13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 6,674 holding rows worth $238,633,387,000.
- Accession
- 0000072971-15-000687
- Filer
- CIK 72971
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 19,426 entries on the cover page, a total value of $238,633,387,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $238,633,387,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerNORWEST LTD LP, LLLP028-06571
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerRock Creek Group, LP028-13780
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| LUMOS NETWORKS CORP | 550283105 | COM | 6,978 | $85,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 9,504 | $85,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 30,000 | $85,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $85,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 10,076 | $85,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 5,025 | $85,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 3,614 | $84,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,207 | $84,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,748 | $84,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 40,900 | $84,000 | thousands by filing date | put |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 3,556 | $84,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 5,116 | $84,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 7,163 | $84,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 35,314 | $84,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 3,160 | $84,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 112,000 | $84,000 | thousands by filing date | principal |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 100,000 | $83,000 | thousands by filing date | put |
| STEELCASE INC-CLASS A | 858155203 | CL A | 350,000 | $83,000 | thousands by filing date | put |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 20,647 | $83,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 102,700 | $83,000 | thousands by filing date | put |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 13,951 | $83,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 24,129 | $83,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 38,167 | $83,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 3,475 | $83,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 7,012 | $83,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 2,621 | $83,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 13,563 | $83,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 2,723 | $82,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 4,759 | $82,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 30,945 | $82,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 16,268 | $82,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 5,140 | $82,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 6,173 | $82,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 5,129 | $82,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,055 | $81,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,813 | $81,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 6,019 | $81,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 10,427 | $81,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 13,989 | $81,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 1,420 | $81,000 | thousands by filing date | |
| HEARTWARE INTERNATIONAL | 422368AA8 | NOTE | 81,000 | $81,000 | thousands by filing date | principal |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 3,732 | $81,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 4,500 | $81,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 81,100 | $80,000 | thousands by filing date | put |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 5,475 | $80,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 6,697 | $80,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 11,663 | $80,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,141 | $80,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 6,707 | $80,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 3,736 | $80,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 7,181 | $79,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 14,176 | $79,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 4,980 | $79,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 15,122 | $79,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 43,950 | $79,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,900 | $78,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 2,955 | $78,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 17,201 | $78,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 150,000 | $78,000 | thousands by filing date | put |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 14,831 | $77,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 6,885 | $77,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 3,422 | $77,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,917 | $77,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 87,276 | $77,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 2,958 | $77,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 6,702 | $77,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 1,516 | $76,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 1,027 | $76,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 265,000 | $76,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 501 | $76,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2,923 | $76,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 5,203 | $76,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 6,171 | $76,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 30,543 | $76,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 5,080 | $76,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,978 | $76,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 5,154 | $75,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 5,963 | $75,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 12,543 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 3,245 | $75,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 3,020 | $75,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 20,000 | $75,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 6,000 | $75,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 4,052 | $75,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 24,600 | $74,000 | thousands by filing date | put |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 75,000 | $74,000 | thousands by filing date | put |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 28,000 | $74,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 29,447 | $74,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 23,448 | $74,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 6,000 | $74,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 4,623 | $74,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 462,200 | $73,000 | thousands by filing date | call |
| SEASPINE HLDGS CORP | 81255T108 | COM | 4,519 | $73,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 3,340 | $73,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 7,049 | $73,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 65,000 | $73,000 | thousands by filing date | principal |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 29,698 | $73,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 2,484 | $72,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 5,961 | $72,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 62,195 | $72,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 21,584 | $72,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 6,256 | $72,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 3,738 | $72,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 5,000 | $72,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 4,778 | $72,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 3,174 | $72,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 4,404 | $71,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 7,265 | $71,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 11,831 | $71,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 9,601 | $71,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,105 | $71,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 34,457 | $71,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 2,839 | $71,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 6,501 | $71,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 78,000 | $71,000 | thousands by filing date | principal |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 29,580 | $70,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 7,326 | $70,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 28,242 | $70,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 9,000 | $70,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,885 | $70,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 12,409 | $70,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 10,381 | $70,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 5,661 | $70,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 761,500 | $69,000 | thousands by filing date | call |
| COHU INC | 192576106 | COM | 7,007 | $69,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 4,699 | $69,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 18,275 | $69,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 2,086 | $69,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 11,353 | $69,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 10,008 | $69,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 72,000 | $69,000 | thousands by filing date | principal |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 8,361 | $69,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 75,300 | $68,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 75,000 | $68,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 3,499 | $68,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 3,185 | $68,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 4,402 | $68,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 12,342 | $68,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 57,902 | $68,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 11,514 | $68,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 33,856 | $68,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 21,365 | $68,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 25,323 | $68,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 7,890 | $68,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 9,369 | $67,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 3,880 | $67,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 150,000 | $66,000 | thousands by filing date | call |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 884 | $66,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 4,527 | $66,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,133 | $66,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 67,967 | $66,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 67,148 | $66,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 1,304 | $66,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,823 | $66,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 1,376 | $66,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 614 | $66,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $66,000 | thousands by filing date | principal |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 2,037 | $65,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 21,585 | $65,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 15,500 | $65,000 | thousands by filing date | call |
| XENCOR INC | 98401F105 | COMMON STOCK | 5,373 | $65,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 4,387 | $65,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 36,307 | $65,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 3,474 | $65,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 3,736 | $65,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 7,437 | $65,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 1,478 | $64,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,796 | $64,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 8,300 | $64,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 2,654 | $64,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 6,279 | $64,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 27,668 | $64,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 4,146 | $64,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 29,968 | $64,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 8,765 | $64,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 27,666 | $64,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,434 | $64,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,313 | $63,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 10,662 | $63,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 6,101 | $63,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 3,195 | $63,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 1,728 | $63,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 2,570 | $63,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 7,117 | $63,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 36,639 | $62,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 2,513 | $62,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 27,644 | $62,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 6,232 | $62,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 4,683 | $61,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 1,625 | $61,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 1,096 | $61,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 5,525 | $61,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 2,923 | $61,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,696 | $61,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 215,000 | $60,000 | thousands by filing date | call |
| RENTECH INC | 760112201 | COMMON STOCK | 10,744 | $60,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 20,000 | $59,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 20,000 | $59,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 21,751 | $59,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 2,728 | $59,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 606 | $59,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 4,619 | $59,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 7,193 | $59,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $59,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,101 | $59,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 8,065 | $58,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 3,400 | $58,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 21,112 | $58,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $58,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,495 | $58,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 6,158 | $58,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 3,341 | $58,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 73,000 | $58,000 | thousands by filing date | principal |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 100,000 | $57,000 | thousands by filing date | call |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,879 | $57,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,716 | $57,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 2,390 | $57,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 11,535 | $57,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 24,264 | $57,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 22,081 | $57,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 5,504 | $57,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 4,711 | $57,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 9,008 | $56,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 479,500 | $56,000 | thousands by filing date | call |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 10,325 | $56,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 65,245 | $56,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 3,173 | $56,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 166,872 | $56,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 613 | $56,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 19,675 | $56,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 18,394 | $55,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 2,154 | $55,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 8,714 | $55,000 | thousands by filing date | |
| AIRGAS INC | 009363102 | COM | 159,400 | $55,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 2,369 | $55,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 4,248 | $55,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $54,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 1,779 | $54,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 93,000 | $54,000 | thousands by filing date | call |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 1,015 | $54,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 25,447 | $54,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 4,573 | $54,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 2,846 | $54,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 3,713 | $54,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 200,000 | $53,000 | thousands by filing date | call |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 71,755 | $53,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,313 | $53,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 19,251 | $53,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 13,154 | $53,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 50,000 | $52,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,104 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 793 | $52,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 4,000 | $52,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 1,219 | $52,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 36,700 | $52,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $51,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 7,987 | $51,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,121 | $51,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 3,253 | $51,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 6,100 | $51,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 5,001 | $51,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,650 | $51,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 22,567 | $51,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,315 | $51,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAH5 | NOTE 2.250% 3/3 | 50,000 | $51,000 | thousands by filing date | principal |
| ASTA FUNDING INC | 046220109 | COM | 6,001 | $51,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,100 | $51,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 39,000 | $51,000 | thousands by filing date | principal |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 34,180 | $51,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 20,000 | $50,000 | thousands by filing date | put |
| VSE CORP COM | 918284100 | Stock | 1,252 | $50,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 2,930 | $50,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,017 | $50,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 3,701 | $50,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 9,982 | $50,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 30,669 | $50,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 51,000 | $50,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 19,130 | $50,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,217 | $49,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,381 | $49,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 1,610 | $49,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 1,829 | $49,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,093 | $49,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 8,201 | $49,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 28,200 | $48,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W323 | CMN | 2,450 | $48,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 2,407 | $48,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 7,832 | $48,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,488 | $48,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 856 | $48,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 8,258 | $48,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,743 | $47,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 7,785 | $47,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 24,201 | $47,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 4,003 | $47,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 4,703 | $47,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 30,000 | $46,000 | thousands by filing date | put |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 21,048 | $46,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,000 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 2,885 | $46,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 40,000 | $46,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 46,000 | $46,000 | thousands by filing date | principal |
| AMERESCO INC | 02361E108 | CL A | 7,700 | $45,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 1,270 | $45,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 3,001 | $45,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 4,624 | $45,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 11,410 | $45,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 23,567 | $45,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 62,785 | $45,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 35,154 | $45,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,830 | $45,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,029 | $45,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,628 | $44,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 3,884 | $44,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 13,161 | $44,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,600 | $44,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 123,146 | $43,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 74,200 | $43,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,301 | $43,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 7,810 | $43,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 212,100 | $42,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 41,000 | $42,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,700 | $42,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 6,625 | $42,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,412 | $42,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 7,016 | $42,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,000 | $41,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 50,000 | $41,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 639 | $41,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 1,735 | $41,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 5,132 | $41,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 19,068 | $41,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 4,802 | $41,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 397 | $41,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 530,000 | $40,000 | thousands by filing date | call |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,738 | $40,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 1,012 | $40,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 5,694 | $40,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 25,000 | $39,000 | thousands by filing date | put |
| EHEALTH INC | 28238P109 | COM | 3,074 | $39,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 10,000 | $39,000 | thousands by filing date | put |
| QUINSTREET INC | 74874Q100 | COM | 6,990 | $39,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,152 | $39,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 6,000 | $39,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 28,261 | $39,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 4,000 | $39,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 3,722 | $39,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 4,500 | $38,000 | thousands by filing date | put |
| DAILY JOURNAL CORP | 233912104 | COM | 204 | $38,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 4,580 | $38,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,183 | $38,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 31,500 | $38,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 2,630 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 2,079 | $38,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 3,739 | $38,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 32,139 | $38,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 2,471 | $38,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 248,000 | $37,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 26,100 | $37,000 | thousands by filing date | put |
| JUNIPER NETWORKS INC | 48203R104 | COM | 15,000 | $37,000 | thousands by filing date | put |
| FOREST CITY ENTERPRISES-CL B | 345550305 | COMMON | 1,753 | $37,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 76,100 | $37,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 2,961 | $37,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 45,000 | $37,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22539T563 | BG CP GRTH ETN | 711 | $37,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 70,000 | $36,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,443 | $36,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,500 | $36,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 70,000 | $36,000 | thousands by filing date | call |
| XOMA CORP DEL | 98419J107 | COM | 48,719 | $36,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 16,579 | $36,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,220 | $36,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 10,731 | $36,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,503 | $36,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 3,346 | $36,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 4,077 | $36,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 64,500 | $36,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 10,000 | $35,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 7,275 | $35,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 807 | $35,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 7,000 | $35,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 212,300 | $35,000 | thousands by filing date | call |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 160,000 | $35,000 | thousands by filing date | call |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 2,652 | $35,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,400 | $34,000 | thousands by filing date | put |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 955 | $34,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 567 | $34,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,232 | $34,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 93,220 | $34,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 2,837 | $34,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 633 | $33,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 1,155 | $33,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,955 | $33,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,879 | $33,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 3,284 | $33,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 32,000 | $33,000 | thousands by filing date | principal |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 17,301 | $33,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 11,351 | $33,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,569 | $33,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 2,456 | $33,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 8,108 | $33,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 20,000 | $33,000 | thousands by filing date | principal |
| AIR PRODS & CHEMS INC | 009158106 | COM | 14,500 | $32,000 | thousands by filing date | call |
| PACKAGING CORP AMER COM | 695156109 | Stock | 45,000 | $32,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 600 | $32,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 828 | $32,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 3,473 | $32,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 119,515 | $32,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 32,000 | $32,000 | thousands by filing date | principal |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 2,300 | $32,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 112,900 | $31,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 852 | $31,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,341 | $31,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,413 | $31,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 3,873 | $31,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 3,090 | $31,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,140 | $31,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 3,777 | $31,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 4,579 | $30,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 489,500 | $30,000 | thousands by filing date | call |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 678 | $30,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 4,745 | $30,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,037 | $30,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 713 | $30,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 11,340 | $30,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 1,700 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,240 | $30,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $30,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 15,159 | $30,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 200 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 411 | $29,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,146 | $29,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 16,020 | $29,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 15,325 | $29,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 826 | $29,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 565 | $29,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 22,500 | $29,000 | thousands by filing date | put |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 20,778 | $29,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 3,750 | $29,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 8,060 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 668 | $28,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 82,500 | $28,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,769 | $28,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 29,000 | $28,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 1,771 | $28,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 67,000 | $28,000 | thousands by filing date | principal |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,270 | $28,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 81,400 | $27,000 | thousands by filing date | call |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 585 | $27,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,042 | $27,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 4,173 | $27,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 57,300 | $27,000 | thousands by filing date | call |
| PULASKI FINANCIAL CORP | 745548107 | COM | 2,013 | $27,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 500 | $27,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,400 | $27,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,353 | $27,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $27,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 2,019 | $27,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 27,000 | $27,000 | thousands by filing date | principal |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 6,894 | $26,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 7,943 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 400 | $26,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,241 | $26,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,001 | $26,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 91,300 | $26,000 | thousands by filing date | call |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 21,012 | $26,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 3,469 | $26,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,614 | $26,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 3,990 | $26,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,500 | $26,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 18,735 | $26,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 1,037 | $26,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 9,375 | $26,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 28,400 | $25,000 | thousands by filing date | put |
| TILLYS INC | 886885102 | CL A | 3,357 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 646 | $25,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 6,849 | $25,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 2,401 | $25,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 3,795 | $25,000 | thousands by filing date | |
| HUBBELL INC -CL A | 443510102 | CL A | 232 | $25,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 1,968 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $25,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $25,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 5,605 | $25,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 11,025 | $25,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 3,252 | $25,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L727 | 2XLEV US HG DV | 1,000 | $25,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,207 | $24,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 4,166 | $24,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,369 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 540 | $24,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 1,900 | $24,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 279,200 | $24,000 | thousands by filing date | call |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,000 | $24,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,554 | $24,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 31,581 | $24,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 6,687 | $24,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 9,671 | $24,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 225 | $24,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 2,001 | $23,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-15-000687 | this filing | 2015-11-13 | acceptance time not in the bulk data set |