ASCEND CAPITAL, LLC

Q4 2016 13F Holdings Report, New Holdings, Options Holdings

Notable people
Malcolm P. Fairbairn
Signature - Title
Benjamin D. Slavet - CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER
Location
Orinda, CA
Options holdings as of
31 Dec 2016
Notional value
$4,296,000
Number of holdings
1
Filing time
14 Feb 2017, 12:56:02 UTC
Previous filing
Q3 2016 - 14 Nov 2016
Next filing
Q1 2017 - 15 May 2017
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
BENJAMIN D. SLAVET CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER Orinda, California 14 Feb 2017

Other Included Managers (9):

Num Name Location File Number
1 Ascend Capital Limited Partnership Orinda, CA 028-11218
2 Ascend Partners Fund LP Orinda, CA 028-11221
3 Ascend Wilson Fund LP Orinda, CA 028-15291
4 Ascend Partners Fund, Ltd. Georgetown, Cayman Islands 028-11219
5 Malcolm P. Fairbairn Orinda, CA 028-11223
6 Ascend Partners Fund BPO, Ltd. Georgetown, Cayman Islands 028-12400
7 ASCEND AC FUND LP Orinda, CA 028-16597
8 ASCEND CN FUND LP Orinda, CA 028-16600
9 ASCEND PLAZA FUND, LTD. Grand Cayman, Cayman Islands 028-17212