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 |
|---|---|---|---|---|---|---|
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 10,000 | $29,000 | thousands by filing date | put |
| EVANS BANCORP INC | 29911Q208 | COM | 1,052 | $29,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 4,113 | $29,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 2,201 | $29,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $29,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,356 | $28,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 5,300 | $28,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 6,259 | $28,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,991 | $28,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 8,544 | $28,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 70,000 | $27,000 | thousands by filing date | call |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 18,901 | $27,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 800 | $27,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,914 | $27,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,189 | $27,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 1,646 | $27,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 10,000 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $27,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 5,338 | $27,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 55,900 | $26,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 31,300 | $26,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,968 | $26,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 8,980 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,501 | $26,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 841 | $26,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 8,625 | $26,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 70,200 | $26,000 | thousands by filing date | call |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,754 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $26,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,510 | $26,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $26,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $26,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,368 | $26,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 392 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 1,023 | $26,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 993 | $26,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 60,200 | $25,000 | thousands by filing date | put |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,648 | $25,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 25,000 | $25,000 | thousands by filing date | principal |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 8,428 | $25,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 9,230 | $25,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 315 | $25,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 25,000 | $25,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 520 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 410 | $25,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,020 | $25,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 15,026 | $25,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 28,800 | $24,000 | thousands by filing date | put |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 451 | $24,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,821 | $24,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,401 | $24,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 2,100 | $24,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,701 | $24,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,438 | $24,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 2,200 | $24,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 30,200 | $24,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 3,000 | $24,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,218 | $24,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,850 | $24,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,490 | $24,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,500 | $24,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $24,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,444 | $24,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 59,900 | $23,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 3,000 | $23,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,400 | $23,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 15,389 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 1,386 | $23,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 72,775 | $23,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 515 | $23,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 12,000 | $23,000 | thousands by filing date | principal |
| CVS Health Corporation | 126650100 | COM | 9,400 | $22,000 | thousands by filing date | put |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 99,700 | $22,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,355 | $22,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 3,424 | $22,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 250 | $22,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,886 | $22,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,063 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 6,200 | $22,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 330 | $22,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 23,200 | $21,000 | thousands by filing date | put |
| QUINSTREET INC | 74874Q100 | COM | 6,844 | $21,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 3,568 | $21,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 26,100 | $21,000 | thousands by filing date | call |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 1,398 | $21,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 95,700 | $21,000 | thousands by filing date | call |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,935 | $21,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 800 | $20,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,464 | $20,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 19,600 | $20,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 7,434 | $20,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 2,879 | $20,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 1,501 | $20,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 526 | $20,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,552 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $20,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 4,213 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 673 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 14,540 | $20,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,000 | $20,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 818 | $20,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 3,000 | $20,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,000 | $20,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 5,602 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 765 | $20,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 15,000 | $19,000 | thousands by filing date | call |
| Vanguard Real Estate | 922908553 | SHS | 146 | $19,000 | thousands by filing date | put |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 2,235 | $19,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 459 | $19,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,400 | $19,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 105,000 | $19,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 585 | $19,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,857 | $19,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,299 | $19,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,293,479 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 27,359 | $19,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 45,100 | $18,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 2,325 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $18,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,734 | $18,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $18,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 901 | $18,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,001 | $18,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,305 | $18,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,800 | $18,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,196 | $18,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,500 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 1,000 | $18,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 1,800 | $18,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 4,500 | $18,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 8,001 | $18,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 500 | $18,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 18,000 | $18,000 | thousands by filing date | principal |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 460 | $18,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 1,223 | $17,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 43,500 | $17,000 | thousands by filing date | put |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,100 | $17,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,100 | $17,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,301 | $17,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 18,800 | $17,000 | thousands by filing date | call |
| MARINE PRODS CORP | 568427108 | cs | 1,931 | $17,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 14,000 | $17,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 20,000 | $17,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 30,043 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 951 | $17,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 900 | $17,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $17,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,600 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 600 | $17,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 950 | $17,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,000 | $17,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,595 | $17,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 1,453 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 222 | $16,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 25,000 | $16,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,525 | $16,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,001 | $16,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,893 | $16,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,000 | $16,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 117 | $16,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,338 | $16,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 228 | $16,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 59,301 | $16,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 759 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $16,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $16,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,092 | $16,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,000 | $16,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 775 | $16,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 1,090 | $16,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 500 | $15,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 3,098 | $15,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 900 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 607 | $15,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 14,000 | $15,000 | thousands by filing date | call |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 849 | $15,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 106,100 | $15,000 | thousands by filing date | put |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,550 | $15,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,001 | $15,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 16,000 | $15,000 | thousands by filing date | call |
| ICONIX BRAND GROUP INC | 451055107 | COM | 69,400 | $15,000 | thousands by filing date | put |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 30,300 | $15,000 | thousands by filing date | put |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,000 | $15,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,200 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 548 | $15,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 2,500 | $15,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 31,501 | $14,000 | thousands by filing date | put |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 68,000 | $14,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 25,000 | $14,000 | thousands by filing date | call |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 16,316 | $14,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 52,900 | $14,000 | thousands by filing date | put |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 308 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 699 | $14,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 600 | $14,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,840 | $14,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 8,200 | $14,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 2,664 | $14,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 26,000 | $14,000 | thousands by filing date | principal |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 250 | $14,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 116 | $14,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 600 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 395 | $14,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 455 | $14,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 800 | $14,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 800 | $13,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,711 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 709 | $13,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $13,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 340 | $13,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 6,270 | $13,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 3,037 | $13,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 12,600 | $13,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,300 | $13,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 11,700 | $13,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,601 | $13,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 7,579 | $13,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 1,501 | $13,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 107 | $12,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 500 | $12,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 27,628 | $12,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,000 | $12,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 976 | $12,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 2,378 | $12,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $12,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,142 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 470 | $12,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $12,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 8,787 | $12,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 851 | $11,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 4,000 | $11,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 246,300 | $11,000 | thousands by filing date | put |
| TRANSCAT INC | 893529107 | COM | 1,000 | $11,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,071 | $11,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 4,374 | $11,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 979 | $11,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 3,051 | $11,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,481 | $11,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 21,550 | $11,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 13,700 | $11,000 | thousands by filing date | put |
| WI-LAN INC | 928972108 | COM | 7,000 | $11,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 129 | $11,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 5,400 | $11,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 11,000 | $11,000 | thousands by filing date | principal |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 1,001 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 784 | $11,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,000 | $11,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,200 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| CIM COML TR CORP | 125525105 | COM | 735 | $11,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 230 | $11,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,995 | $10,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 17,200 | $10,000 | thousands by filing date | put |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 301 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 125 | $10,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 11,100 | $10,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 150 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 400 | $10,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 800 | $10,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,100 | $10,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 400 | $10,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,451 | $10,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 2,602 | $10,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 276 | $10,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,000 | $10,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GSE SYS INC | 36227k106 | COM | 3,320 | $10,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 9,115 | $10,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,600 | $10,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 500 | $10,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 11,000 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 404 | $10,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 1,300 | $10,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 2,069 | $10,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 750 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ZAFGEN INC | 98885E103 | COM | 3,131 | $10,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 583 | $10,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 3,895 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| VWO | 922042858 | SHS | 122 | $9,000 | thousands by filing date | put |
| ACCURAY INC DEL | 004397105 | COM | 23,400 | $9,000 | thousands by filing date | call |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $9,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 6,250 | $9,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 600 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $9,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,400 | $9,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 6,000 | $9,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $9,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 11,000 | $9,000 | thousands by filing date | principal |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $9,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 248 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 344 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 352 | $9,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,501 | $9,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $9,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,075 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 324 | $9,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 590 | $9,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 7,000 | $9,000 | thousands by filing date | principal |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 9,000 | $9,000 | thousands by filing date | principal |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 265 | $9,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 65,000 | $8,000 | thousands by filing date | put |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 22,200 | $8,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 82,900 | $8,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 235,200 | $8,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 380 | $8,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 58,300 | $8,000 | thousands by filing date | call |
| POST HLDGS INC | 737446104 | COM | 6,100 | $8,000 | thousands by filing date | call |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,002 | $8,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,901 | $8,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 1,001 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 673 | $8,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,500 | $8,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,112 | $8,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 30,100 | $8,000 | thousands by filing date | put |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,050 | $8,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 4,000 | $8,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 8,000 | $8,000 | thousands by filing date | principal |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,080 | $8,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 3,312 | $8,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 10,000 | $8,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 811 | $8,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 500 | $8,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 12,841 | $8,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 34,500 | $7,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 113,500 | $7,000 | thousands by filing date | put |
| Caterpillar Inc. | 149123101 | COM | 14,700 | $7,000 | thousands by filing date | put |
| Eaton Corp. Plc | G29183103 | COM | 10,300 | $7,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,701 | $7,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 312 | $7,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 50 | $7,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,178 | $7,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $7,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 8,924 | $7,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 791 | $7,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 983 | $7,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 500 | $7,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 19,000 | $7,000 | thousands by filing date | call |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $7,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 185,200 | $7,000 | thousands by filing date | call |
| GLOBAL SOURCES LTD | G39300101 | ORD | 792 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $7,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 307 | $7,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 2,454 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,302 | $7,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 6,233 | $7,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 1,582 | $7,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 2,000 | $7,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 12,600 | $6,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 28,800 | $6,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 40,000 | $6,000 | thousands by filing date | put |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 126 | $6,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 592 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 500 | $6,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 175 | $6,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 830 | $6,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $6,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 777 | $6,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,051 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $6,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 300 | $6,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,000 | $6,000 | thousands by filing date | put |
| MONSANTO CO NEW | 61166W101 | COM | 29,400 | $6,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 4,013 | $6,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 594 | $6,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,060 | $6,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 308 | $6,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 250,000 | $6,000 | thousands by filing date | put |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,255 | $6,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 94,500 | $6,000 | thousands by filing date | call |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 4,639 | $6,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,500 | $6,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 6,000 | $6,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $6,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,504 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 442 | $6,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 450 | $6,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 250 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 310 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 314 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 400 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 345 | $6,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,039 | $6,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $6,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,800 | $6,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 253 | $6,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 240 | $6,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 492 | $6,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 249 | $6,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 256 | $6,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 5,500 | $6,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 45,000 | $5,000 | thousands by filing date | call |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 5,500 | $5,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 246 | $5,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 200 | $5,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 30,200 | $5,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,849 | $5,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 401 | $5,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,147 | $5,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 4,720 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 271 | $5,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 294 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,001 | $5,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 2,000 | $5,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 250 | $5,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 236 | $5,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 518 | $5,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 6,000 | $5,000 | thousands by filing date | principal |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 8,000 | $5,000 | thousands by filing date | put |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,812 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,091 | $5,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,410 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 416 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 200 | $5,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 121 | $5,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 300 | $5,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 541 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,989 | $5,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 400 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,200 | $5,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 266 | $5,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,000 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 523 | $5,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,482 | $5,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 3,249 | $5,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 5,000 | $5,000 | thousands by filing date | principal |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 5,242 | $5,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYSTEMS GROUP INC | 01167PAE1 | CV SR SUB NT | 5,000 | $5,000 | thousands by filing date | principal |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 1,330 | $5,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 110 | $4,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 11,900 | $4,000 | thousands by filing date | put |
| NUTANIX INC CL A | 67059N108 | Stock | 100 | $4,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 134 | $4,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 220 | $4,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 53,200 | $4,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 15,600 | $4,000 | thousands by filing date | put |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 239 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 93 | $4,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,000 | $4,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 51 | $4,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 761 | $4,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 140 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 56 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 131 | $4,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 102 | $4,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| GLOBALSTAR INC | 378973408 | COM | 55,600 | $4,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 1,001 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 201 | $4,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 11,000 | $4,000 | thousands by filing date | put |
| TEARLAB CORP | 878193101 | COM | 5,600 | $4,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 11,010 | $4,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 3,000 | $4,000 | thousands by filing date | principal |
| RENREN INC | 759892102 | SPONSORED ADR | 2,241 | $4,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 6,502 | $4,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 5,934 | $4,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 8,549 | $4,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 5,000 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 593 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 158 | $4,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 320 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 301 | $4,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 185 | $4,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 400 | $4,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 597 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 100 | $4,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,000 | $4,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 79 | $4,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 2,000 | $4,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 606 | $4,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 5,440 | $4,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 2,000 | $4,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 1,014 | $4,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 12,747 | $4,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 40 | $3,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 200,000 | $3,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 7,059 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 123 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 100 | $3,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 245 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 98 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 7,420 | $3,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 1,700 | $3,000 | thousands by filing date | put |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 400 | $3,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 20,000 | $3,000 | thousands by filing date | call |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 25,000 | $3,000 | thousands by filing date | call |
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 |