13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-16, with 6,592 holding rows worth $250,747,850,000.
- Accession
- 0000072971-16-001152
- Filer
- CIK 72971
- Filed
- 2016-05-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 21,312 entries on the cover page, a total value of $250,747,850,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $250,747,850,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 MANAGEMENT, LLC028-06003
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 |
|---|---|---|---|---|---|---|
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 82,263 | $80,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,834 | $79,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 5,517 | $79,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 14,352 | $79,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 8,659 | $79,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 4,238 | $79,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 10,000 | $78,000 | thousands by filing date | put |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 1,709 | $78,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 10,958 | $78,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,024 | $78,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 3,297 | $78,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,157 | $78,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 5,613 | $78,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 5,500 | $78,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 17,482 | $77,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 15,274 | $77,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 2,572 | $77,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 10,173 | $77,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 7,708 | $77,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 4,214 | $77,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 5,268 | $77,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 10,478 | $77,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,967 | $77,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 11,399 | $77,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 47,000 | $77,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 20,159 | $76,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 5,003 | $76,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 14,080 | $76,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 12,044 | $76,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,874 | $76,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 4,187 | $76,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 77,623 | $76,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $75,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 4,697 | $75,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 4,396 | $75,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,150 | $75,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 16,507 | $75,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 2,713 | $75,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,699 | $75,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 5,549 | $75,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 10,658 | $75,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 75,000 | $75,000 | thousands by filing date | principal |
| PENUMBRA INC COM | 70975L107 | Stock | 1,616 | $74,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,070 | $74,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 4,922 | $74,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 5,058 | $74,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,076 | $74,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 4,415 | $74,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 2,002 | $74,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 23,833 | $74,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 9,013 | $74,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 50,000 | $73,000 | thousands by filing date | put |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,626 | $73,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 3,040 | $73,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 7,640 | $73,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 13,255 | $73,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 1,993 | $73,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 76,211 | $73,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 4,888 | $73,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 2,446 | $72,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 144,771 | $72,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 4,853 | $72,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 74,000 | $72,000 | thousands by filing date | principal |
| KEMPHARM INC COM NEW | 488445107 | Stock | 4,944 | $72,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $72,000 | thousands by filing date | principal |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 4,047 | $71,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 6,048 | $71,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 3,962 | $71,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 4,850 | $71,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 11,880 | $71,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 150,000 | $71,000 | thousands by filing date | call |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 14,154 | $71,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 150,000 | $71,000 | thousands by filing date | principal |
| FORD MTR CO COM | 345370860 | Stock | 131,000 | $70,000 | thousands by filing date | put |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 4,428 | $70,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 7,280 | $70,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 4,006 | $70,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 22,500 | $70,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 165,010 | $70,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 20,000 | $70,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 8,457 | $70,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 21,175 | $70,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 134,700 | $69,000 | thousands by filing date | call |
| CARBONITE INC | 141337105 | COM | 8,587 | $69,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 5,312 | $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 |
| EGALET CORP | 28226B104 | COM | 10,102 | $69,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 10,269 | $69,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 1,974 | $68,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 2,153 | $68,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,468 | $68,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 6,991 | $68,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 3,676 | $68,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,400 | $68,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 12,087 | $68,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 11,865 | $67,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 10,075 | $67,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,747 | $67,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 35,133 | $67,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 26,093 | $67,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 129,500 | $67,000 | thousands by filing date | call |
| ECLIPSE RES CORP | 27890G100 | COM | 46,547 | $67,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 8,007 | $67,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 78,800 | $66,000 | thousands by filing date | put |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,247 | $66,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,300 | $65,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 5,174 | $65,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 5,029 | $65,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 12,589 | $65,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 31,158 | $65,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 31,700 | $65,000 | thousands by filing date | call |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 2,169 | $65,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 11,551 | $65,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 5,532 | $65,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 7,754 | $65,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 300,300 | $64,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,466 | $64,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 4,376 | $64,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 2,712 | $64,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 12,487 | $64,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 41,694 | $64,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 7,931 | $64,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 14,504 | $64,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,050 | $64,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 9,844 | $64,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 8,349 | $64,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 3,962 | $63,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 28,353 | $63,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 49,811 | $63,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 7,843 | $63,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 4,765 | $63,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 11,402 | $63,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 8,572 | $63,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 7,307 | $63,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 3,267 | $63,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 123,100 | $62,000 | thousands by filing date | call |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,943 | $62,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 2,752 | $62,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 4,190 | $62,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 98,870 | $62,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 2,415 | $62,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $62,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 3,758 | $62,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 6,314 | $62,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 29,000 | $62,000 | thousands by filing date | principal |
| ADECOAGRO S A | L00849106 | COM | 5,306 | $61,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 2,082 | $61,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,671 | $61,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 2,446 | $61,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 170,549 | $61,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 6,395 | $61,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 27,111 | $61,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 2,528 | $61,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 1,322 | $61,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 4,251 | $61,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 15,000 | $60,000 | thousands by filing date | put |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 7,424 | $60,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 4,550 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 1,134 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 3,170 | $60,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 13,446 | $60,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 1,642 | $59,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 7,390 | $59,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 18,876 | $59,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 1,293 | $58,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 165,700 | $58,000 | thousands by filing date | call |
| Lifetime Brands Inc | 53222Q103 | COM | 3,827 | $58,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 45,063 | $58,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 4,217 | $58,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 8,201 | $58,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 6,392 | $58,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 49,000 | $58,000 | thousands by filing date | principal |
| Procter & Gamble Co | 742718109 | COM | 77,800 | $57,000 | thousands by filing date | call |
| CNH INDL N V SHS | N20944109 | Stock | 8,502 | $57,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 20,000 | $57,000 | thousands by filing date | call |
| PAMT CORP | 693149106 | COMMON STOCK | 1,912 | $57,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 100,744 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 2,250 | $57,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 7,041 | $57,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 16,977 | $57,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 9,780 | $56,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,898 | $56,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 4,995 | $56,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 1,841 | $56,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 7,126 | $56,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 81,358 | $56,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 28,053 | $56,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 8,733 | $56,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 14,692 | $56,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 26,880 | $55,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,600 | $55,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 277,672 | $55,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 4,975 | $55,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 6,151 | $54,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 5,026 | $54,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 34,328 | $54,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 25,481 | $54,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 7,500 | $54,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 10,933 | $54,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 3,650 | $54,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 15,050 | $54,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 8,900 | $54,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 8,508 | $54,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 1,969 | $53,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 11,300 | $53,000 | thousands by filing date | put |
| CAI INTERNATIONAL INC | 12477X106 | COM | 5,550 | $53,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,315 | $53,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,100 | $53,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 5,044 | $53,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 24,361 | $53,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 13,820 | $52,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,571 | $52,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 2,085 | $52,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 2,025 | $52,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 6,526 | $52,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 3,713 | $52,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 9,554 | $51,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 4,000 | $51,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 89,000 | $51,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 13,810 | $50,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,843 | $50,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,833 | $50,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 6,625 | $50,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 3,503 | $50,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 2,413 | $50,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,167 | $50,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 81,172 | $49,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 13,528 | $49,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 4,000 | $49,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,724 | $49,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 4,271 | $49,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 4,260 | $49,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 27,888 | $49,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 2,709 | $49,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 50,000 | $49,000 | thousands by filing date | principal |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 6,585 | $48,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 843 | $48,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 9,454 | $48,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 50,000 | $47,000 | thousands by filing date | call |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 65,400 | $47,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,281,032 | $47,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 42,569 | $47,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,830 | $47,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 20,139 | $47,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 6,991 | $47,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $46,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 5,948 | $46,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 7,150 | $46,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 19,851 | $46,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 14,436 | $46,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,954 | $46,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 375 | $45,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 7,483 | $45,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 2,026 | $45,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 27,325 | $45,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 24,952 | $45,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 45,209 | $45,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 4,483 | $45,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 5,559 | $45,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 16,884 | $45,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R301 | Cmn | 23,973 | $45,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 226 | $44,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 3,655 | $44,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 70,500 | $44,000 | thousands by filing date | put |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 15,948 | $44,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 950 | $44,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 50,000 | $44,000 | thousands by filing date | put |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,431 | $44,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 13,864 | $44,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 43,000 | $43,000 | thousands by filing date | call |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 3,101 | $43,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 4,392 | $43,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 3,959 | $43,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 3,900 | $43,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 1,359 | $43,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 2,832 | $43,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,701 | $43,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 5,464 | $43,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 19,151 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 868 | $42,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,500 | $42,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 9,982 | $42,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 80,000 | $42,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,654 | $42,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,932 | $42,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 2,106 | $42,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 695 | $42,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 759 | $42,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,899 | $42,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 4,421 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 639 | $41,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 18,558 | $41,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 2,837 | $41,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 4,875 | $41,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $41,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 37,148 | $41,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 9,849 | $41,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 16,222 | $41,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,538 | $41,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,395 | $41,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 6,564 | $41,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 5,000 | $41,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 25,000 | $40,000 | thousands by filing date | put |
| MIMECAST LIMITED | G14838109 | ORD SHS | 4,135 | $40,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 15,926 | $40,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 8,269 | $40,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 9,031 | $40,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 10,000 | $40,000 | thousands by filing date | call |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 530 | $40,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 77,400 | $39,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 658 | $39,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 7,855 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 1,756 | $39,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 5,607 | $39,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 39,000 | $39,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,506 | $39,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 12,216 | $39,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 3,001 | $39,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 748 | $38,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,359 | $38,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,175 | $38,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 48,443 | $38,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 2,594 | $38,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 6,131 | $38,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,944 | $38,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 3,952 | $37,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 807 | $37,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 1,500 | $37,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 13,701 | $37,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,596 | $37,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 15,759 | $37,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 6,038 | $37,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 11,034 | $37,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 6,804 | $37,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 68,704 | $37,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 1,753 | $37,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 30,100 | $36,000 | thousands by filing date | put |
| PAR TECHNOLOGY CORP | 698884103 | COM | 5,493 | $36,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 2,591 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 1,550 | $36,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 3,414 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,604 | $36,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 45,682 | $36,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 8,179 | $36,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 433 | $36,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,067 | $36,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 221,200 | $35,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 1,090 | $35,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 7,073 | $35,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 14,247 | $35,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 1,458 | $35,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 4,354 | $35,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 4,925 | $34,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 3,506 | $34,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,576 | $34,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 36,101 | $34,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,800 | $34,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 20,000 | $34,000 | thousands by filing date | put |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 9,370 | $34,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 752 | $34,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $34,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 13,582 | $34,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 871 | $33,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,989 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,434 | $33,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 10,841 | $33,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 62,830 | $33,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 250,000 | $33,000 | thousands by filing date | put |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 58,385 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 2,230 | $33,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 23,825 | $33,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 2,248 | $33,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,291 | $33,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,152 | $33,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 3,301 | $33,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 50,000 | $32,000 | thousands by filing date | call |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 1,197 | $32,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 4,184 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 411 | $32,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 9,926 | $32,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 32,000 | $32,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 28,721 | $32,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 5,200 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,257 | $32,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 2,456 | $32,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,338 | $32,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 60,000 | $31,000 | thousands by filing date | call |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 493 | $31,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 9,020 | $31,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 2,363 | $31,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 8,651 | $31,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 265 | $31,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 36,500 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,000 | $31,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,873 | $31,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 1,147 | $31,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 7,511 | $31,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 100,000 | $30,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 66,200 | $30,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,858 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 401 | $30,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,056 | $30,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 25,000 | $30,000 | thousands by filing date | call |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 3,200 | $30,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,785 | $30,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 13,394 | $30,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,926 | $30,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 2,063 | $30,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 1,800 | $30,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 3,918 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 89,300 | $29,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 1,237 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 1,746 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 668 | $28,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 19,495 | $28,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 12,601 | $28,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 26,738 | $28,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 17,708 | $28,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 29,000 | $28,000 | thousands by filing date | principal |
| YUME INC | 98872B104 | COM | 7,446 | $28,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 4,278 | $28,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 19,650 | $28,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,357 | $27,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,985 | $27,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,751 | $27,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 15,500 | $27,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 10,207 | $27,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 33,386 | $27,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,001 | $27,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,838 | $27,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 67,000 | $27,000 | thousands by filing date | principal |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 9,745 | $27,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 970 | $27,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 162,000 | $26,000 | thousands by filing date | put |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,861 | $26,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,610 | $26,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,401 | $26,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 14,764 | $26,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,341 | $26,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 69,883 | $26,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 18,000 | $26,000 | thousands by filing date | principal |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 652 | $26,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 20,116 | $26,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 2,400 | $26,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 197,100 | $25,000 | thousands by filing date | call |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 3,409 | $25,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,000 | $25,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,000 | $25,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 50,700 | $25,000 | thousands by filing date | call |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 3,135 | $25,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,772 | $25,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 7,925 | $25,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 32,992 | $25,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,288 | $25,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,753 | $25,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 29,700 | $25,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 937 | $25,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,110 | $25,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $25,000 | thousands by filing date | principal |
| Apple Inc | 037833100 | COM | 190,000 | $24,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 2,000 | $24,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,667 | $24,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,849 | $24,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 3,401 | $24,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,700 | $24,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $24,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 391 | $24,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $24,000 | thousands by filing date | principal |
| ENERGY FUELS INC | 292671708 | COM NEW | 10,588 | $23,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 2,000 | $23,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 64,585 | $23,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 20,145 | $23,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,016 | $23,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 2,376 | $23,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 16,792 | $23,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 4,041 | $23,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 437 | $23,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 468 | $23,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 1,711 | $23,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 20,371 | $23,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 731 | $22,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 42,800 | $22,000 | thousands by filing date | put |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 342 | $22,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 2,235 | $22,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 4,200 | $22,000 | thousands by filing date | put |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,692 | $22,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 9,560 | $22,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 29,379 | $22,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,600 | $22,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,601 | $22,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,434 | $22,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RVY4 | MTNF 0.125 2/2 | 22,000 | $22,000 | thousands by filing date | principal |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 2,300 | $22,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 7,551 | $22,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 502 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 80,000 | $21,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 667 | $21,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 461 | $21,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 44,557 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-16-001152 | this filing | 2016-05-16 | acceptance time not in the bulk data set |