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 |
|---|---|---|---|---|---|---|
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,855 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 751 | $21,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,801 | $21,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 8,000 | $21,000 | thousands by filing date | principal |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,005 | $21,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 5,392 | $21,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 28,200 | $21,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 5,041 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 898 | $21,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 1,160 | $21,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 606 | $21,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,204 | $21,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,490 | $21,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 21,000 | $21,000 | thousands by filing date | principal |
| SUNE 2 10/01/18 | 86732YAC3 | Bond 30/360P2 U | 38,000 | $21,000 | thousands by filing date | principal |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 2,500 | $21,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 8,620 | $20,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 4,270 | $20,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 6,954 | $20,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 2,501 | $20,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 701 | $20,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,272 | $20,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 1,508 | $20,000 | thousands by filing date | |
| FIRST CLOVER LEAF FINANCIAL | 31969M105 | COM | 2,116 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 793 | $20,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 3,939 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 21,000 | $20,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 550 | $19,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 11,161 | $19,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 3,735 | $19,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 2,918 | $19,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 3,112 | $19,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 12,671 | $19,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 27,470 | $19,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 16,065 | $19,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N203 | Cmn | 26,584 | $19,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 3,732 | $18,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 5,788 | $18,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 30,000 | $18,000 | thousands by filing date | put |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 10,000 | $18,000 | thousands by filing date | call |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $18,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 960 | $18,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,979 | $18,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,942 | $18,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 17,372 | $18,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,000 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 914 | $18,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 58,648 | $18,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,271 | $18,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 8,310 | $18,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 25,000 | $17,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 373 | $17,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,801 | $17,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 2,901 | $17,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 2,691 | $17,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,204 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 737 | $17,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 4,128 | $17,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 233 | $17,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 380 | $17,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 146 | $17,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,500 | $17,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 459 | $16,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 12,400 | $16,000 | thousands by filing date | call |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 3,400 | $16,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 3,000 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 452 | $16,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 29,652 | $16,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 4,100 | $16,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 7,000 | $16,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,301 | $16,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,803 | $16,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 500 | $16,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 6,986 | $16,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 19,000 | $16,000 | thousands by filing date | principal |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 31,006 | $16,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,052 | $16,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 901 | $15,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 7,748 | $15,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 2,315 | $15,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 229 | $15,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 345 | $15,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 14,478 | $15,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,667 | $15,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 2,893 | $15,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $15,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 11,753 | $15,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 195 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 222 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 5,200 | $14,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 332 | $14,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 477 | $14,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 3,056 | $14,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 53,400 | $14,000 | thousands by filing date | call |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,656 | $14,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,275 | $14,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 593 | $14,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 690 | $14,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $14,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 4,427 | $14,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 4,931 | $14,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,321 | $14,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 250 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 911 | $14,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,075 | $14,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,972 | $14,000 | thousands by filing date | |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 110,400 | $14,000 | thousands by filing date | call |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 5,500 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 561 | $14,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 25,000 | $13,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $13,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,517 | $13,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 91 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 255 | $13,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 4,631 | $13,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 757 | $13,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 3,400 | $13,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 7,109 | $13,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 600,000 | $13,000 | thousands by filing date | put |
| BAXALTA INC | 07177M103 | COM | 24,900 | $13,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 492 | $13,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 750 | $13,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,147 | $13,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,801 | $13,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 342 | $13,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 1,977 | $13,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 992 | $13,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 7,579 | $13,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 2,282 | $13,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,995 | $12,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 204,400 | $12,000 | thousands by filing date | call |
| TRANSALTA CORP | 89346D107 | COM | 2,517 | $12,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 100,000 | $12,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 475 | $12,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 483 | $12,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 400 | $12,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 160 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 10,511 | $12,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 13,000 | $12,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,755 | $12,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 356 | $12,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 800 | $12,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $12,000 | thousands by filing date | principal |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 746 | $12,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 54,513 | $12,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 26,785 | $12,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 2,210 | $12,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 3,037 | $12,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 21,012 | $12,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,700 | $12,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 611 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 339 | $12,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 1,501 | $12,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 4,779 | $12,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $12,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 479 | $12,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 379 | $12,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,300 | $11,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 9,000 | $11,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 17,100 | $11,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 4,300 | $11,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 112,000 | $11,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 58,900 | $11,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 15,452 | $11,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 937 | $11,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 5,105 | $11,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 521 | $11,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 400 | $11,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 186 | $11,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 801 | $11,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,205 | $11,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 2,278 | $11,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,500 | $11,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,000 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 748 | $11,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 4,118 | $11,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 590 | $11,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 2,433 | $11,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 409 | $11,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 325 | $11,000 | thousands by filing date | |
| SUNEDISON INC | 86732YAH2 | Bond | 320,000 | $11,000 | thousands by filing date | principal |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 300 | $10,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,621 | $10,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 338 | $10,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 35,000 | $10,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 1,000 | $10,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 1,005 | $10,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 480 | $10,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,201 | $10,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,016 | $10,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 17,800 | $10,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,050 | $10,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,107 | $10,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 401 | $10,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,000 | $10,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 528 | $10,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,164 | $10,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,600 | $10,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 12,232 | $10,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,223 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 153 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $10,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 2,000 | $10,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,001 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 350 | $10,000 | thousands by filing date | |
| BAYLAKE CORP | 072788102 | COM | 605 | $10,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 1,246 | $10,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 5,440 | $10,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 9,100 | $9,000 | thousands by filing date | call |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 125 | $9,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 255,900 | $9,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 16,454 | $9,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 381 | $9,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 39,444 | $9,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 6,250 | $9,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 4,636 | $9,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 12,800 | $9,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $9,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 670 | $9,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,100 | $9,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 441 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,400 | $9,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 1,084 | $9,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 3,539 | $9,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 250,000 | $9,000 | thousands by filing date | put |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,000 | $9,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 11,500 | $9,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $9,000 | thousands by filing date | principal |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 2,033 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,322 | $9,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 1,269 | $9,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,401 | $9,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 9,000 | $9,000 | thousands by filing date | principal |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 11,000 | $9,000 | thousands by filing date | principal |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,126 | $9,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 248 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 86 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 88 | $9,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,000 | $9,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 25,300 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 81 | $9,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 15,628 | $9,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 178 | $9,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 5,612 | $9,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,874 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 1,890 | $9,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 436 | $9,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 11,000 | $9,000 | thousands by filing date | principal |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 9,000 | $9,000 | thousands by filing date | principal |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 14,579 | $9,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 13,400 | $8,000 | thousands by filing date | put |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 6,400 | $8,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 40,000 | $8,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 10,000 | $8,000 | thousands by filing date | call |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 2,200 | $8,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 166 | $8,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,118 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $8,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 6,537 | $8,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 9,600 | $8,000 | thousands by filing date | call |
| VERITEX HLDGS INC | 923451108 | COM | 569 | $8,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 4,800 | $8,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 100 | $8,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 206 | $8,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 564 | $8,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 668 | $8,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $8,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 40,900 | $8,000 | thousands by filing date | put |
| EXA CORP | 300614500 | COM | 631 | $8,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,073 | $8,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 4,552 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 220 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 1,001 | $8,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 423 | $8,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 2,631 | $8,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 1,053 | $8,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 35,400 | $8,000 | thousands by filing date | put |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 1,000 | $8,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 811 | $8,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,020 | $8,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 3,270 | $8,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 264 | $8,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 370 | $7,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 671 | $7,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 3,500 | $7,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 347 | $7,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 743 | $7,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,500 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 193 | $7,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 177 | $7,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 233 | $7,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 511 | $7,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 62,401 | $7,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 268 | $7,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 800 | $7,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 627 | $7,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,317 | $7,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 2,241 | $7,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 483 | $7,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 319 | $7,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 1,801 | $7,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 15,325 | $7,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 115 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,300 | $7,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 128 | $7,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $7,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $7,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,478 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $7,000 | thousands by filing date | principal |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 5,000 | $7,000 | thousands by filing date | principal |
| AIR PRODS & CHEMS INC | 009158106 | COM | 60,000 | $6,000 | thousands by filing date | put |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 600 | $6,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 7,200 | $6,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,521 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,059 | $6,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 568 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 89 | $6,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 952 | $6,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 3,720 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 603 | $6,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 579 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $6,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,500 | $6,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $6,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 503 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $6,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 779 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,012 | $6,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 13,000 | $6,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,022 | $6,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 10,000 | $6,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 710 | $6,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 6,371 | $6,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 728 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 314 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 200 | $6,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 6,161 | $6,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 500 | $6,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 2,164 | $6,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 135 | $6,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 5,000 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 4,000 | $6,000 | thousands by filing date | principal |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 500 | $6,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 100,000 | $5,000 | thousands by filing date | put |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 10,000 | $5,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 225 | $5,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 1,146 | $5,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 50 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $5,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 50,000 | $5,000 | thousands by filing date | call |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $5,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 222 | $5,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 294 | $5,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 1,263 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,001 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,012 | $5,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 308 | $5,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 500 | $5,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 11,000 | $5,000 | thousands by filing date | principal |
| Castle Brands Inc | 148435100 | COM | 5,408 | $5,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 417 | $5,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $5,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,000 | $5,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 60 | $5,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 5,301 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 125 | $5,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 325 | $5,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 26,200 | $5,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 247 | $5,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 3,000 | $5,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,000 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 259 | $5,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,000 | $5,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 136 | $5,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 576 | $5,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 2,348 | $5,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 435 | $5,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 898 | $4,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 182 | $4,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,682 | $4,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,190 | $4,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,800 | $4,000 | thousands by filing date | call |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 13,900 | $4,000 | thousands by filing date | call |
| VERINT SYS INC | 92343X100 | COM | 5,600 | $4,000 | thousands by filing date | call |
| L BRANDS INC | 501797104 | COM | 5,000 | $4,000 | thousands by filing date | put |
| UFP TECHNOLOGIES INC | 902673102 | COM | 201 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 345 | $4,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 225 | $4,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 202 | $4,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 7,440 | $4,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 151 | $4,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 444 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 210 | $4,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 508 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 131 | $4,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 7,800 | $4,000 | thousands by filing date | put |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 20,000 | $4,000 | thousands by filing date | put |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 1,500 | $4,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,000 | $4,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 360 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 189 | $4,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 6,600 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 7,329 | $4,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 250 | $4,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 3,200 | $4,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 337 | $4,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 5,934 | $4,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 143 | $4,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 8,659 | $4,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 2,225 | $4,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 2,557 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 593 | $4,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 800 | $4,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 794 | $4,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 2,363 | $4,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $4,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 1,682 | $4,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 320 | $4,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 1,056 | $4,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 4,500 | $4,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 561 | $4,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 190 | $4,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 122 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 239 | $4,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 598 | $4,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $4,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 1,090 | $4,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $4,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 1,582 | $4,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 892 | $4,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 419 | $4,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 172 | $4,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 100 | $4,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 3,263 | $4,000 | thousands by filing date | |
| CARDICA INC | 14141R309 | COM NEW | 1,095 | $4,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 5,000 | $3,000 | thousands by filing date | put |
| NEWELL BRANDS INC COM | 651229106 | Stock | 29,200 | $3,000 | thousands by filing date | put |
| BLOCK H & R INC COM | 093671105 | Stock | 62,600 | $3,000 | thousands by filing date | call |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 48 | $3,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 239 | $3,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 200 | $3,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 20,000 | $3,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 978 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,155 | $3,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 154 | $3,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 763 | $3,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 851 | $3,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 171,500 | $3,000 | thousands by filing date | call |
| NORBORD INC | 65548P403 | COM NEW | 140 | $3,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,210 | $3,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 400 | $3,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 400 | $3,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 78 | $3,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| QLT INC | 746927102 | COMMON STOCK | 1,545 | $3,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 937 | $3,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 5,100 | $3,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 803 | $3,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 101 | $3,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 354 | $3,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 700 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $3,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 700 | $3,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,966 | $3,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 499 | $3,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 10,000 | $3,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 501 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,496 | $3,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 1,000 | $3,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 275 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 301 | $3,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 252 | $3,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 100 | $3,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 400 | $3,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 200 | $3,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 568 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,250 | $3,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 200 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 50 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,800 | $3,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 500 | $3,000 | 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 |