13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-31, with 6,533 holding rows worth $271,181,757,000.
- Accession
- 0000072971-16-001320
- Filer
- CIK 72971
- Filed
- 2016-10-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 18,574 entries on the cover page, a total value of $271,181,757,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $271,181,757,000 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 managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerNORWEST LTD LP, LLLP028-06571
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerRock Creek Group, LP028-13780
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 16,758 | $196,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 382,300 | $195,000 | thousands by filing date | call |
| MEDICINES CO | 584688105 | COM | 54,000 | $195,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 50,600 | $194,000 | thousands by filing date | put |
| NANOMETRICS | 630077105 | COM | 8,618 | $193,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 17,480 | $193,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 11,167 | $192,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 11,802 | $192,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 189,871 | $192,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 4,900 | $192,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 170,000 | $192,000 | thousands by filing date | principal |
| BOOT BARN HLDGS INC | 099406100 | COM | 16,779 | $191,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 9,654 | $190,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 12,929 | $189,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 80,530 | $189,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 35,541 | $188,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 18,380 | $188,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 13,377 | $188,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 4,339 | $187,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,691 | $187,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 4,004 | $187,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 45,408 | $187,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 26,019 | $186,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 6,021 | $186,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 27,373 | $186,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 2,171 | $186,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 15,121 | $186,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,773 | $184,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 16,313 | $184,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 5,177 | $184,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 3,670 | $184,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 4,987 | $183,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 99,000 | $182,000 | thousands by filing date | call |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 14,055 | $182,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 170,000 | $182,000 | thousands by filing date | principal |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 11,090 | $182,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 204,000 | $182,000 | thousands by filing date | principal |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 6,906 | $182,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 38,476 | $181,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 38,843 | $181,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 6,525 | $180,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 4,033 | $180,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 284,900 | $179,000 | thousands by filing date | call |
| CENTRAL SECURITIES CORP | 155123102 | COM | 8,425 | $179,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 17,672 | $179,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 30,156 | $179,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 10,987 | $178,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 5,020 | $178,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 40,800 | $176,000 | thousands by filing date | call |
| FTAI AVIATION LTD | 34960P101 | COM | 14,100 | $176,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 57,764 | $176,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 5,055 | $176,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 2,895 | $175,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 10,915 | $175,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 103,650 | $175,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 4,736 | $175,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 11,800 | $175,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 88,000 | $174,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 12,061 | $174,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 8,474 | $174,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 12,000 | $174,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 7,041 | $173,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 130,500 | $172,000 | thousands by filing date | put |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 6,455 | $172,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 6,584 | $172,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 23,009 | $172,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 63,357 | $172,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 40,350 | $172,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 10,340 | $172,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 4,590 | $172,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 123,600 | $171,000 | thousands by filing date | put |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 59,300 | $171,000 | thousands by filing date | call |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 8,865 | $171,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 16,935 | $171,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 3,080 | $171,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 6,970 | $170,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 180,000 | $169,000 | thousands by filing date | call |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 10,125 | $169,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 22,697 | $168,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 9,994 | $168,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 10,188 | $168,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 119,821 | $167,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 163,000 | $167,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 3,455 | $166,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 19,434 | $166,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 2,897 | $166,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 8,694 | $166,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 5,788 | $166,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 12,721 | $165,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 11,116 | $165,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,244 | $165,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 127,000 | $165,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 200,000 | $165,000 | thousands by filing date | principal |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 12,583 | $164,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 11,555 | $164,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 135,387 | $164,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 44,300 | $164,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 9,293 | $163,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,219 | $163,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 10,307 | $163,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 89,955 | $163,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 7,069 | $163,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 9,130 | $163,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 36,376 | $163,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 4,685 | $163,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 10,829 | $163,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 6,638 | $163,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 6,643 | $162,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 19,380 | $162,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 11,782 | $162,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 5,075 | $162,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,269 | $161,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $161,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 92,104 | $161,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 11,350 | $161,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,309 | $160,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 27,355 | $160,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 200,000 | $160,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 19,777 | $160,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 8,940 | $159,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 6,507 | $159,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 150,000 | $159,000 | thousands by filing date | principal |
| DAKTRONICS INC | 234264109 | COM | 16,489 | $158,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 3,664 | $158,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 10,304 | $158,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 19,170 | $158,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 250,000 | $157,000 | thousands by filing date | call |
| WATERSTONE FINL INC MD | 94188P101 | COM | 9,254 | $157,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 63,451 | $157,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 8,286 | $157,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 21,606 | $156,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 40,000 | $156,000 | thousands by filing date | call |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 15,011 | $156,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 150,000 | $156,000 | thousands by filing date | principal |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 20,365 | $156,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 15,698 | $156,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 1,340 | $153,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 18,177 | $153,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 4,908 | $153,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 3,475 | $153,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 830,000 | $152,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 14,433 | $152,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 1,243 | $152,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 12,258 | $152,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 4,866 | $151,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,547 | $151,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 12,708 | $151,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 9,900 | $151,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 10,719 | $151,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,043 | $150,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 147,000 | $150,000 | thousands by filing date | principal |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 5,770 | $150,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 7,794 | $149,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 726 | $149,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 11,538 | $149,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 10,501 | $149,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 8,613 | $148,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 2,494 | $148,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 9,063 | $148,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,831 | $147,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 8,500 | $147,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 5,622 | $147,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 11,450 | $147,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 7,231 | $147,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 26,737 | $147,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 150,000 | $147,000 | thousands by filing date | principal |
| NICOLET BANKSHARES INC | 65406E102 | COM | 3,810 | $146,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 181,000 | $146,000 | thousands by filing date | principal |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 3,140 | $145,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 7,836 | $145,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,775 | $145,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 17,863 | $145,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 150,000 | $144,000 | thousands by filing date | call |
| CYTOKINETICS INC | 23282W605 | COM NEW | 15,627 | $144,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 19,400 | $144,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 15,383 | $144,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 8,061 | $144,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 6,576 | $143,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 13,073 | $143,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 18,457 | $143,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 62,933 | $142,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 6,510 | $142,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,093 | $142,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 10,562 | $142,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 17,066 | $142,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 500,000 | $142,000 | thousands by filing date | call |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 17,108 | $142,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 5,855 | $142,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 7,049 | $141,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 3,762 | $141,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 6,659 | $141,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 137,624 | $141,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 15,879 | $141,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 16,676 | $141,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 124,479 | $141,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 11,492 | $141,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,463 | $140,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 18,123 | $140,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 12,301 | $140,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 18,901 | $140,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 5,261 | $140,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 19,431 | $140,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 28,609 | $140,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 150,000 | $140,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 21,227 | $140,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 9,950 | $140,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 14,114 | $140,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 177,100 | $139,000 | thousands by filing date | call |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 42,300 | $139,000 | thousands by filing date | call |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 21,099 | $139,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 4,433 | $138,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 6,964 | $138,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 11,838 | $138,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 9,744 | $137,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 152,600 | $137,000 | thousands by filing date | put |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 8,084 | $137,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 10,462 | $137,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 4,200 | $136,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 2,255 | $136,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 2,777 | $136,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 9,792 | $136,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 5,925 | $136,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 100,600 | $135,000 | thousands by filing date | put |
| FORRESTER RESH INC | 346563109 | COM | 3,479 | $135,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 3,935 | $135,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 22,289 | $135,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 12,800 | $135,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 8,310 | $134,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 7,200 | $134,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 3,589 | $134,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 2,224 | $133,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 20,726 | $133,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 18,761 | $133,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 2,793 | $132,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 17,371 | $132,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 4,886 | $132,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 6,100 | $132,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 12,534 | $132,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 860,000 | $132,000 | thousands by filing date | put |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 5,776 | $132,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 1,612 | $131,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 6,463 | $131,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 9,780 | $131,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 20,073 | $131,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 12,141 | $131,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 6,489 | $131,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 10,885 | $131,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 7,531 | $130,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 5,618 | $130,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 16,837 | $130,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 10,227 | $130,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 119,000 | $130,000 | thousands by filing date | principal |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 13,295 | $129,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 16,207 | $129,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $129,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 130,000 | $128,000 | thousands by filing date | put |
| LOGITECH INTL S A SHS | H50430232 | Stock | 5,682 | $128,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 450,800 | $128,000 | thousands by filing date | put |
| ARDELYX INC | 039697107 | COM | 9,882 | $128,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 4,617 | $128,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,548 | $127,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 20,135 | $127,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 8,418 | $127,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 3,085 | $126,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 34,195 | $126,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 202,500 | $126,000 | thousands by filing date | call |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 6,402 | $126,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 5,385 | $126,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 28,330 | $125,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 4,864 | $125,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 10,023 | $125,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 7,700 | $125,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 8,657 | $125,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 5,360 | $125,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 31,600 | $124,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 62,800 | $124,000 | thousands by filing date | call |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 6,654 | $124,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 5,530 | $124,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 3,250 | $124,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 7,388 | $124,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 7,693 | $124,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 6,182 | $124,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 29,151 | $124,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 12,613 | $124,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 7,086 | $124,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 8,020 | $124,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 37,593 | $124,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 6,857 | $123,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 15,245 | $123,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 5,151 | $123,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 74,720 | $123,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,801 | $123,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 27,245 | $123,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 102,700 | $122,000 | thousands by filing date | call |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 1,674 | $122,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 7,808 | $122,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 7,096 | $122,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 27,419 | $122,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 5,644 | $121,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 14,499 | $120,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 3,296 | $120,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $120,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 4,264 | $120,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 35,510 | $120,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 46,810 | $120,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 210,000 | $119,000 | thousands by filing date | put |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,008 | $119,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 8,147 | $119,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 15,909 | $119,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 4,817 | $119,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,363 | $119,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 9,648 | $119,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 25,000 | $118,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 68,898 | $118,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 3,630 | $118,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 32,272 | $118,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 13,685 | $118,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 26,279 | $117,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 3,761 | $117,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 8,173 | $117,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,515 | $117,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 4,545 | $117,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $117,000 | thousands by filing date | principal |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 6,243 | $116,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 8,941 | $116,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 20,000 | $116,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 49,240 | $116,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 4,305 | $115,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 5,079 | $115,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 7,580 | $115,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 8,588 | $115,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 118,000 | $115,000 | thousands by filing date | principal |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 49,805 | $115,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 3,182 | $114,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 6,035 | $114,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2,881 | $114,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 5,900 | $114,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 186,500 | $114,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 7,609 | $114,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 2,013 | $113,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,244 | $113,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 20,234 | $113,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 8,130 | $113,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $113,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 11,376 | $113,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,767 | $112,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 7,992 | $112,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 14,539 | $112,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 5,059 | $112,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 18,742 | $112,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,460 | $112,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 3,112 | $112,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 580,000 | $111,000 | thousands by filing date | put |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 21,117 | $111,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 4,201 | $111,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 30,955 | $111,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 7,867 | $111,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 28,403 | $111,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 9,668 | $111,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 9,095 | $110,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 5,109 | $110,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 12,188 | $110,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 3,650 | $110,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 6,112 | $110,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 9,289 | $109,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 3,784 | $109,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 3,006 | $109,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 50,000 | $109,000 | thousands by filing date | put |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 6,723 | $109,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,330 | $109,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 5,515 | $108,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 11,300 | $108,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,806 | $108,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $107,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 14,504 | $107,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 6,920 | $107,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 12,201 | $107,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 2,997 | $107,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 650 | $106,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 75,880 | $106,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 17,310 | $106,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 125,000 | $105,000 | thousands by filing date | call |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 4,198 | $105,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 20,000 | $105,000 | thousands by filing date | call |
| KMG CHEMICALS INC | 482564101 | COM | 3,693 | $105,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 38,173 | $105,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 120,800 | $104,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 2,607 | $104,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 9,158 | $104,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 6,104 | $104,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,225 | $104,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,606 | $104,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 20,327 | $104,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,100 | $104,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 10,815 | $104,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,496 | $104,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 13,544 | $104,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 5,694 | $104,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 8,005 | $104,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,393 | $104,000 | thousands by filing date | |
| Emergent Capital | 29102N105 | Com | 35,609 | $104,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 2,187 | $103,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 6,558 | $103,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,336 | $102,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 295,800 | $101,000 | thousands by filing date | call |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 6,303 | $101,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 4,618 | $101,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 6,545 | $101,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 28,873 | $101,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 12,306 | $101,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 10,700 | $101,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 100,000 | $100,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 2,925 | $100,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 94,591 | $100,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 63,171 | $100,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 12,007 | $100,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 4,309 | $100,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 39,800 | $99,000 | thousands by filing date | put |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 5,423 | $99,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,916 | $99,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 12,300 | $98,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 925 | $98,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 4,928 | $98,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 9,489 | $98,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 7,549 | $98,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 8,618 | $98,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 204,900 | $97,000 | thousands by filing date | put |
| SPARTON CORP | 847235108 | COM | 3,694 | $97,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 3,600 | $97,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 10,900 | $97,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 3,200 | $96,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 4,400 | $96,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 6,345 | $96,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,000 | $96,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 61,767 | $96,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 7,543 | $96,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 3,901 | $96,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 9,462 | $96,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $95,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 26,336 | $95,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 39,900 | $95,000 | thousands by filing date | call |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 50,000 | $95,000 | thousands by filing date | put |
| VERA BRADLEY INC | 92335C106 | COM | 6,301 | $95,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 29,801 | $95,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 5,228 | $95,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 3,388 | $95,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 7,462 | $95,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 3,693 | $95,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,256 | $95,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 4,256 | $95,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 80,000 | $94,000 | thousands by filing date | call |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 3,314 | $94,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 32,763 | $94,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 9,640 | $94,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 45,458 | $94,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 7,096 | $94,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 110,111 | $94,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 121,000 | $94,000 | thousands by filing date | principal |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 22,622 | $94,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 4,086 | $94,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 3,415 | $94,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 8,401 | $93,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 17,245 | $93,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 9,330 | $93,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 5,901 | $93,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 6,140 | $92,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 147,400 | $92,000 | thousands by filing date | put |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 2,027 | $92,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 5,689 | $92,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 12,530 | $92,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 28,956 | $91,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 10,046 | $91,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 3,917 | $91,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 11,787 | $91,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 2,069 | $91,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 8,274 | $91,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 26,282 | $91,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 6,000 | $90,000 | thousands by filing date | put |
| GAMCO INVS INC COM | 361438104 | COM | 3,145 | $90,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 4,021 | $90,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 3,043 | $90,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 1,175 | $90,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 6,000 | $90,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 4,400 | $90,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,728 | $90,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 7,600 | $90,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 4,143 | $90,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 97,000 | $89,000 | thousands by filing date | principal |
| INVENTURE FOODS INC | 461212102 | COM | 9,400 | $89,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 11,078 | $89,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 10,500 | $89,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,385 | $89,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 4,909 | $89,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 400 | $88,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 88,200 | $88,000 | thousands by filing date | call |
| READING INTL INC | 755408101 | CL A | 6,617 | $88,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 87,000 | $88,000 | thousands by filing date | principal |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 11,001 | $88,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 11,500 | $88,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 3,258 | $88,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-16-001320 | this filing | 2016-10-31 | acceptance time not in the bulk data set |