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 |
|---|---|---|---|---|---|---|
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,301 | $87,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 9,700 | $87,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 2,924 | $87,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 9,276 | $87,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 5,078 | $86,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 14,220 | $86,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 5,059 | $86,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 50,000 | $86,000 | thousands by filing date | call |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,705 | $86,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 2,075 | $86,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 9,368 | $86,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 4,000 | $85,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 15,433 | $85,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 2,601 | $85,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 7,975 | $85,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 36,778 | $85,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 3,266 | $84,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 2,469 | $84,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,801 | $84,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,834 | $84,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 2,711 | $83,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 26,667 | $83,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 50,000 | $83,000 | thousands by filing date | put |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 10,009 | $83,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,651 | $83,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 6,227 | $83,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 10,600 | $83,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 737 | $83,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 12,500 | $83,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 86,100 | $82,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 16,522 | $82,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 31,316 | $82,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 30,701 | $82,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 5,199 | $82,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 18,221 | $81,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 6,400 | $81,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 27,099 | $81,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 9,854 | $81,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 4,573 | $81,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 30,100 | $81,000 | thousands by filing date | put |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 6,615 | $81,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 13,081 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 3,495 | $81,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 113,700 | $80,000 | thousands by filing date | put |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 8,227 | $80,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,150 | $80,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,425 | $80,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 5,773 | $80,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 18,546 | $79,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 15,000 | $79,000 | thousands by filing date | put |
| XBIOTECH INC | 98400H102 | COM | 5,900 | $79,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 16,024 | $79,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 25,217 | $79,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 3,230 | $79,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 5,347 | $78,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 75,100 | $78,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 34,722 | $78,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 10,965 | $78,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 3,332 | $78,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 87,342 | $78,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 92,000 | $78,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 10,271 | $78,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 5,055 | $77,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,101 | $77,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 5,256 | $77,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 2,788 | $77,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 6,926 | $77,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 5,890 | $77,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 11,288 | $77,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 9,649 | $77,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 4,979 | $76,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 1,524 | $76,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 4,001 | $76,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 21,808 | $76,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 5,400 | $76,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 4,888 | $76,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 8,255 | $76,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,826 | $76,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 25,000 | $75,000 | thousands by filing date | put |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,881 | $75,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 3,170 | $75,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 10,000 | $75,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 13,908 | $75,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 9,463 | $75,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 6,134 | $75,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,693 | $75,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 4,700 | $75,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 6,802 | $75,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 9,101 | $75,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,052 | $75,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,212 | $75,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 15,256 | $75,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 31,747 | $75,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 3,394 | $75,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 21,939 | $74,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 8,582 | $74,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 14,099 | $74,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 7,108 | $74,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 13,345 | $74,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 14,444 | $74,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 3,269 | $74,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 172,600 | $73,000 | thousands by filing date | put |
| VICOR CORP | 925815102 | COM | 6,311 | $73,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 11,006 | $73,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 43,011 | $73,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 5,576 | $73,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 4,079 | $73,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 3,500 | $72,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,401 | $72,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 4,150 | $72,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 1,650 | $72,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,840 | $72,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 11,442 | $72,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 38,388 | $72,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 46,700 | $71,000 | thousands by filing date | call |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 3,632 | $71,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,978 | $71,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,771 | $71,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 30,000 | $71,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 7,941 | $71,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 11,248 | $71,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 6,200 | $70,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 2,900 | $70,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 11,800 | $70,000 | thousands by filing date | put |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 2,500 | $70,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 65,219 | $70,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 32,885 | $70,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,401 | $70,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 506 | $70,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,531 | $69,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 2,282 | $69,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,644 | $69,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 5,636 | $69,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 3,386 | $69,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 6,378 | $69,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $69,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 7,094 | $69,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 4,785 | $69,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 10,670 | $69,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 13,136 | $69,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 2,571 | $68,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,616 | $68,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 6,086 | $68,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,300 | $68,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 8,832 | $68,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 6,535 | $68,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 168,200 | $67,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,284 | $67,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 12,487 | $67,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 60,800 | $67,000 | thousands by filing date | put |
| ORCHID IS CAP INC | 68571X103 | COM | 6,405 | $67,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 4,622 | $67,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,500 | $67,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 1,220 | $66,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 2,752 | $66,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 3,016 | $66,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 2,952 | $66,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 107,000 | $66,000 | thousands by filing date | principal |
| MITEL NETWORKS CORP | 60671Q104 | COM | 9,006 | $66,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 468 | $65,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 8,407 | $65,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,296 | $65,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 11,311 | $65,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 30,000 | $65,000 | thousands by filing date | put |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 15,670 | $65,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 41,416 | $65,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $65,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 2,471 | $65,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 19,478 | $65,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 300,000 | $64,000 | thousands by filing date | put |
| VERACYTE INC COM | 92337F107 | Stock | 8,452 | $64,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 12,400 | $64,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 2,289 | $64,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 2,028 | $64,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 2,879 | $64,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 59,000 | $64,000 | thousands by filing date | principal |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 2,683 | $64,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3,542 | $63,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 2,600 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,405 | $63,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 14,000 | $63,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 22,749 | $63,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 4,009 | $63,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 5,527 | $63,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 500 | $62,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,933 | $62,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 197,500 | $62,000 | thousands by filing date | put |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 3,807 | $62,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 38,413 | $62,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 177,335 | $62,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,035 | $62,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 4,827 | $62,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 36,033 | $62,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 13,089 | $62,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 14,000 | $61,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 46,000 | $61,000 | thousands by filing date | put |
| VERISIGN INC COM | 92343E102 | Stock | 59,800 | $61,000 | thousands by filing date | put |
| VERITEX HLDGS INC | 923451108 | COM | 3,500 | $61,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 3,834 | $61,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 54,350 | $61,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 2,777 | $61,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 7,872 | $61,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,612 | $61,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 18,401 | $61,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 136,300 | $60,000 | thousands by filing date | call |
| PPG INDS INC COM | 693506107 | Stock | 28,800 | $60,000 | thousands by filing date | call |
| HELMERICH & PAYNE INC | 423452101 | COM | 560,000 | $60,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 7,433 | $60,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 4,002 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,600 | $60,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 4,400 | $60,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 10,564 | $60,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $60,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,983 | $60,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 10,996 | $60,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 21,681 | $60,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 4,243 | $59,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,209 | $59,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 48,000 | $59,000 | thousands by filing date | call |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 3,806 | $59,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 9,915 | $59,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,400 | $59,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 14,447 | $59,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 10,003 | $59,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 13,600 | $59,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 104,200 | $58,000 | thousands by filing date | call |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 1,897 | $58,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 6,632 | $58,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 8,000 | $58,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 215,000 | $58,000 | thousands by filing date | put |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,836 | $58,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,274 | $58,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,353 | $57,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 22,200 | $57,000 | thousands by filing date | call |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,001 | $57,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 2,157 | $57,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 2,921 | $57,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 5,001 | $57,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 4,907 | $57,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,172 | $56,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 2,001 | $56,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 7,707 | $56,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,295 | $56,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 653 | $55,000 | thousands by filing date | put |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $55,000 | thousands by filing date | call |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,914 | $55,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,533 | $55,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 666 | $55,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 14,259 | $55,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 6,182 | $55,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,676 | $55,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 13,395 | $55,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 9,100 | $55,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 72,487 | $55,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,700 | $55,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,172 | $55,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 3,651 | $55,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 5,566 | $55,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 11,132 | $55,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,812 | $54,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 1,502 | $54,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,115 | $54,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 18,600 | $54,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 5,632 | $54,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,860 | $54,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 6,900 | $53,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 20,850 | $53,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 20,875 | $53,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 26,791 | $52,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 3,556 | $52,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 3,796 | $52,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 1,541 | $52,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,253 | $52,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,968 | $52,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 30,441 | $52,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 12,740 | $52,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,901 | $51,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 7,154 | $51,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 19,138 | $51,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $51,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 1,600 | $51,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 5,699 | $51,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 7,142 | $51,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 991 | $50,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 50,000 | $50,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,747 | $50,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 8,862 | $50,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 7,101 | $50,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 3,801 | $50,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 50,000 | $50,000 | thousands by filing date | principal |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 53,000 | $49,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 8,448 | $49,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 2,617 | $49,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 6,300 | $49,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 12,477 | $49,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 49,200 | $49,000 | thousands by filing date | call |
| CORECIVIC INC | 22025Y407 | COM | 50,000 | $49,000 | thousands by filing date | call |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 21,283 | $49,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 5,433 | $49,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 8,021 | $49,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $49,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 14,930 | $49,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 4,681 | $49,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 150,000 | $48,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $48,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 2,700 | $48,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 2,101 | $48,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 67,400 | $48,000 | thousands by filing date | put |
| TECNOGLASS INC | G87264100 | ORD SHS | 4,000 | $48,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 4,617 | $48,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 4,161 | $48,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 5,107 | $48,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,942 | $48,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 11,601 | $48,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 8,971 | $48,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C609 | NAVELR A100 ETF | 1,000 | $48,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 52,800 | $47,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 7,847 | $47,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 23,000 | $47,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 2,106 | $47,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,291 | $47,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 6,870 | $47,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,760 | $47,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,842 | $47,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,085 | $47,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 51,049 | $47,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 25,000 | $46,000 | thousands by filing date | put |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 50,000 | $46,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 129,000 | $46,000 | thousands by filing date | call |
| DBX ETF TR | 233051408 | FUND | 1,948 | $46,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 14,989 | $46,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 5,749 | $46,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 106,378 | $46,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 8,584 | $46,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 33,000 | $46,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 7,463 | $45,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 27,000 | $45,000 | thousands by filing date | call |
| ALICO INC | 016230104 | COM | 1,701 | $45,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 9,453 | $45,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 17,170 | $45,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $45,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 395,000 | $45,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,159 | $45,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 5,430 | $45,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 14,011 | $45,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $45,000 | thousands by filing date | principal |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 250,000 | $44,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 45,500 | $44,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,863 | $44,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 10,449 | $44,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,718 | $44,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 3,251 | $44,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 90,000 | $44,000 | thousands by filing date | call |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 6,500 | $44,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 46,000 | $44,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,500 | $44,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 200,000 | $43,000 | thousands by filing date | put |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 445 | $43,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 774 | $43,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 160,000 | $43,000 | thousands by filing date | call |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,201 | $43,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 23,223 | $43,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 115,000 | $43,000 | thousands by filing date | put |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,817 | $43,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,500 | $43,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 34,000 | $43,000 | thousands by filing date | principal |
| VINCE HLDG CORP | 92719W108 | COM | 7,764 | $43,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 45,000 | $43,000 | thousands by filing date | principal |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,597 | $42,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 1,493 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 867 | $42,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 5,045 | $42,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,579 | $42,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 4,650 | $42,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 350 | $42,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 2,400 | $41,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 9,525 | $41,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 25,700 | $41,000 | thousands by filing date | call |
| TECHNIPFMC PLC | 30249U101 | COM | 100,000 | $41,000 | thousands by filing date | call |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 5,643 | $41,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,026 | $41,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 34,000 | $41,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 9,442 | $41,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 200,000 | $40,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,140 | $40,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 601 | $40,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $40,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 2,205 | $40,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 12,764 | $40,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,347 | $40,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 1,752 | $40,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 100,000 | $39,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 56,400 | $39,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 180,800 | $39,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 950 | $39,000 | thousands by filing date | put |
| NEWTEKONE INC | 652526203 | COM NEW | 2,744 | $39,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 10,487 | $39,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 8,297 | $39,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 60,000 | $39,000 | thousands by filing date | call |
| TRC COS INC | 872625108 | COM | 4,482 | $39,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,769 | $39,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 29,001 | $39,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 1,074 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 433 | $39,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 47,600 | $38,000 | thousands by filing date | call |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,594 | $38,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 4,624 | $38,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 1,823 | $38,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 14,000 | $38,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,703 | $38,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 2,900 | $38,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 2,800 | $38,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 40,700 | $37,000 | thousands by filing date | call |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $37,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 12,555 | $37,000 | thousands by filing date | |
| COLONY CAP INC | 19624R403 | CONV PFD-C | 1,500 | $37,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 15,500 | $36,000 | thousands by filing date | call |
| VERISIGN INC COM | 92343E102 | Stock | 25,500 | $36,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 4,986 | $36,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 13,891 | $36,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,756 | $36,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,948 | $36,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 97,200 | $36,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 759 | $36,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,301 | $36,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 8,000 | $36,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 35,000 | $36,000 | thousands by filing date | principal |
| Boeing Company | 097023105 | COM | 18,000 | $35,000 | thousands by filing date | put |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,221 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 400 | $35,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,400 | $35,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,366 | $35,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,397 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,660 | $35,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 3,265 | $35,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,609 | $35,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,695 | $35,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 12,401 | $35,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 1,800 | $35,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,200 | $35,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,700 | $34,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 3,410 | $34,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 3,300 | $34,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 4,626 | $34,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 2,180 | $34,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 1,393 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 16,600 | $33,000 | thousands by filing date | call |
| HORMEL FOODS CORP COM | 440452100 | Stock | 500 | $33,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 1,069 | $33,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,400 | $33,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $33,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,801 | $33,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,001 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,426 | $33,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 7,841 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,936 | $33,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 785 | $33,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 27,000 | $33,000 | thousands by filing date | principal |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 7,500 | $33,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 7,964 | $33,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $33,000 | thousands by filing date | principal |
| UCP INC - CL A | 90265Y106 | Common Stock | 3,699 | $33,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 428 | $32,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 35,500 | $32,000 | thousands by filing date | put |
| W & T OFFSHORE INC | 92922P106 | COM | 18,150 | $32,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,001 | $32,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 2,300 | $32,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 32,400 | $32,000 | thousands by filing date | put |
| VERASTEM INC | 92337C104 | COM | 23,850 | $32,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 24,293 | $32,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 29,000 | $32,000 | thousands by filing date | principal |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 3,238 | $32,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 30,002 | $32,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 4,200 | $32,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,561 | $32,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 3,403 | $32,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 2,283 | $31,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 24,000 | $31,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 75,800 | $31,000 | thousands by filing date | call |
| TILLYS INC | 886885102 | CL A | 3,300 | $31,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 1,101 | $31,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,000 | $31,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,481 | $31,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 70,000 | $30,000 | thousands by filing date | call |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 666 | $30,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 15,801 | $30,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,418 | $30,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 12,426 | $30,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 22,197 | $30,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 12,860 | $30,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 5,534 | $30,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 25,000 | $30,000 | thousands by filing date | principal |
| CPI CARD GROUP INC | 12634H101 | COM | 5,038 | $30,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 32,000 | $30,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B599 | HDG FTSE JAPAN | 1,015 | $30,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 132 | $29,000 | thousands by filing date | put |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 3,506 | $29,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 3,200 | $29,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,800 | $29,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,007 | $29,000 | 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 |