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 |
|---|---|---|---|---|---|---|
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 29,742 | $1,973,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 1,250,000 | $1,956,000 | thousands by filing date | principal |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 51,081 | $1,952,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 42,381 | $1,952,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 600,450 | $1,951,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 49,160 | $1,951,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 57,913 | $1,950,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 36,272 | $1,947,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 72,230 | $1,947,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 308,400 | $1,944,000 | thousands by filing date | put |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 57,124 | $1,944,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 137,066 | $1,941,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 251,296 | $1,940,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 75,674 | $1,938,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 153,963 | $1,937,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 136,152 | $1,935,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 229,266 | $1,935,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 273,568 | $1,934,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 164,361 | $1,933,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 343,038 | $1,928,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 14,404 | $1,927,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 122,856 | $1,926,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 96,884 | $1,926,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 114,163 | $1,926,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 122,589 | $1,926,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 47,268 | $1,924,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 48,689 | $1,923,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 111,571 | $1,921,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 138,037 | $1,917,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 262,790 | $1,916,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 76,699 | $1,914,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 162,477 | $1,913,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 8,837 | $1,912,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 56,397 | $1,911,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 113,009 | $1,910,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 42,436 | $1,906,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 91,363 | $1,904,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 111,443 | $1,904,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 78,143 | $1,902,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 279,400 | $1,895,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 157,993 | $1,893,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 87,735 | $1,890,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 39,993 | $1,884,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 70,906 | $1,880,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 98,384 | $1,878,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 314,475 | $1,876,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 162,249 | $1,874,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 113,553 | $1,873,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 63,032 | $1,872,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 152,468 | $1,872,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 1,800,684 | $1,872,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 75,146 | $1,870,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 155,867 | $1,864,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 110,578 | $1,864,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 527,864 | $1,863,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 223,104 | $1,858,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 134,710 | $1,855,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 163,257 | $1,854,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 125,774 | $1,854,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 46,447 | $1,850,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 132,720 | $1,849,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 52,759 | $1,847,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 45,125 | $1,837,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 39,364 | $1,836,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 139,766 | $1,834,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 54,765 | $1,829,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 113,285 | $1,827,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 118,667 | $1,827,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 276,546 | $1,825,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 113,283 | $1,822,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 27,878 | $1,816,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 2,260,000 | $1,811,000 | thousands by filing date | principal |
| GLADSTONE LAND CORP | 376549101 | REIT | 196,358 | $1,803,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 146,191 | $1,801,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 45,660 | $1,800,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 283,237 | $1,798,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 130,000 | $1,798,000 | thousands by filing date | put |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 440,446 | $1,797,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 133,687 | $1,796,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 76,512 | $1,796,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 93,333 | $1,794,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 129,835 | $1,793,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 159,513 | $1,792,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,114,000 | $1,789,000 | thousands by filing date | principal |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 133,268 | $1,786,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 28,173 | $1,776,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 179,556 | $1,774,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 1,027,000 | $1,770,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 1,784,000 | $1,763,000 | thousands by filing date | principal |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 22,682 | $1,762,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 142,977 | $1,761,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 317,022 | $1,759,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 116,396 | $1,757,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 178,700 | $1,756,000 | thousands by filing date | put |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 29,328 | $1,753,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 42,488 | $1,746,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 108,471 | $1,746,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 43,398 | $1,744,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 39,611 | $1,743,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 1,894,000 | $1,741,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 255,725 | $1,737,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,045,000 | $1,730,000 | thousands by filing date | principal |
| AVNET INC COM | 053807103 | Stock | 40,508 | $1,729,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 336,045 | $1,727,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 264,037 | $1,727,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 249,730 | $1,725,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 117,500 | $1,721,000 | thousands by filing date | put |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 90,035 | $1,721,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 73,164 | $1,721,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 20,193 | $1,720,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 43,892 | $1,720,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 131,233 | $1,717,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 350,723 | $1,715,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 12,028 | $1,711,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 92,936 | $1,711,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 62,906 | $1,711,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 35,604 | $1,710,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 51,748 | $1,707,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 388,034 | $1,703,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 32,886 | $1,701,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 132,797 | $1,694,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 150,620 | $1,694,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 110,628 | $1,693,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 4,336,829 | $1,692,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 118,657 | $1,689,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 322,964 | $1,686,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 124,553 | $1,684,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 126,579 | $1,683,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 35,100 | $1,672,000 | thousands by filing date | put |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 316,274 | $1,669,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 43,959 | $1,669,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 57,093 | $1,664,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 53,971 | $1,656,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 165,556 | $1,655,000 | thousands by filing date | |
| NEWPORT CORP | 651824104 | COM | 120,236 | $1,654,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 107,941 | $1,654,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 98,364 | $1,649,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 80,207 | $1,648,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 137,014 | $1,647,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 80,159 | $1,645,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 80,050 | $1,642,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 65,143 | $1,641,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 340,582 | $1,638,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 40,335 | $1,635,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 34,518 | $1,634,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 78,485 | $1,633,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 33,818 | $1,628,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 60,820 | $1,625,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 155,631 | $1,623,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 68,865 | $1,621,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 177,476 | $1,620,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 33,371 | $1,619,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 94,966 | $1,618,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 176,833 | $1,616,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 50,889 | $1,612,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 309,577 | $1,610,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 78,315 | $1,608,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 114,758 | $1,606,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 28,841 | $1,606,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 82,279 | $1,604,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 49,479 | $1,600,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 51,156 | $1,599,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 125,300 | $1,597,000 | thousands by filing date | put |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 56,091 | $1,597,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 66,074 | $1,594,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 64,618 | $1,591,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 245,359 | $1,590,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 84,572 | $1,589,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 41,597 | $1,589,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 161,300 | $1,588,000 | thousands by filing date | put |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 29,141 | $1,585,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 66,390 | $1,580,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 195,746 | $1,580,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 116,472 | $1,579,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 1,570,000 | $1,578,000 | thousands by filing date | principal |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 121,118 | $1,577,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 786,000 | $1,574,000 | thousands by filing date | call |
| CBS CORP NEW | 124857202 | CL B | 141,500 | $1,568,000 | thousands by filing date | put |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 44,737 | $1,567,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 36,453 | $1,565,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 28,278 | $1,564,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,403,000 | $1,563,000 | thousands by filing date | principal |
| HRG GROUP INC COM | 40434J100 | Stock | 132,839 | $1,558,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 125,072 | $1,557,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 1,517,000 | $1,555,000 | thousands by filing date | principal |
| ConocoPhillips | 20825C104 | COM | 275,000 | $1,554,000 | thousands by filing date | put |
| YAMANA GOLD INC | 98462Y100 | COM | 910,386 | $1,548,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 147,337 | $1,547,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 71,813 | $1,543,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 99,902 | $1,543,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 26,997 | $1,541,000 | thousands by filing date | principal |
| SPROTT FOCUS TR INC | 85208J109 | COM | 260,174 | $1,538,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 35,099 | $1,537,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 92,401 | $1,536,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 48,551 | $1,528,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 170,325 | $1,528,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 111,623 | $1,526,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 61,157 | $1,525,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 48,681 | $1,525,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 14,516 | $1,525,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 121,595 | $1,523,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 53,178 | $1,522,000 | thousands by filing date | |
| AKORN INC | 009728AB2 | NOTE 3.500% 6/0 | 469,000 | $1,521,000 | thousands by filing date | principal |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 218,291 | $1,517,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 18,387 | $1,516,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 323,372 | $1,516,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 336,495 | $1,515,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 20,309 | $1,511,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 77,696 | $1,510,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 53,123 | $1,509,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 1,418,900 | $1,507,000 | thousands by filing date | put |
| OSHKOSH CORP COM | 688239201 | Stock | 41,493 | $1,507,000 | thousands by filing date | |
| GENESEE & WYO INC | 371559204 | UNIT 10/01/2015 | 16,570 | $1,506,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 61,161 | $1,505,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 245,195 | $1,503,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 27,293 | $1,501,000 | thousands by filing date | |
| SYMETRA FINANCIAL CORP | 87151Q106 | COMMON STOCK | 47,445 | $1,501,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 107,395 | $1,500,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 46,740 | $1,498,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 1,455,000 | $1,498,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X867 | CMN | 43,199 | $1,497,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 52,029 | $1,494,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 114,110 | $1,493,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 71,054 | $1,492,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 144,487 | $1,492,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 92,530 | $1,491,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 413,400 | $1,489,000 | thousands by filing date | put |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 165,181 | $1,483,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 16,391 | $1,479,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 59,809 | $1,479,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 30,397 | $1,477,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 91,221 | $1,475,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 206,233 | $1,474,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 35,822 | $1,472,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 58,164 | $1,468,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 109,712 | $1,465,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,313,842 | $1,457,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 145,115 | $1,456,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 90,357 | $1,456,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 112,151 | $1,450,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 50,999 | $1,446,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 31,513 | $1,445,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 177,532 | $1,443,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 54,345 | $1,440,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 44,433 | $1,437,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 117,124 | $1,437,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 93,106 | $1,435,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 63,205 | $1,433,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 101,638 | $1,431,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 109,185 | $1,429,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 41,391 | $1,425,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 56,194 | $1,425,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 1,506,000 | $1,425,000 | thousands by filing date | principal |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 220,052 | $1,424,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 30,026 | $1,421,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 156,173 | $1,416,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 209,083 | $1,416,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 129,832 | $1,413,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 262,662 | $1,411,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 85,014 | $1,407,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 106,976 | $1,407,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 28,406 | $1,406,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 45,574 | $1,406,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 89,127 | $1,405,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 54,923 | $1,404,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 43,240 | $1,401,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 250,677 | $1,399,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 68,617 | $1,394,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 117,689 | $1,390,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 58,133 | $1,383,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 26,323 | $1,380,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 18,629 | $1,379,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 132,991 | $1,378,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 133,336 | $1,378,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 26,496 | $1,375,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 1,393,000 | $1,374,000 | thousands by filing date | principal |
| BulletShares 2024 Corporate | 18383M233 | COM | 68,319 | $1,372,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 38,193 | $1,370,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 34,260 | $1,369,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 102,112 | $1,368,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 116,150 | $1,368,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 220,952 | $1,364,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 33,534 | $1,364,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 232,928 | $1,359,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 69,608 | $1,358,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 100,875 | $1,354,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 45,813 | $1,353,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 134,276 | $1,353,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 112,032 | $1,353,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 136,069 | $1,349,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 51,804 | $1,346,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 38,219 | $1,345,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 606,200 | $1,344,000 | thousands by filing date | put |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 830,031 | $1,344,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 28,198 | $1,343,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 87,932 | $1,340,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 94,358 | $1,335,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 36,941 | $1,335,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 867,000 | $1,335,000 | thousands by filing date | principal |
| CATHAY GEN BANCORP | 149150104 | COM | 44,491 | $1,333,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 92,758 | $1,332,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 120,456 | $1,329,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 96,821 | $1,329,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 205,000 | $1,327,000 | thousands by filing date | put |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 78,069 | $1,327,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 262,178 | $1,327,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 595,100 | $1,326,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 199,561 | $1,325,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 63,497 | $1,325,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 45,976 | $1,324,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 38,020 | $1,323,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 133,721 | $1,323,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 343,522 | $1,322,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 168,867 | $1,321,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 49,394 | $1,319,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 91,736 | $1,318,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 17,370 | $1,316,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 48,253 | $1,316,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 51,714 | $1,315,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 35,373 | $1,315,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 35,935 | $1,312,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 17,656 | $1,306,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 82,584 | $1,305,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 16,651 | $1,304,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 49,485 | $1,297,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 284,586 | $1,297,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 89,015 | $1,296,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 49,365 | $1,296,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 102,350 | $1,295,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 142,396 | $1,288,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 142,383 | $1,284,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 115,018 | $1,282,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 24,001 | $1,282,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 31,390 | $1,282,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 46,366 | $1,279,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 239,700 | $1,277,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 24,021 | $1,277,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 176,670 | $1,276,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 83,083 | $1,273,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 84,870 | $1,272,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 108,717 | $1,272,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 256,990 | $1,269,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 25,696 | $1,267,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 32,150 | $1,263,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 20,186 | $1,261,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 40,549 | $1,260,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 50,150 | $1,259,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 76,204 | $1,256,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 113,236 | $1,251,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 84,107 | $1,247,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 11,440 | $1,247,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 194,480 | $1,243,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 105,000 | $1,239,000 | thousands by filing date | put |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 191,774 | $1,239,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 86,400 | $1,237,000 | thousands by filing date | put |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 91,194 | $1,237,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 76,271 | $1,237,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 59,823 | $1,236,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 97,066 | $1,236,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 122,805 | $1,234,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 2,002,014 | $1,233,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 173,404 | $1,232,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 84,200 | $1,227,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 127,741 | $1,227,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 91,725 | $1,226,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 14,311 | $1,222,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 68,144 | $1,218,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 95,000 | $1,218,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 128,666 | $1,217,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 56,549 | $1,214,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 44,421 | $1,210,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 405,989 | $1,206,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 56,908 | $1,204,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 44,462 | $1,200,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 38,726 | $1,199,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,303,348 | $1,199,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 95,507 | $1,197,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 49,849 | $1,197,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 976,000 | $1,197,000 | thousands by filing date | principal |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 71,548 | $1,195,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 116,571 | $1,195,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 24,257 | $1,192,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 85,735 | $1,191,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 71,006 | $1,189,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 72,171 | $1,189,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 34,957 | $1,188,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 477,389 | $1,188,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 161,720 | $1,181,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 81,197 | $1,180,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 153,105 | $1,180,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 43,743 | $1,179,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 34,991 | $1,178,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 18,703 | $1,178,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 34,645 | $1,173,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 1,017,590 | $1,170,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 66,300 | $1,168,000 | thousands by filing date | put |
| Lion Biotechnologies | 53619R102 | COM | 201,101 | $1,159,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 53,160 | $1,158,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 103,907 | $1,156,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 36,651 | $1,152,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AD6 | NOTE 3.250%10/0 | 1,000,000 | $1,152,000 | thousands by filing date | principal |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 92,365 | $1,149,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 60,083 | $1,149,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 71,987 | $1,146,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 38,423 | $1,145,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 97,474 | $1,145,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 52,575 | $1,143,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 71,139 | $1,136,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 50,087 | $1,133,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 188,406 | $1,132,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 30,945 | $1,126,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 31,334 | $1,124,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 71,299 | $1,123,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 14,126 | $1,122,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 153,988 | $1,118,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 40,793 | $1,118,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 174,076 | $1,117,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 16,999 | $1,112,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 298,822 | $1,112,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 24,113 | $1,111,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 56,777 | $1,110,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 46,006 | $1,109,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 27,843 | $1,109,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 140,734 | $1,107,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 26,948 | $1,106,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 28,910 | $1,103,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 87,785 | $1,103,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 43,084 | $1,100,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 87,297 | $1,096,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 67,732 | $1,094,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 32,372 | $1,092,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 112,765 | $1,091,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 2,599 | $1,090,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 351,453 | $1,090,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 28,974 | $1,088,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 44,420 | $1,088,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 68,728 | $1,087,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 98,951 | $1,085,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 48,753 | $1,084,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 91,034 | $1,082,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 34,231 | $1,082,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 56,913 | $1,082,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 112,800 | $1,081,000 | thousands by filing date | put |
| CVB FINL CORP COM | 126600105 | Stock | 64,657 | $1,080,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 15,562 | $1,078,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 56,457 | $1,075,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 92,253 | $1,073,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 40,381 | $1,073,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 43,881 | $1,071,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 84,500 | $1,069,000 | thousands by filing date | put |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 1,506,200 | $1,069,000 | thousands by filing date | call |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 77,459 | $1,067,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 229,770 | $1,066,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 30,293 | $1,062,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 56,279 | $1,061,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 40,000 | $1,056,000 | thousands by filing date | put |
| CON-WAY INC | 205944101 | COM | 22,257 | $1,056,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 22,464 | $1,055,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 63,139 | $1,052,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 435,786 | $1,050,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 82,067 | $1,047,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 18,139 | $1,046,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 140,380 | $1,046,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 16,252 | $1,045,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 41,706 | $1,044,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 176,455 | $1,043,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 47,040 | $1,041,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 45,791 | $1,041,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 27,644 | $1,039,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 66,098 | $1,038,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 35,681 | $1,037,000 | thousands by filing date | |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 62,629 | $1,036,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 21,634 | $1,031,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 19,652 | $1,030,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 24,952 | $1,028,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 43,504 | $1,027,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 18,300 | $1,027,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 37,767 | $1,026,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 56,161 | $1,026,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 44,839 | $1,024,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 176,417 | $1,023,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 68,965 | $1,023,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 112,846 | $1,021,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 42,914 | $1,021,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 116,803 | $1,020,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 21,239 | $1,019,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 103,008 | $1,018,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 29,329 | $1,016,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 78,386 | $1,016,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 19,210 | $1,015,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 51,979 | $1,015,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 463,000 | $1,015,000 | thousands by filing date | principal |
| NEW SR INVT GROUP INC | 648691103 | COM | 97,037 | $1,014,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 75,350 | $1,012,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 83,174 | $1,011,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 342,128 | $1,009,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 68,717 | $1,009,000 | thousands by filing date | |
| STANCORP FINL GROUP INC | 852891100 | COM | 8,818 | $1,007,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 24,910 | $1,007,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 400,000 | $1,005,000 | thousands by filing date | put |
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 |