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 |
|---|---|---|---|---|---|---|
| GLOBAL NET LEASE INC | 379378102 | COM | 2,490 | $23,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 3,533 | $23,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,700 | $23,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,753 | $23,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,900 | $23,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 33,637 | $23,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 801 | $23,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 1,800 | $23,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767EAB8 | NOTE 2.000 8/1 | 30,000 | $23,000 | thousands by filing date | principal |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 2,001 | $23,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,657 | $22,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 104,400 | $22,000 | thousands by filing date | call |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 3,735 | $22,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 8,805 | $22,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 6,417 | $22,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 9,898 | $22,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 686 | $22,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 3,807 | $22,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 2,476 | $22,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 530 | $22,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,651 | $22,000 | thousands by filing date | |
| AVATAR HLDGS INC | 053494AG5 | NOTE 7.500% 2/1 | 22,000 | $22,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 694 | $22,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 228 | $22,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 7,400 | $21,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 12,200 | $21,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,001 | $21,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 683 | $21,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 1,391 | $21,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 4,651 | $21,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,247 | $21,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,413 | $21,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 844 | $21,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 4,427 | $21,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 12,782 | $21,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 37,195 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 714 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 575 | $21,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 1,246 | $21,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 50,000 | $20,000 | thousands by filing date | put |
| ENERGY RECOVERY INC | 29270J100 | COM | 9,250 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,450 | $20,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,901 | $20,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 50,000 | $20,000 | thousands by filing date | put |
| Northeast Community Bancorp Inc | 664112109 | COM | 2,752 | $20,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,000 | $20,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 2,360 | $20,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 922 | $20,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 421 | $20,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,202 | $20,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 20,000 | $20,000 | thousands by filing date | principal |
| FIRST CLOVER LEAF FINANCIAL | 31969M105 | COM | 2,115 | $20,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 3,796 | $20,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 1,783 | $20,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 5,830 | $20,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 21,741 | $20,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,264 | $19,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 20,000 | $19,000 | thousands by filing date | put |
| AXT INC | 00246W103 | COM | 10,000 | $19,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 112,392 | $19,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 80,000 | $19,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 423 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 700 | $19,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 3,489 | $19,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 2,446 | $19,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,490 | $19,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 24,300 | $19,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 743 | $19,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 15,800 | $18,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,682 | $18,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 7,200 | $18,000 | thousands by filing date | put |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 3,561 | $18,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,000 | $18,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 1,032 | $18,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,200 | $18,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 4,300 | $18,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 5,659 | $18,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 733 | $18,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,865 | $18,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 592 | $18,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,272 | $18,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 1,500 | $18,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 21,000 | $18,000 | thousands by filing date | principal |
| CELLADON CORP | 15117E107 | Cmn | 17,284 | $18,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,800 | $17,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 2,000 | $17,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,250 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 550 | $17,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 2,450 | $17,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,341 | $17,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,505 | $17,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 5,440 | $17,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,293 | $17,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 2,105 | $17,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,578 | $17,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,288 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 738 | $17,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,501 | $17,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 1,408 | $17,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 2,015 | $17,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 82,000 | $16,000 | thousands by filing date | put |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 102,100 | $16,000 | thousands by filing date | call |
| ARAMARK COM | 03852U106 | Stock | 17,400 | $16,000 | thousands by filing date | put |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 2,094 | $16,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,200 | $16,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,300 | $16,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,416 | $16,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 102,000 | $16,000 | thousands by filing date | call |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,627 | $16,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,695 | $16,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 16,000 | $16,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,800 | $16,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 500 | $16,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 231 | $16,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 519 | $16,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R109 | SEL LC VAL ETF | 400 | $16,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 2,000 | $16,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,237 | $16,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 2,000 | $16,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 11,700 | $15,000 | thousands by filing date | put |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 33,500 | $15,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 7,108 | $15,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $15,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,941 | $15,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 2,342 | $15,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 10,000 | $15,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 28,600 | $15,000 | thousands by filing date | call |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 7,000 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 1,036 | $15,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 734 | $15,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 7,579 | $15,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 113,200 | $14,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 150,000 | $14,000 | thousands by filing date | put |
| iShares TIPS Bond ETF | 464287176 | SHS | 35,000 | $14,000 | thousands by filing date | call |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 428 | $14,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 500 | $14,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 1,101 | $14,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 915 | $14,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 301 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $14,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 74,945 | $14,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 50,000 | $14,000 | thousands by filing date | put |
| TEARLAB CORP | 878193101 | COM | 7,100 | $14,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,994 | $14,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,004 | $14,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 4,050 | $14,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $14,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 1,000 | $14,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 865 | $14,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 11,300 | $13,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 2,827 | $13,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 224 | $13,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 17,800 | $13,000 | thousands by filing date | put |
| HESS CORP | 42809H107 | COM | 16,000 | $13,000 | thousands by filing date | put |
| CAPITALA FIN CORP | 14054R106 | COM | 1,001 | $13,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,015 | $13,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 400 | $13,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,521 | $13,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 740 | $13,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 229 | $13,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 962 | $13,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,000 | $13,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 15,512 | $13,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 7,101 | $13,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 7,000 | $13,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 344 | $13,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 700 | $13,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 4,300 | $13,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 6,501 | $13,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 210 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 393 | $13,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 660 | $13,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 922 | $13,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 24,605 | $13,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 285 | $13,000 | thousands by filing date | |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 1,000 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 222 | $12,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 63,200 | $12,000 | thousands by filing date | call |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 77 | $12,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 2,500 | $12,000 | thousands by filing date | put |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 298 | $12,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 195 | $12,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 148,900 | $12,000 | thousands by filing date | call |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 3,762 | $12,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 15,800 | $12,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 12,952 | $12,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 727 | $12,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 40,225 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 600 | $12,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,271 | $12,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,942 | $12,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 505 | $12,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 2,043 | $12,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,895 | $12,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,500 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 2,790 | $12,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 139 | $12,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,128 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 437 | $12,000 | thousands by filing date | |
| NQ MOBILE INC | 64118UAB4 | Note | 17,000 | $12,000 | thousands by filing date | principal |
| LOGITECH INTL S A SHS | H50430232 | Stock | 822 | $11,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 4,550 | $11,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,201 | $11,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,400 | $11,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 1,100 | $11,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 7,000 | $11,000 | thousands by filing date | |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 400 | $11,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 18,418 | $11,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 610 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 833 | $11,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,000 | $11,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 12,000 | $11,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $11,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,535 | $11,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 5,000 | $11,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 350,000 | $10,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 1,000 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $10,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 600 | $10,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 746 | $10,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 11,500 | $10,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 400 | $10,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 1,975 | $10,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 1,062 | $10,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,607 | $10,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 8,077 | $10,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 300 | $10,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 529 | $10,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,001 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 350 | $10,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 8,000 | $10,000 | thousands by filing date | principal |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,557 | $10,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 301 | $9,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,220 | $9,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 714 | $9,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $9,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 424 | $9,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 510 | $9,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 1,796 | $9,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 10,829 | $9,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,000 | $9,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,600 | $9,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 12,000 | $9,000 | thousands by filing date | principal |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 9,000 | $9,000 | thousands by filing date | principal |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 6,371 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 153 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 300 | $9,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| PepsiCo,Inc. | 713448108 | COM | 21,100 | $8,000 | thousands by filing date | call |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 85 | $8,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 600 | $8,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,383 | $8,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 163 | $8,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 163,800 | $8,000 | thousands by filing date | call |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 703 | $8,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 1,490 | $8,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 7,218 | $8,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 22,700 | $8,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 250 | $8,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 2,391 | $8,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 20,000 | $8,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 5,001 | $8,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 7,675 | $8,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,000 | $8,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 11,000 | $8,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 200 | $8,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,060 | $8,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 501 | $8,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 620 | $8,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 500 | $8,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 1,095 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 600 | $8,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 1,209 | $8,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 1,720 | $8,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 500 | $8,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 40,000 | $7,000 | thousands by filing date | call |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 109 | $7,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 237,600 | $7,000 | thousands by filing date | call |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 97,700 | $7,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 73 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $7,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,231 | $7,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 524 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 100 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 385 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $7,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 878 | $7,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,205 | $7,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,113 | $7,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 600 | $7,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 700 | $7,000 | thousands by filing date | put |
| JINPAN INTL LTD | G5138L100 | ORD | 2,001 | $7,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 107,600 | $7,000 | thousands by filing date | call |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 484 | $7,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 4,000 | $7,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,709 | $7,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 470 | $7,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 6,832 | $7,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 4,960 | $7,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 502 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 115 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,302 | $7,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 6,161 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $7,000 | thousands by filing date | principal |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 981 | $7,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 701 | $7,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 3,473 | $7,000 | thousands by filing date | |
| SOLAR3D INC | 83417A209 | COM NEW | 2,549 | $7,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 1,300 | $6,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,722 | $6,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 19,559 | $6,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 4,351 | $6,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 400 | $6,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 5,000 | $6,000 | thousands by filing date | put |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 321 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 262 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 353 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $6,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 569 | $6,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 501 | $6,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 268 | $6,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,123 | $6,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 302 | $6,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 2,000 | $6,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 726 | $6,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 325 | $6,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 2,304 | $6,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 21,200 | $6,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 830 | $6,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 134 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 314 | $6,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 483 | $6,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,001 | $6,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 557 | $6,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 443 | $6,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 5,000 | $6,000 | thousands by filing date | principal |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 5,100 | $6,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 10,000 | $6,000 | thousands by filing date | principal |
| NORANDA ALUMINUM HOLDING CORP | 65542W206 | COM | 3,942 | $6,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 31,300 | $5,000 | thousands by filing date | call |
| CSX Corporation | 126408103 | COM | 100,000 | $5,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,601 | $5,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 105 | $5,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,000 | $5,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 189 | $5,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 400 | $5,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 1,700 | $5,000 | thousands by filing date | put |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 276 | $5,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 408 | $5,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 1,045 | $5,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 79 | $5,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 202 | $5,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 7,440 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $5,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,834 | $5,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 2,633 | $5,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 260 | $5,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 1,171 | $5,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 18,000 | $5,000 | thousands by filing date | call |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 5,000 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,322 | $5,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 5,661 | $5,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $5,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 115 | $5,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 717 | $5,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 437 | $5,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 469 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,360 | $5,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 112 | $5,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 247 | $5,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 510 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 276 | $5,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $5,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 544 | $5,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 410 | $5,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 8,600 | $4,000 | thousands by filing date | put |
| YELP INC CL A | 985817105 | Stock | 20,000 | $4,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 25,000 | $4,000 | thousands by filing date | call |
| MOODYS CORP COM | 615369105 | Stock | 800 | $4,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 3,973 | $4,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 200 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 177 | $4,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 15,000 | $4,000 | thousands by filing date | call |
| CODEXIS INC | 192005106 | COM | 1,145 | $4,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 239 | $4,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 18,300 | $4,000 | thousands by filing date | call |
| TRUPANION INC | 898202106 | COM | 478 | $4,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 530 | $4,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 150 | $4,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 763 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 131 | $4,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 200 | $4,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 11,000 | $4,000 | thousands by filing date | put |
| VERTEX ENERGY INC | 92534K107 | COM | 2,000 | $4,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 308 | $4,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 40,300 | $4,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 242 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 190 | $4,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 12,526 | $4,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 12,400 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 593 | $4,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,993 | $4,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 301 | $4,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 9,338 | $4,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 188 | $4,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 121 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 300 | $4,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 647 | $4,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 400 | $4,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,175 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 146 | $4,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 300 | $4,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,000 | $4,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 629 | $4,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 205 | $4,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 301 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 11,832 | $4,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,325 | $4,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 2,200 | $4,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 122 | $3,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 103 | $3,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 1,600 | $3,000 | thousands by filing date | put |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 283 | $3,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 6,200 | $3,000 | thousands by filing date | call |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 349 | $3,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 7,000 | $3,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 146 | $3,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 600 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 240 | $3,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,801 | $3,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 200 | $3,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 101 | $3,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 100 | $3,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 528 | $3,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 165 | $3,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,539 | $3,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 851 | $3,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 503 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $3,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 2,020 | $3,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 284 | $3,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 700 | $3,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 1,400 | $3,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 500 | $3,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 783 | $3,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 100 | $3,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 400 | $3,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 3,000 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 168 | $3,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 568 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 50 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 2,700 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 501 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 221 | $3,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 565 | $3,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 600 | $3,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 656 | $3,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 3,000 | $3,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 230 | $3,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 21,600 | $3,000 | thousands by filing date | put |
| PRESBIA PLC | G7234P100 | SHS | 575 | $3,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,500 | $3,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 269 | $3,000 | thousands by filing date | |
| ATRM HLDGS INC | 04964A103 | COM | 882 | $3,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 37,000 | $2,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 800 | $2,000 | thousands by filing date | put |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 10,100 | $2,000 | thousands by filing date | call |
| COMMVAULT SYS INC COM | 204166102 | Stock | 24,300 | $2,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 19,500 | $2,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,100 | $2,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 46,700 | $2,000 | thousands by filing date | call |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 369 | $2,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 55 | $2,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 12,900 | $2,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 100 | $2,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 244 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 31 | $2,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 301 | $2,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 9,600 | $2,000 | thousands by filing date | call |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 400 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,011 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 68 | $2,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 500 | $2,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 313 | $2,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 150 | $2,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 92 | $2,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 302 | $2,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 581 | $2,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 200 | $2,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,000 | $2,000 | 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 |