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 |
|---|---|---|---|---|---|---|
| WHITING PETE CORP NEW | 966387102 | COM | 126,700 | $20,000 | thousands by filing date | put |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 701 | $20,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,950 | $20,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 16,026 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 793 | $20,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 2,215 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 865 | $19,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 18,531 | $19,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,300 | $19,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,979 | $19,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 416 | $19,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,000 | $19,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 18,000 | $19,000 | thousands by filing date | principal |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 818 | $19,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 3,131 | $19,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,000 | $18,000 | thousands by filing date | put |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,400 | $18,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,500 | $18,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 10,800 | $18,000 | thousands by filing date | put |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 565 | $18,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 7,000 | $18,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 222 | $18,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,000 | $18,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 500 | $18,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,925 | $17,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 30,000 | $17,000 | thousands by filing date | put |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 22,700 | $17,000 | thousands by filing date | put |
| REGENXBIO INC | 75901B107 | COM | 2,078 | $17,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 7,249 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 675 | $17,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 3,400 | $17,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 10,000 | $17,000 | thousands by filing date | put |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 759 | $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 | 738 | $17,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,805 | $17,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 36,500 | $17,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 15,000 | $17,000 | thousands by filing date | principal |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 500 | $17,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 4,500 | $17,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,700 | $17,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 113,800 | $16,000 | thousands by filing date | put |
| CARMAX INC COM | 143130102 | Stock | 9,400 | $16,000 | thousands by filing date | put |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 192 | $16,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 2,924 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 2,000 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $16,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,000 | $16,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 229 | $16,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 7,759 | $16,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,363 | $16,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,425 | $16,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 75,000 | $16,000 | thousands by filing date | put |
| WHITING PETE CORP NEW | 966387102 | COM | 55,000 | $16,000 | thousands by filing date | call |
| SEQUENOM INC COM NEW | 817337405 | COM | 17,116 | $16,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,681 | $16,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 203 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $16,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 6,142 | $16,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,972 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 223 | $15,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,000 | $15,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 901 | $15,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 459 | $15,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 6,000 | $15,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,001 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 600 | $15,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,002 | $15,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 805 | $15,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 20,000 | $15,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,296 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 600 | $15,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 419 | $14,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 10,500 | $14,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 56,700 | $14,000 | thousands by filing date | call |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 16,316 | $14,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 607 | $14,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 3,055 | $14,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 2,501 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 308 | $14,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,100 | $14,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 1,378 | $14,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,275 | $14,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,839 | $14,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 60,984 | $14,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 6,335 | $14,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,407 | $14,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,601 | $14,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 250 | $14,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $14,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $14,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 1,900 | $14,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 7,579 | $14,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 1,090 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 588 | $14,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 460 | $14,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 2,500 | $14,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,131 | $13,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 251 | $13,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,711 | $13,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 318 | $13,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 4,211 | $13,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 401 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 710 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $13,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 77,000 | $13,000 | thousands by filing date | call |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 340 | $13,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 96,200 | $13,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,050 | $13,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 20,000 | $13,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $13,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,500 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 548 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 395 | $13,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 1,000 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 455 | $13,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 470 | $13,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 12,841 | $13,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 1,000 | $13,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 565 | $12,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 395 | $12,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 65,400 | $12,000 | thousands by filing date | put |
| CENTURYLINK INC | 156700106 | COM | 30,200 | $12,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 160 | $12,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,667 | $12,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,400 | $12,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 22,619 | $12,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 2,045 | $12,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,800 | $12,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 601 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 746 | $12,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 112,100 | $11,000 | thousands by filing date | call |
| Vanguard Real Estate | 922908553 | SHS | 134 | $11,000 | thousands by filing date | put |
| CELLECTIS ADS | 15117K103 | COM | 400 | $11,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 6,294 | $11,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $11,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 802 | $11,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 13,000 | $11,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,700 | $11,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,300 | $11,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 1,801 | $11,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,701 | $11,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,036 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 221 | $11,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 481 | $11,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,141 | $11,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,000 | $11,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 11,000 | $11,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,400 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 2,989 | $11,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 961 | $11,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 501 | $11,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,500 | $11,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 2,354 | $11,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 34,000 | $11,000 | thousands by filing date | principal |
| APC 7.5 PFD | 032511404 | Preferred Stock | 290 | $11,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,995 | $10,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 301 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 125 | $10,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 4,000 | $10,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 1,000 | $10,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 700 | $10,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,901 | $10,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 50,000 | $10,000 | thousands by filing date | put |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 841 | $10,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,000 | $10,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,100 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 522 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 151 | $10,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 8,924 | $10,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 11,000 | $10,000 | thousands by filing date | principal |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,600 | $10,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $10,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 775 | $10,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,000 | $10,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $10,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,075 | $10,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $10,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,000 | $10,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 230 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 600 | $9,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 2,400 | $9,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 9,000 | $9,000 | thousands by filing date | call |
| TARGA RES CORP COM | 87612G101 | Stock | 32,800 | $9,000 | thousands by filing date | put |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 5,400 | $9,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 125,000 | $9,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 55 | $9,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 380 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 601 | $9,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 6,700 | $9,000 | thousands by filing date | call |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,200 | $9,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 400 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 200 | $9,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 5,800 | $9,000 | thousands by filing date | call |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,000 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $9,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 16,000 | $9,000 | thousands by filing date | principal |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $9,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 8,115 | $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 |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 5,400 | $9,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 1,001 | $9,000 | thousands by filing date | |
| 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 | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 81 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 435 | $9,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 9,000 | $9,000 | thousands by filing date | principal |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 2,156 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 9,200 | $8,000 | thousands by filing date | call |
| Philip Morris International Inc. | 718172109 | COM | 5,408 | $8,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 40,500 | $8,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,000 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 273 | $8,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 6,250 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 100 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,229 | $8,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 668 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,301 | $8,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 26,300 | $8,000 | thousands by filing date | put |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,301 | $8,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $8,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 483 | $8,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,126 | $8,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,501 | $8,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 29,000 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,800 | $8,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 1,582 | $8,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 811 | $8,000 | thousands by filing date | |
| GENERAL EMPLOYMENT ENTERPRIS | 369730304 | Cmn | 2,000 | $8,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 500 | $8,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 40 | $7,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 122 | $7,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 8,300 | $7,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 208 | $7,000 | thousands by filing date | put |
| PTC INC COM | 69370C100 | Stock | 5,000 | $7,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 1,234 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $7,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 27,000 | $7,000 | thousands by filing date | call |
| GARRISON CAP INC | 366554103 | COM | 671 | $7,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 380 | $7,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 1,001 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 579 | $7,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 440 | $7,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 105 | $7,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 5,012 | $7,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 838 | $7,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 8,701 | $7,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 31,588 | $7,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,800 | $7,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $7,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 314 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,301 | $7,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 3,312 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 220 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 211 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $7,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 1,471 | $7,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 5,440 | $7,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 12,913 | $7,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 44,200 | $6,000 | thousands by filing date | call |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 969 | $6,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 27,200 | $6,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 1,100 | $6,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,500 | $6,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 50,000 | $6,000 | thousands by filing date | put |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 573 | $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 | 501 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 261 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $6,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $6,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,500 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $6,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 791 | $6,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 591 | $6,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,060 | $6,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,500 | $6,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,323 | $6,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 794 | $6,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $6,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 11,832 | $6,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,507 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 443 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 200 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 307 | $6,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 10,000 | $6,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $6,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,429 | $6,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 2,815 | $6,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 3,110 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 1,900 | $5,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 4,300 | $5,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $5,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 247 | $5,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 21,100 | $5,000 | thousands by filing date | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 27,628 | $5,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 50,000 | $5,000 | thousands by filing date | call |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 301 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 246 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 294 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,002 | $5,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 251 | $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 | |
| FORTUNA MNG CORP F | 349915108 | COM | 701 | $5,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,450 | $5,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 400 | $5,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 6,000 | $5,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 701 | $5,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,500 | $5,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 9,549 | $5,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 20,000 | $5,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 593 | $5,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 728 | $5,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 121 | $5,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 300 | $5,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,000 | $5,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 2,000 | $5,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 540 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,930 | $5,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| NANTHEALTH INC | 630104107 | CMN | 400 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,200 | $5,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 5,000 | $5,000 | thousands by filing date | put |
| SUNWORKS INC | 86803X105 | COM | 2,164 | $5,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 195 | $5,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 500 | $5,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 1,330 | $5,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 7,301 | $4,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 134 | $4,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 220 | $4,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 239 | $4,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,000 | $4,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 188 | $4,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 761 | $4,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 125 | $4,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 777 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 131 | $4,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 710 | $4,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 5,600 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 7,495 | $4,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 700 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 4,638 | $4,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 3,200 | $4,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 2,241 | $4,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 6,502 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,812 | $4,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 5,934 | $4,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,091 | $4,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 2,225 | $4,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 10,000 | $4,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $4,000 | thousands by filing date | principal |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 321 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 218 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 301 | $4,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 185 | $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 | 597 | $4,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 3,252 | $4,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,250 | $4,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 80 | $4,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $4,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,000 | $4,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 575 | $4,000 | thousands by filing date | |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 95,600 | $4,000 | thousands by filing date | call |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 1,400 | $4,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SPHERE 3D CORP NEW | 84841L100 | COM | 5,000 | $4,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 4,615 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 12,209 | $4,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 2,813 | $4,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 5,639 | $4,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 20,800 | $3,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 2,800 | $3,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 320 | $3,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 201 | $3,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 30,100 | $3,000 | thousands by filing date | put |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,147 | $3,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 7,440 | $3,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 140 | $3,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 200 | $3,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 102 | $3,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,512 | $3,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 937 | $3,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 863 | $3,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 5,100 | $3,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 1,114 | $3,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 831 | $3,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 122,700 | $3,000 | thousands by filing date | call |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 2,750 | $3,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 11,010 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $3,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 843 | $3,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 300 | $3,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 2,557 | $3,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 950 | $3,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 1,000 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 3,260 | $3,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,289 | $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 | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 135 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 50 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,000 | $3,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 204 | $3,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 2,181 | $3,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,300 | $3,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 500 | $3,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 4,500 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 83 | $3,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 575 | $3,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 99 | $3,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 3,272 | $3,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $3,000 | thousands by filing date | principal |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 11,070 | $3,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 75 | $2,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,204 | $2,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,100 | $2,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,000 | $2,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 244 | $2,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 2,000 | $2,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 301 | $2,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 75 | $2,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,501 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 428 | $2,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 400 | $2,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 150 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,000 | $2,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 2,000 | $2,000 | thousands by filing date | principal |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 601 | $2,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 25,000 | $2,000 | thousands by filing date | call |
| QLT INC | 746927102 | COMMON STOCK | 1,545 | $2,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 4,550 | $2,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 851 | $2,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,001 | $2,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 407 | $2,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 14,300 | $2,000 | thousands by filing date | put |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 80 | $2,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 900 | $2,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 627 | $2,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,059 | $2,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 500 | $2,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 1,750 | $2,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 3,500 | $2,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 232 | $2,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 4,751 | $2,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 7,106 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 3,550 | $2,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 2,000 | $2,000 | thousands by filing date | principal |
| BANK OF AMERICA CORP | 060505153 | CMN | 26,200 | $2,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 90 | $2,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $2,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 80 | $2,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 200 | $2,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 1,039 | $2,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 500 | $2,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 201 | $2,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 2,000 | $2,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 66 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 97 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 50 | $2,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 112 | $2,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 2,000 | $2,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 500 | $2,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,500 | $2,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 100 | $2,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 2,682 | $2,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 3,000 | $1,000 | thousands by filing date | put |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 14 | $1,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 1,000 | $1,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,000 | $1,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 300 | $1,000 | thousands by filing date | put |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 50 | $1,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 1,200 | $1,000 | thousands by filing date | put |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 400 | $1,000 | thousands by filing date | put |
| PPG INDS INC COM | 693506107 | Stock | 200 | $1,000 | thousands by filing date | put |
| M & T BK CORP COM | 55261F104 | Stock | 100 | $1,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 375 | $1,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,600 | $1,000 | thousands by filing date | put |
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 |