13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-11, with 6,483 holding rows worth $258,086,869,000.
- Accession
- 0000072971-16-001234
- Filer
- CIK 72971
- Filed
- 2016-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 19,346 entries on the cover page, a total value of $258,086,869,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $258,086,869,000 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 |
|---|---|---|---|---|---|---|
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 8,770 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 1,001 | $75,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 4,000 | $75,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 13,296 | $75,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 3,023 | $75,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 13,572 | $74,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 4,428 | $74,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,054 | $74,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,523 | $74,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 1,950 | $74,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 9,585 | $74,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,500 | $74,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 33,100 | $73,000 | thousands by filing date | put |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 43,450 | $73,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 4,400 | $73,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 11,000 | $73,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 17,550 | $73,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $72,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 25,000 | $72,000 | thousands by filing date | put |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 9,854 | $72,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 4,469 | $72,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,705 | $72,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 2,375 | $72,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 5,433 | $72,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 4,002 | $72,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 8,274 | $72,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 13,900 | $72,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,401 | $71,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,058 | $71,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $71,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 8,500 | $71,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 65,000 | $71,000 | thousands by filing date | put |
| ISHARES | 464286848 | EXCHANGE TRADED | 500,000 | $71,000 | thousands by filing date | put |
| SPARTAN MTRS INC | 846819100 | COM | 11,300 | $71,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 6,880 | $71,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 10,020 | $71,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 32,885 | $71,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 7,947 | $71,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,258 | $71,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 13,136 | $71,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 36,000 | $70,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 14,549 | $70,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 4,001 | $70,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 16,075 | $70,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 36,063 | $70,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 3,128 | $70,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $70,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,400 | $70,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 8,719 | $70,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 17,622 | $70,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 3,115 | $70,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 2,500 | $69,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 12,487 | $69,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 2,643 | $69,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,215 | $69,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 3,230 | $69,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 10,009 | $68,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 17,275 | $68,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 4,700 | $68,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 2,908 | $68,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 10,355 | $68,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 39,500 | $67,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 230,800 | $67,000 | thousands by filing date | put |
| CRA INTL INC | 12618T105 | COM | 2,659 | $67,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,659 | $67,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 14,000 | $67,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 20,404 | $67,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 23,488 | $66,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,500 | $66,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 50,000 | $66,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 46,111 | $66,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 7,915 | $66,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,769 | $66,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,649 | $66,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 21,681 | $66,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 15,000 | $66,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 33,000 | $66,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 713 | $65,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,644 | $65,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 3,200 | $65,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 1,189 | $65,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 30,000 | $65,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $65,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 3,500 | $65,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 4,151 | $65,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 33,193 | $65,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 9,300 | $64,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 5,833 | $64,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 2,752 | $64,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,609 | $64,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 75,000 | $64,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 38,435 | $64,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 9,280 | $64,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 107,000 | $64,000 | thousands by filing date | principal |
| CONCORDIA INTL CORP | 20653P102 | COM | 11,400 | $64,000 | thousands by filing date | put |
| TREVENA INC | 89532E109 | COM | 10,132 | $64,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 10,822 | $64,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 8,910 | $64,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 3,712 | $64,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 45,800 | $63,000 | thousands by filing date | put |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,172 | $63,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 14,223 | $63,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,088 | $63,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,667 | $63,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 6,352 | $63,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 10,564 | $63,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $63,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 9,797 | $63,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 1,701 | $63,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 21,830 | $62,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,242 | $62,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 4,617 | $62,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 6,380 | $62,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 14,402 | $62,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 22,503 | $62,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,500 | $62,000 | thousands by filing date | |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 103,135 | $62,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,192 | $61,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 4,400 | $61,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 22,972 | $61,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 3,016 | $61,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 11,939 | $61,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 11,248 | $61,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 5,540 | $61,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 40,000 | $60,000 | thousands by filing date | call |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 2,762 | $60,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 19,200 | $60,000 | thousands by filing date | put |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 7,094 | $60,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 158,000 | $59,000 | thousands by filing date | call |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,976 | $59,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 27,073 | $59,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 44,416 | $59,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 6,182 | $59,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 34,798 | $59,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 25,901 | $59,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 218,900 | $58,000 | thousands by filing date | put |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 2,417 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,255 | $58,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 7,501 | $58,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,836 | $58,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 18,401 | $58,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 10,800 | $57,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 8,447 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,600 | $57,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 1,840 | $57,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,256 | $57,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,400 | $57,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 4,785 | $57,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 26,880 | $56,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 82,900 | $56,000 | thousands by filing date | put |
| EHEALTH INC | 28238P109 | COM | 4,000 | $56,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 229,000 | $56,000 | thousands by filing date | call |
| HURCO CO | 447324104 | COM | 2,004 | $56,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 6,901 | $56,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 2,584 | $56,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 5,984 | $56,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 89,000 | $56,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 5,607 | $56,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 775 | $56,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,300 | $56,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 3,651 | $56,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 1,475 | $56,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 14,400 | $55,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 5,400 | $55,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 85,000 | $55,000 | thousands by filing date | principal |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,860 | $55,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 2,800 | $55,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3,542 | $54,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 24,295 | $54,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 85,800 | $54,000 | thousands by filing date | call |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 1,800 | $54,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 2,593 | $54,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 8,633 | $54,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 56,400 | $53,000 | thousands by filing date | put |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,901 | $53,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 7,519 | $53,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 6,981 | $53,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 10,311 | $53,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,834 | $53,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 5,600 | $53,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 2,015 | $53,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 6,625 | $53,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 7,107 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 2,173 | $53,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 3,300 | $52,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 600 | $52,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,831 | $52,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,279 | $52,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 3,493 | $52,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,771 | $52,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 7,573 | $52,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 5,001 | $52,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 4,093 | $52,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 3,412 | $52,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 2,916 | $52,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 9,285 | $51,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 2,400 | $51,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,300 | $51,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 8,571 | $50,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,606 | $50,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 5,192 | $50,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 6,129 | $50,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 60,000 | $50,000 | thousands by filing date | call |
| ENDOCYTE INC | 29269A102 | COM | 15,689 | $50,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 3,800 | $50,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 8,021 | $50,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 50,000 | $50,000 | thousands by filing date | principal |
| PepsiCo,Inc. | 713448108 | COM | 30,000 | $49,000 | thousands by filing date | put |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 3,406 | $49,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 14,555 | $49,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 19,851 | $49,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 31,316 | $49,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 5,072 | $49,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 2,085 | $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 |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 1,220 | $48,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,010 | $48,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 90,549 | $48,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 2,940 | $48,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C609 | NAVELR A100 ETF | 1,000 | $48,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 47,000 | $47,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $47,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 1,388 | $47,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,353 | $47,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 3,251 | $47,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 9,512 | $47,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $47,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 15,802 | $47,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 3,364 | $46,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 2,806 | $46,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,843 | $46,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 71,100 | $46,000 | thousands by filing date | put |
| WEST MARINE INC | 954235107 | COM | 5,430 | $46,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 14,447 | $46,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 5,539 | $46,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 3,290 | $46,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $46,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 7,917 | $46,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 15,400 | $45,000 | thousands by filing date | call |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 3,155 | $45,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,488 | $45,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 2,106 | $45,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 4,000 | $45,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 1,000 | $45,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 100,000 | $45,000 | thousands by filing date | call |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 22,189 | $45,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 21,283 | $45,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 13,988 | $45,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $45,000 | thousands by filing date | principal |
| BP PLC SPONSORED ADR | 055622104 | ADR | 235,200 | $44,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 25,000 | $44,000 | thousands by filing date | call |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 8,739 | $44,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 114,300 | $44,000 | thousands by filing date | put |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,933 | $44,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 3,603 | $44,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 2,400 | $44,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 5,632 | $44,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 3,781 | $44,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 8,452 | $43,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 175,400 | $43,000 | thousands by filing date | call |
| WHOLE FOODS MKT INC | 966837106 | COM | 49,100 | $43,000 | thousands by filing date | put |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 2,428 | $43,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,069 | $43,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,161 | $43,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 2,344 | $43,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,703 | $43,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,817 | $43,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,058 | $43,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 4,302 | $43,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 550,000 | $42,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 47,500 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 97,200 | $42,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 18,150 | $42,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 5,878 | $42,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 4,875 | $42,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 10,640 | $42,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,971 | $42,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 695 | $42,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 7,781 | $42,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 3,774 | $42,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 600 | $41,000 | thousands by filing date | put |
| RIGNET INC | 766582100 | COM | 3,085 | $41,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 107,100 | $40,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,323 | $40,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 25,200 | $40,000 | thousands by filing date | put |
| ACNB CORP | 000868109 | COMMON STOCK | 1,599 | $40,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 4,929 | $40,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 88,700 | $40,000 | thousands by filing date | put |
| COVISINT CORP | 22357R103 | COM | 18,277 | $40,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 3,750 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 774 | $39,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 1,256 | $39,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 9,523 | $39,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 113,400 | $39,000 | thousands by filing date | call |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 8,071 | $39,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 9,044 | $39,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 4,210 | $39,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 106,378 | $39,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 2,872 | $39,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 12,664 | $39,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 4,672 | $39,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 1,752 | $39,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 10,000 | $38,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 114,100 | $38,000 | thousands by filing date | put |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,488 | $38,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 661 | $38,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 3,250 | $38,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 94,500 | $38,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 29,924 | $38,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,500 | $38,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 2,700 | $38,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 5,964 | $38,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 598 | $37,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,800 | $37,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 3,265 | $37,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $37,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 433 | $37,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 8,584 | $37,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,743 | $37,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 45,000 | $37,000 | thousands by filing date | principal |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 290 | $36,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,118 | $36,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $36,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 758 | $36,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 86,700 | $35,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 601 | $35,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 8,074 | $35,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 11,480 | $35,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 4,687 | $35,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 23,223 | $35,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 5,559 | $35,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 50,700 | $34,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 2,742 | $34,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 8,558 | $34,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,005 | $34,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 4,208 | $34,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,481 | $34,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 170,000 | $33,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 139,800 | $33,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 27,000 | $33,000 | thousands by filing date | put |
| EVERI HLDGS INC | 30034T103 | COM | 29,047 | $33,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 8,298 | $33,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,000 | $33,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 21,000 | $33,000 | thousands by filing date | put |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 3,902 | $33,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 21,221 | $33,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 265 | $33,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,200 | $33,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 147,000 | $33,000 | thousands by filing date | call |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 7,761 | $33,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 3,300 | $33,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 50,000 | $32,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 411 | $32,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,731 | $32,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 32,000 | $32,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 49,387 | $32,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 170,000 | $32,000 | thousands by filing date | call |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 715 | $32,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 15,476 | $32,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 30,000 | $32,000 | thousands by filing date | principal |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 2,653 | $32,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 17,300 | $31,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,756 | $31,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 2,256 | $31,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 3,377 | $31,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 23,850 | $31,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,936 | $31,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 29,000 | $31,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 39,700 | $31,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 1,800 | $31,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 57,800 | $30,000 | thousands by filing date | call |
| Eaton Corp. Plc | G29183103 | COM | 10,300 | $30,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 25,000 | $30,000 | thousands by filing date | call |
| RITEAID CORP | 767754104 | COM | 482,800 | $30,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,649 | $30,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 811 | $30,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,889 | $30,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,910 | $30,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 19,700 | $30,000 | thousands by filing date | call |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,999 | $30,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 6,038 | $30,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $30,000 | thousands by filing date | principal |
| Abbott Laboratories | 002824100 | COM | 80,700 | $29,000 | thousands by filing date | put |
| Abbott Laboratories | 002824100 | COM | 102,100 | $29,000 | thousands by filing date | call |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 428 | $29,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 20,200 | $29,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 13,027 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $29,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 3,000 | $29,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,942 | $29,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,436 | $29,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,001 | $29,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 9,856 | $29,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 12,988 | $29,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 965 | $29,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 37,090 | $28,000 | thousands by filing date | call |
| OLIN CORP | 680665205 | COM PAR $1 | 52,900 | $28,000 | thousands by filing date | put |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 401 | $28,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 633,100 | $28,000 | thousands by filing date | put |
| ALCENTRA CAP CORP | 01374T102 | COM | 2,271 | $28,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,001 | $28,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 2,000 | $28,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,302 | $28,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 12,600 | $28,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 23,825 | $28,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 4,482 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 1,687 | $28,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 3,000 | $28,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,760 | $28,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 447 | $28,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 52,200 | $27,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 436 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 810 | $27,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 1,646 | $27,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 10,000 | $27,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,643 | $27,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 2,800 | $27,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 1,912 | $27,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 32,000 | $27,000 | thousands by filing date | principal |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 58,627 | $27,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,986 | $26,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 498 | $26,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 5,493 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,500 | $26,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 1,200 | $26,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 23,668 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 970 | $26,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,850 | $26,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 666 | $26,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 59,853 | $26,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 9,025 | $26,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 5,285 | $26,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,052 | $26,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 9,585 | $26,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,754 | $26,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 3,600 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $26,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 25,000 | $26,000 | thousands by filing date | principal |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 7,852 | $26,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 22,200 | $25,000 | thousands by filing date | put |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 528 | $25,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 2,375 | $25,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,579 | $25,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,700 | $25,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $25,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $25,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 391 | $25,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 30,002 | $25,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $25,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 1,628 | $25,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 1,968 | $24,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,601 | $24,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 1,500 | $24,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 6,844 | $24,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,410 | $24,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,063 | $24,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,218 | $24,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,413 | $24,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 2,208 | $23,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 50,000 | $23,000 | thousands by filing date | put |
| NUMEREX CORP -CL A | 67053A102 | CL A | 3,100 | $23,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 216 | $23,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 25,000 | $23,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,935 | $23,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 731 | $22,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 17,001 | $22,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,401 | $22,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 19,000 | $22,000 | thousands by filing date | principal |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,016 | $22,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 1,714 | $22,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 949 | $22,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 10,041 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 637 | $22,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,647 | $22,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 9,200 | $21,000 | thousands by filing date | put |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 2,234 | $21,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,851 | $21,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,800 | $21,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 5,130 | $21,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 2,832 | $21,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 250 | $21,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 1,500 | $21,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 23,000 | $21,000 | thousands by filing date | principal |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 9,801 | $21,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 30,000 | $21,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,281,138 | $21,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 72,775 | $21,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 8,152 | $21,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,272 | $21,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,490 | $21,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 11,786 | $21,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,444 | $21,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 170,700 | $20,000 | thousands by filing date | call |
| WW GRAINGER INC COM | 384802104 | Stock | 7,500 | $20,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 448 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 714 | $20,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 8,000 | $20,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,200 | $20,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 8,307 | $20,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-16-001234 | this filing | 2016-08-11 | acceptance time not in the bulk data set |