13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-09, with 6,698 holding rows worth $253,305,468,000.
- Accession
- 0000072971-16-000981
- Filer
- CIK 72971
- Filed
- 2016-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 19,299 entries on the cover page, a total value of $253,305,468,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $253,305,468,000 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 |
|---|---|---|---|---|---|---|
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,748 | $89,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 2,059 | $89,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 3,724 | $89,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 7,389 | $89,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 100,000 | $88,000 | thousands by filing date | call |
| READING INTL INC | 755408101 | CL A | 6,696 | $88,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 54,275 | $88,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 984 | $87,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 120,000 | $87,000 | thousands by filing date | call |
| VERA BRADLEY INC | 92335C106 | COM | 5,543 | $87,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 4,421 | $87,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 16,617 | $87,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 3,850 | $87,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 4,220 | $87,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 600 | $87,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 15,131 | $86,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 2,957 | $86,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 4,746 | $86,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 7,365 | $86,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 2,064 | $86,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 4,980 | $86,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 12,814 | $86,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 3,741 | $86,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 2,956 | $86,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 2,623 | $86,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 12,566 | $86,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 16,550 | $85,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 81,600 | $85,000 | thousands by filing date | put |
| COHU INC | 192576106 | COM | 7,013 | $85,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 18,604 | $85,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 92,000 | $85,000 | thousands by filing date | principal |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 24,180 | $85,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 10,116 | $85,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 6,410 | $85,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 14,196 | $85,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 30,997 | $85,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 34,801 | $85,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,357 | $85,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 9,609 | $85,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 3,509 | $85,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 1,154 | $84,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,523 | $84,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 3,171 | $84,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 4,092 | $84,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 9,237 | $84,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 50,000 | $84,000 | thousands by filing date | call |
| ALMOST FAMILY INC | 020409108 | COM | 2,193 | $84,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 10,001 | $84,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 4,912 | $84,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 8,487 | $84,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 2,915 | $83,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 4,478 | $83,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 34,252 | $83,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 8,299 | $83,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 50,797 | $83,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 4,169 | $83,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 11,712 | $82,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 6,475 | $82,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 3,287 | $82,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 6,527 | $82,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 3,550 | $81,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 20,839 | $81,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 3,415 | $81,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 13,579 | $81,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 4,049 | $81,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 10,164 | $80,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 30,976 | $80,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 6,222 | $80,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,409 | $80,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 145,000 | $79,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 20,000 | $79,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 550,000 | $79,000 | thousands by filing date | call |
| YUM BRANDS INC COM | 988498101 | Stock | 124,000 | $79,000 | thousands by filing date | call |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,883 | $79,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 7,812 | $79,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 59,966 | $79,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 20,574 | $79,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 139,000 | $79,000 | thousands by filing date | principal |
| MOBILEIRON INC | 60739U204 | COM NEW | 21,798 | $79,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 83,297 | $79,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 39,200 | $78,000 | thousands by filing date | call |
| VSE CORP COM | 918284100 | Stock | 1,251 | $78,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 556 | $78,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 20,758 | $78,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 15,167 | $78,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,131 | $78,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,796 | $78,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 6,026 | $78,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 6,889 | $78,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 6,152 | $77,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 3,614 | $77,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 275,402 | $77,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 591,500 | $77,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,277,233 | $77,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 7,349 | $77,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,829 | $76,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,135 | $76,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 13,406 | $76,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 12,354 | $76,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 4,375 | $76,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 11,973 | $76,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 6,500 | $76,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 9,011 | $76,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 32,185 | $76,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 17,731 | $76,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 70,318 | $76,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 4,672 | $75,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,204 | $75,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 24,692 | $75,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 3,286 | $75,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 3,740 | $75,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 5,001 | $75,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 8,877 | $74,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,616 | $74,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 11,804 | $74,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 11,085 | $74,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 2,969 | $74,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,793 | $74,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 7,045 | $74,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 5,993 | $74,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 74,000 | $74,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W323 | CMN | 3,750 | $73,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,539 | $73,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,714 | $73,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 7,352 | $73,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,070 | $73,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 5,801 | $73,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 30,000 | $72,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 90,800 | $72,000 | thousands by filing date | call |
| PENUMBRA INC COM | 70975L107 | Stock | 1,330 | $72,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 7,081 | $72,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 11,544 | $72,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,342 | $72,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 4,149 | $72,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 20,000 | $72,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 6,611 | $72,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 2,708 | $71,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 9,900 | $71,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 4,528 | $71,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,831 | $71,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 8,740 | $71,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 102,600 | $70,000 | thousands by filing date | call |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 4,922 | $70,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,041 | $70,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 61,767 | $70,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 103,592 | $70,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 5,579 | $70,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 110,000 | $69,000 | thousands by filing date | call |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 5,878 | $69,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 4,778 | $69,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 68,000 | $69,000 | thousands by filing date | principal |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 13,050 | $69,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 12,104 | $68,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,627 | $68,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 6,882 | $68,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 2,654 | $68,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 3,738 | $68,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 25,090 | $68,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 10,600 | $68,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 3,344 | $68,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 22,000 | $68,000 | thousands by filing date | principal |
| MERCADOLIBREINC | 58733R102 | STOK | 10,000 | $67,000 | thousands by filing date | put |
| CSW INDUSTRIALS INC | 126402106 | COM | 1,771 | $67,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,150 | $67,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 9,191 | $67,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,850 | $67,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 19,230 | $67,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 6,283 | $67,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 1,234 | $67,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 9,439 | $67,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 21,520 | $67,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 3,369 | $67,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 1,474 | $66,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 58,150 | $66,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 12,835 | $66,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 18,296 | $66,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 5,915 | $66,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,808 | $66,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 3,553 | $66,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,401 | $66,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 445,100 | $65,000 | thousands by filing date | put |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,954 | $65,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 7,053 | $65,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 4,832 | $65,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 36,076 | $65,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,126 | $65,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 9,096 | $65,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 4,891 | $65,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 10,656 | $65,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 7,196 | $65,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 6,054 | $65,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 20,665 | $64,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 19,562 | $64,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,882 | $64,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 16,285 | $64,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 4,613 | $64,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 2,551 | $64,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,726 | $64,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 59,000 | $64,000 | thousands by filing date | principal |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 5,275 | $63,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 3,387 | $63,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 36,006 | $63,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $63,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $63,000 | thousands by filing date | principal |
| OPPENHEIMER REV WEIGHTED ETF | 68386C609 | NAVELR A100 ETF | 1,348 | $63,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 3,844 | $62,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 22,975 | $62,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 9,389 | $62,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 3,238 | $61,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 4,058 | $61,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 4,759 | $61,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 2,618 | $61,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 1,097 | $61,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 6,093 | $61,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 87,276 | $61,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $61,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 10,776 | $61,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 10,743 | $60,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 9,771 | $60,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 2,416 | $60,000 | thousands by filing date | |
| BREEZE-EASTERN CORP | 106764103 | COMM STK | 3,007 | $60,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 3,065 | $60,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 36,639 | $59,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,301 | $59,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 14,818 | $59,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 10,425 | $59,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 89,000 | $59,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 4,765 | $59,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 4,151 | $58,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 31,277 | $58,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 57,402 | $58,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 4,654 | $57,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 10,317 | $57,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 5,602 | $57,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 6,500 | $57,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 66,200 | $56,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 30,000 | $56,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 2,051 | $56,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 27,340 | $56,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 3,971 | $56,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,921 | $56,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 7,712 | $56,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 92,600 | $55,000 | thousands by filing date | call |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 26,880 | $55,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 160,600 | $55,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 500,000 | $55,000 | thousands by filing date | put |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 15,500 | $55,000 | thousands by filing date | call |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 4,624 | $55,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 25,424 | $55,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 29,202 | $55,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 13,916 | $55,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $54,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 2,832 | $54,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 1,263 | $53,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 21,465 | $53,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 100,000 | $53,000 | thousands by filing date | call |
| XOMA CORP DEL | 98419J107 | COM | 39,790 | $53,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,022 | $52,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 30,000 | $52,000 | thousands by filing date | put |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 5,677 | $52,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 1,270 | $52,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 9,982 | $52,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 8,880 | $52,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 8,214 | $52,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 6,958 | $52,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 5,757 | $52,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 22,550 | $52,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 4,000 | $52,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 23,825 | $52,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,315 | $52,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 11,294 | $52,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 10,010 | $52,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 3,712 | $52,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 3,721 | $51,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,660 | $51,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,315 | $51,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 2,085 | $51,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 235,000 | $50,000 | thousands by filing date | call |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 321,900 | $50,000 | thousands by filing date | call |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 12,817 | $50,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 2,053 | $50,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 15,765 | $50,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAH5 | NOTE 2.250% 3/3 | 50,000 | $50,000 | thousands by filing date | principal |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,889 | $50,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,489 | $50,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 6,625 | $50,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,100 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 770 | $49,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 100,000 | $49,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 7,997 | $49,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 650,000 | $49,000 | thousands by filing date | call |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,688 | $49,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 4,875 | $49,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 1,829 | $49,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 7,832 | $49,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 4,730 | $49,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 7,079 | $48,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 7,705 | $48,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 3,500 | $48,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 4,766 | $48,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 3,408 | $48,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 12,285 | $48,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 7,805 | $48,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 1,951 | $48,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 33,400 | $47,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 1,216 | $47,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,717 | $47,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 2,235 | $47,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 4,756 | $47,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 10,673 | $47,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 12,359 | $47,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 3,665 | $47,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,830 | $47,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 50,000 | $47,000 | thousands by filing date | principal |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 4,095 | $46,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,382 | $46,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 1,013 | $46,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 3,000 | $46,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,568 | $46,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 8,698 | $46,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 18,704 | $46,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,660 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 639 | $45,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,893 | $45,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $45,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 4,447 | $45,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,020 | $45,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,540 | $45,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 3,885 | $45,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,897 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,839 | $44,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 6,300 | $44,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 5,572 | $44,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 42,774 | $44,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 41,356 | $44,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,492 | $44,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,769 | $44,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 9,722 | $44,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 20,000 | $43,000 | thousands by filing date | call |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 3,840 | $43,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,637 | $43,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 21,202 | $43,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 1,350 | $43,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,700 | $43,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 32,622 | $43,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 29,000 | $42,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 18,404 | $42,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 300,000 | $42,000 | thousands by filing date | put |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 14,082 | $42,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 4,392 | $42,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,159 | $42,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 2,731 | $42,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 4,577 | $42,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,800 | $42,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 49,000 | $42,000 | thousands by filing date | principal |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 13,301 | $42,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 63,900 | $41,000 | thousands by filing date | call |
| CATALENT INC USD 0.01 | 148806102 | COM | 49,300 | $41,000 | thousands by filing date | put |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 14,655 | $41,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 13,880 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,751 | $41,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 433 | $41,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 11,973 | $41,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 5,668 | $41,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 5,609 | $41,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 200 | $40,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 11,647 | $40,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 2,043 | $40,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 767 | $40,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 191,013 | $40,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,270 | $40,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 783 | $39,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 993 | $39,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 2,175 | $39,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,435 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 3,209 | $39,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 8,719 | $39,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 18,400 | $38,000 | thousands by filing date | put |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,216 | $38,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES-CL B | 345550305 | COMMON | 1,753 | $38,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 759 | $38,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 2,456 | $38,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 1,673 | $38,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 32,315 | $38,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 22,500 | $38,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 4,564 | $37,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 12,400 | $37,000 | thousands by filing date | put |
| EQT CORP COM | 26884L109 | Stock | 76,000 | $37,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 291,000 | $37,000 | thousands by filing date | call |
| PAR TECHNOLOGY CORP | 698884103 | COM | 5,493 | $37,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,805 | $37,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 7,746 | $37,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 1,540 | $37,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 2,651 | $37,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 31,000 | $36,000 | thousands by filing date | call |
| LULULEMON ATHLETICA INC | 550021109 | COM | 10,000 | $36,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 690370101 | COM | 2,934 | $36,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 303 | $36,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 808 | $36,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 3,101 | $36,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 49,686 | $36,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 2,396 | $36,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 10,732 | $36,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,444 | $36,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 2,662 | $36,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 4,612 | $36,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 14,246 | $36,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 4,000 | $36,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 265,900 | $35,000 | thousands by filing date | put |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 13,700 | $35,000 | thousands by filing date | put |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 121,542 | $35,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,742 | $35,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 2,302 | $35,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 3,500 | $35,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 9,944 | $35,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 12,923 | $35,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 32,000 | $35,000 | thousands by filing date | principal |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,031 | $35,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,175 | $35,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 325,000 | $34,000 | thousands by filing date | call |
| REGENXBIO INC | 75901B107 | COM | 2,078 | $34,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 23,499 | $34,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 9,560 | $34,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 4,121 | $34,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,055 | $34,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 19,141 | $34,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 17,300 | $33,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 2,000 | $33,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 1,488 | $33,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 2,248 | $33,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 1,800 | $33,000 | thousands by filing date | |
| AVOLON HLDGS LTD | G52237107 | COM | 1,065 | $33,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 2,570 | $33,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,000 | $32,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 583,600 | $32,000 | thousands by filing date | call |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 570 | $32,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 813 | $32,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 63,002 | $32,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 4,397 | $32,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 65,730 | $32,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 6,000 | $32,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 32,000 | $32,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 3,096 | $32,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 1,005 | $32,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 432 | $32,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $32,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 30,000 | $32,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 402 | $31,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 5,215 | $31,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,418 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 411 | $31,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,110 | $31,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,538 | $31,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 62,830 | $31,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 17,999 | $31,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 93,220 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 1,934 | $31,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 3,750 | $31,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 10,200 | $30,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 9,143 | $30,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 6,981 | $30,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 3,455 | $30,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 668 | $30,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 650 | $30,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 9,672 | $30,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 6,849 | $30,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,388 | $30,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 11,481 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,240 | $30,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 5,999 | $30,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,434 | $30,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 3,156 | $30,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 28,526 | $30,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 46,000 | $29,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 700 | $29,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 1,608 | $29,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 6,002 | $29,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,414 | $29,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,751 | $29,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 7,754 | $29,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,500 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $28,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,886 | $28,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,044 | $28,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,000 | $28,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 17,198 | $28,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 138,921 | $28,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 3,663 | $28,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,310 | $28,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 3,253 | $28,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 28,261 | $28,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 67,000 | $28,000 | thousands by filing date | principal |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,152 | $28,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 78,500 | $27,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 400,000 | $27,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 84,400 | $27,000 | thousands by filing date | put |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,407 | $27,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,141 | $27,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,774 | $27,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 3,502 | $27,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-16-000981 | this filing | 2016-02-09 | acceptance time not in the bulk data set |