4000
SH
SOLE
4000
0
0
VEON Ltd
COM
91822M106
1300
332530
SH
SOLE
332530
0
0
Verizon Communications Inc
COM
92343V104
7369
165000
SH
SOLE
165000
0
0
Altaba Inc
OPT
021346901
16
200
SH
Call
SOLE
200
0
0
Air Lease Corp
OPT
00912X952
2
120
SH
Put
SOLE
120
0
0
Advanced Micro Devices Inc
OPT
007903957
11
300
SH
Put
SOLE
300
0
0
Advanced Micro Devices Inc
OPT
007903957
1
200
SH
Put
SOLE
200
0
0
Allegheny Technologies Inc
OPT
01741R902
16
230
SH
Call
SOLE
230
0
0
Alibaba Group Holding Ltd
OPT
01609W902
6
50
SH
Call
SOLE
50
0
0
Bank of America Corp
OPT
060505904
8
500
SH
Call
SOLE
500
0
0
Bank of America Corp
OPT
060505904
2
500
SH
Call
SOLE
500
0
0
Bank of America Corp
OPT
060505954
0
300
SH
Put
SOLE
300
0
0
BP PLC
OPT
055622954
44
1500
SH
Put
SOLE
1500
0
0
Boston Scientific Corp
OPT
101137957
5
300
SH
Put
SOLE
300
0
0
Clovis Oncology Inc
OPT
189464950
0
25
SH
Put
SOLE
25
0
0
Clovis Oncology Inc
OPT
189464950
1
30
SH
Put
SOLE
30
0
0
CenturyLink Inc
OPT
156700956
16
300
SH
Put
SOLE
300
0
0
Cemex SAB de CV
OPT
151290909
17
300
SH
Call
SOLE
300
0
0
Cypress Semiconductor Corp
OPT
232806909
16
500
SH
Call
SOLE
500
0
0
Dillard's Inc
OPT
254067951
7
250
SH
Put
SOLE
250
0
0
Depomed Inc
OPT
249908954
38
3000
SH
Put
SOLE
3000
0
0
Endo International PLC
OPT
G30401906
15
3000
SH
Call
SOLE
3000
0
0
Frontier Communications Corp
OPT
35906A956
320
8000
SH
Put
SOLE
8000
0
0
Frontier Communications Corp
OPT
35906A956
1855
14000
SH
Put
SOLE
14000
0
0
Immunomedics Inc
OPT
452907958
6
800
SH
Put
SOLE
800
0
0
Intel Corp
OPT
458140950
67
500
SH
Put
SOLE
500
0
0
Inphi Corp
OPT
45772F957
5
200
SH
Put
SOLE
200
0
0
iShares Russell 2000 ETF
OPT
464287955
11
600
SH
Put
SOLE
600
0
0
Kroger Co/The
OPT
501044951
1
200
SH
Put
SOLE
200
0
0
LendingClub Corp
OPT
52603A909
15
2000
SH
Call
SOLE
2000
0
0
Live Nation Entertainment Inc
OPT
538034959
7
250
SH
Put
SOLE
250
0
0
Microsoft Corp
OPT
594918904
6
300
SH
Call
SOLE
300
0
0
Micron Technology Inc
OPT
595112953
3
100
SH
Put
SOLE
100
0
0
Neurocrine Biosciences Inc
OPT
64125C959
71
300
SH
Put
SOLE
300
0
0
Nabors Industries Ltd
OPT
G6359F953
23
600
SH
Put
SOLE
600
0
0
ServiceNow Inc
OPT
81762P902
82
245
SH
Call
SOLE
245
0
0
Nexstar Media Group Inc
OPT
65336K953
5
100
SH
Put
SOLE
100
0
0
ON Semiconductor Corp
OPT
682189905
10
2000
SH
Call
SOLE
2000
0
0
ON Semiconductor Corp
OPT
682189955
9
200
SH
Put
SOLE
200
0
0
Pandora Media Inc
OPT
698354907
13
1000
SH
Call
SOLE
1000
0
0
Palo Alto Networks Inc
OPT
697435905
5
300
SH
Call
SOLE
300
0
0
Pfizer Inc
OPT
717081903
32
1500
SH
Call
SOLE
1500
0
0
Insulet Corp
OPT
45784P951
3
150
SH
Put
SOLE
150
0
0
PRA Group Inc
OPT
69354N956
8
800
SH
Put
SOLE
800
0
0
PowerShares QQQ Trust Series 1
OPT
73935A954
37
200
SH
Put
SOLE
200
0
0
PowerShares QQQ Trust Series 1
OPT
73935A954
53
235
SH
Put
SOLE
235
0
0
Rite Aid Corp
OPT
767754954
3
1000
SH
Put
SOLE
1000
0
0
Red Hat Inc
OPT
756577902
129
200
SH
Call
SOLE
200
0
0
SPDR S&P500 ETF Trust
OPT
78462F953
4
1000
SH
Put
SOLE
1000
0
0
SPDR S&P500 ETF Trust
OPT
78462F953
4
300
SH
Put
SOLE
300
0
0
SPDR S&P500 ETF Trust
OPT
78462F903
26
2000
SH
Call
SOLE
2000
0
0
SPDR S&P500 ETF Trust
OPT
78462F953
26
500
SH
Put
SOLE
500
0
0
SPDR S&P500 ETF Trust
OPT
78462F953
99
280
SH
Put
SOLE
280
0
0
Symantec Corp
OPT
871503908
10
500
SH
Call
SOLE
500
0
0
Twitter Inc
OPT
90184L902
19
1000
SH
Call
SOLE
1000
0
0
Western Gas Equity Partners LP
OPT
95825R953
9
500
SH
Put
SOLE
500
0
0
United States Steel Corp
OPT
912909958
5
200
SH
Put
SOLE
200
0
0
Financial Select Sector SPDR F
OPT
81369Y905
29
1000
SH
Call
SOLE
1000
0
0
Technology Select Sector SPDR
OPT
81369Y953
6
300
SH
Put
SOLE
300
0
0