MARSHALL WACE, LLP Q3 2021 Filing

Filed November 15, 2021

Portfolio Value

$24.1M

Holdings

2,766

Report Date

Q3 2021

Filing Type

13F-HR

All Holdings (2,766 positions)

#	Stock	Shares	Value	% Portfolio	Type
3101	PBYIPUMA BIOTECHNOLO	23,276	$163K	0.68%
3102	—METALS ACQUISITI	16,333	$162K	0.67%
3103	WYNNNovember 21 Calls on WYNN US at 100, American	1,900	$161K	0.67%	Call
3104	MMMOctober 21 Calls on MMM US at 185, American	900	$158K	0.66%	Call
3105	—BON NATURAL LIFE	18,712	$158K	0.66%
3106	LVLNSPDR S&P REG BAN	2,312	$157K	0.65%
3107	VRAVERA BRADLEY INC	16,692	$157K	0.65%
3108	ZMOctober 21 Calls on ZM US at 282.5, American	600	$157K	0.65%	Call
3109	UNHOctober 21 Calls on UNH US at 410, American	400	$156K	0.65%	Call
3110	—PROPTECH INV-A	15,800	$155K	0.64%
3111	TGSTRANSPORT GA-ADR	31,178	$154K	0.64%
3112	SJTSAN JUAN BASIN	30,350	$154K	0.64%
3113	WMTOctober 21 Puts on WMT US at 141, American	1,100	$153K	0.64%	Put
3114	IWMFebruary 22 Calls on IWM US at 249, American	700	$153K	0.64%	Call
3115	RCLJanuary 22 Puts on RCL US at 85, American	1,700	$151K	0.63%	Put
3116	HLMNHILLMAN SOLUTION	12,652	$151K	0.63%
3117	DGICADONEGAL GRP-CL A	10,406	$151K	0.63%
3118	—RADIUS HEALTH IN	12,047	$150K	0.62%
3119	MPCJanuary 22 Calls on MPC US at 60, American	2,400	$148K	0.61%	Call
3120	REKRREKOR SYSTEMS IN	12,755	$147K	0.61%
3121	—MINIM INC	78,682	$147K	0.61%
3122	UALOctober 21 Calls on UAL US at 55, American	3,100	$147K	0.61%	Call
3123	IBBNovember 21 Calls on IBB US at 174, American	900	$146K	0.61%	Call
3124	CBATCBAK ENERGY TECH	60,827	$142K	0.59%
3125	KWEBOctober 21 Calls on KWEB US at 50.5, American	3,000	$142K	0.59%	Call
3126	—ADVANCED MERG-A	14,576	$141K	0.59%	Call
3127	AXTIAXT INC	16,980	$141K	0.59%
3128	—NEOLEUKIN THERAP	19,421	$140K	0.58%
3129	PGOctober 21 Puts on PG US at 138, American	1,000	$140K	0.58%	Put
3130	AGSPLAYAGS INC	17,584	$139K	0.58%
3131	WMTOctober 21 Puts on WMT US at 143, American	1,000	$139K	0.58%	Put
3132	LPGDORIAN LPG LTD	11,030	$137K	0.57%
3133	COSTOctober 21 Calls on COST US at 450, American	300	$135K	0.56%	Call
3134	CCLJune 22 Calls on CCL US at 32.5, American	5,300	$133K	0.55%	Call
3135	ASNSUSDX4 PHARMACEUTICA	25,223	$133K	0.55%
3136	OSBCOLD SECOND BNCRP	10,097	$132K	0.55%
3137	HDOctober 21 Puts on HD US at 330, American	400	$131K	0.54%	Put
3138	SMHFebruary 22 Puts on SMH US at 245, American	500	$128K	0.53%	Put
3139	XRPNARMADA ACQUISITI	12,707	$127K	0.53%
3140	NVNOENVVENO MEDICAL	12,207	$127K	0.53%
3141	GSITGSI TECHNOLOGY	23,846	$126K	0.52%
3142	FPAYQFLEXSHOPPER INC	40,317	$125K	0.52%
3143	CRDFCARDIFF ONCOLOGY	18,769	$125K	0.52%
3144	FUE1FUEL TECH INC	71,543	$124K	0.51%
3145	XYFX FINANCIAL-ADR	29,681	$123K	0.51%
3146	CMCSAOctober 21 Puts on CMCSA US at 57, American	2,200	$123K	0.51%	Put
3147	7HPNovember 21 Calls on HPQ US at 29, American	4,500	$123K	0.51%	Call
3148	CERSCERUS CORP	20,163	$123K	0.51%
3149	REGNOctober 21 Calls on REGN US at 640, American	200	$121K	0.50%	Call
3150	REGNOctober 21 Puts on REGN US at 600, American	200	$121K	0.50%	Put
3151	REGNOctober 21 Puts on REGN US at 625, American	200	$121K	0.50%	Put
3152	REGNOctober 21 Calls on REGN US at 635, American	200	$121K	0.50%	Call
3153	TACTRANSALTA CORP	11,468	$121K	0.50%
3154	—CORNER GROWTH -A	12,171	$120K	0.50%
3155	IGVJune 22 Calls on IGV US at 425, American	300	$120K	0.50%	Call
3156	GDXJFebruary 22 Puts on GDXJ US at 42, American	3,100	$119K	0.49%	Put
3157	—AXCELLA HEALTH I	40,017	$119K	0.49%
3158	—FORESIGHT ACQU-A	12,023	$119K	0.49%
3159	PRPHPROPHASE LABS IN	22,801	$119K	0.49%
3160	DWDOctober 21 Puts on MS US at 102, American	1,200	$117K	0.49%	Put
3161	OXSQOXFORD SQUARE CA	28,791	$117K	0.49%
3162	AMATOctober 21 Puts on AMAT US at 137, American	900	$116K	0.48%	Put
3163	LYRALYRA THERAPEUTIC	12,457	$114K	0.47%
3164	RMCOAMERICAN ACQUI-A	11,524	$114K	0.47%
3165	CAASEURCHINA AUTOMOTIVE	34,614	$113K	0.47%
3166	7HPNovember 21 Puts on HPQ US at 27, American	4,100	$112K	0.47%	Put
3167	GTBPGT BIOPHARMA INC	16,577	$112K	0.47%
3168	7HPNovember 21 Calls on HPQ US at 32, American	4,100	$112K	0.47%	Call
3169	—GREENBOX POS	13,404	$111K	0.46%
3170	—VENATOR MATERIAL	38,353	$110K	0.46%
3171	—ACCELERATE DIAGN	18,451	$108K	0.45%
3172	SLVMarch 22 Puts on SLV US at 19, American	5,200	$107K	0.44%	Put
3173	BHLWQBENSON HILL INC	14,994	$107K	0.44%	Call
3174	MUDecember 21 Calls on MU US at 77.5, American	1,500	$106K	0.44%	Call
3175	VSAREURARAVIVE INC	28,462	$106K	0.44%
3176	MMMOctober 21 Puts on MMM US at 177.5, American	600	$105K	0.44%	Put
3177	TARAPROTARA THERAPEU	15,190	$105K	0.44%
3178	CCLJune 22 Puts on CCL US at 20, American	4,200	$105K	0.44%	Put
3179	ZMOctober 21 Puts on ZM US at 265, American	400	$105K	0.44%	Put
3180	MAOctober 21 Calls on MA US at 357.5, American	300	$104K	0.43%	Call
3181	MAOctober 21 Puts on MA US at 352.5, American	300	$104K	0.43%	Put
3182	AXONEURSIO GENE THERAPI	47,537	$103K	0.43%
3183	LVLNJune 22 Calls on KRE US at 75, American	1,500	$102K	0.42%	Call
3184	TMUSOctober 21 Puts on TMUS US at 128, American	800	$102K	0.42%	Put
3185	FSBCFIVE STAR SENIOR	23,211	$102K	0.42%
3186	—ALPINE ACQUISITI	10,064	$102K	0.42%
3187	DENovember 21 Puts on DE US at 330, American	300	$101K	0.42%	Put
3188	INDPINDAPTUS THERAPE	12,780	$100K	0.42%
3189	CGENCOMPUGEN LTD	16,482	$100K	0.42%
3190	MPCJanuary 22 Puts on MPC US at 52.5, American	1,600	$99K	0.41%	Put
3191	GILDOctober 21 Calls on GILD US at 72, American	1,400	$98K	0.41%	Call
3192	AVGOOctober 21 Calls on AVGO US at 515, American	200	$97K	0.40%	Call
3193	AVGOOctober 21 Puts on AVGO US at 487.5, American	200	$97K	0.40%	Put
3194	IBBNovember 21 Puts on IBB US at 169, American	600	$97K	0.40%	Put
3195	CLPRCLIPPER REALTY I	12,021	$97K	0.40%
3196	TTS1EURTILE SHOP HLDGS	12,622	$97K	0.40%
3197	VIOTVIOMI TECHNO-ADR	20,931	$96K	0.40%
3198	HYGMarch 22 Calls on HYG US at 89, American	1,100	$96K	0.40%	Call
3199	SJSCIENJOY HOLDI-A	22,295	$96K	0.40%
3200	DXYNDIXIE GROUP INC	19,680	$96K	0.40%

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