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 |
|---|---|---|---|---|---|---|
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 241,475 | $461,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 475,258 | $460,000 | thousands by filing date | put |
| Surmodics Inc | 868873100 | Common Stock | 15,229 | $458,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 5,281 | $456,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 357,500 | $454,000 | thousands by filing date | call |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 29,504 | $454,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 17,727 | $454,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 76,400 | $453,000 | thousands by filing date | call |
| ESSENDANT INC | 296689102 | COM | 21,964 | $451,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 32,428 | $451,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 56,541 | $449,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 30,271 | $448,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 23,871 | $447,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 14,782 | $447,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 51,400 | $447,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 31,254 | $447,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 6,375 | $446,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 8,684 | $444,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 8,883 | $442,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 43,911 | $442,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 12,066 | $441,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 426,000 | $441,000 | thousands by filing date | principal |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 23,913 | $440,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 17,574 | $440,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 400,000 | $439,000 | thousands by filing date | principal |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 33,460 | $438,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 33,755 | $437,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 250,000 | $435,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 51,606 | $435,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 32,833 | $434,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 67,758 | $432,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 38,643 | $432,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,435 | $431,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 458,000 | $431,000 | thousands by filing date | principal |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 15,483 | $430,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 11,852 | $429,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 17,937 | $429,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 15,725 | $428,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 16,860 | $428,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 154,900 | $427,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 19,160 | $424,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 2,857 | $423,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 54,398 | $423,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 30,429 | $421,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 19,692 | $420,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 54,429 | $419,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 22,273 | $419,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 37,683 | $419,000 | thousands by filing date | |
| WHITING PETROLEUM CORP | 966387AX0 | DEBT | 417,600 | $419,000 | thousands by filing date | principal |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 37,722 | $417,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 41,705 | $415,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 22,325 | $415,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 31,146 | $415,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 37,357 | $415,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 50,841 | $414,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 41,793 | $414,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 130,000 | $413,000 | thousands by filing date | call |
| SPX CORP | 784635104 | COMMON STOCK | 20,267 | $408,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 583,400 | $408,000 | thousands by filing date | put |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 82,565 | $406,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 190,700 | $405,000 | thousands by filing date | call |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 19,377 | $404,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 19,336 | $403,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 217,100 | $403,000 | thousands by filing date | put |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 147,050 | $403,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 21,315 | $402,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 941 | $402,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 240,900 | $400,000 | thousands by filing date | put |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 50,000 | $400,000 | thousands by filing date | call |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 25,109 | $400,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 48,444 | $400,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 49,909 | $399,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 25,837 | $399,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 22,943 | $399,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 6,673 | $397,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 27,301 | $397,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 53,557 | $397,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 1,974 | $396,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 638,728 | $396,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 16,409 | $394,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 26,451 | $394,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 43,434 | $394,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 22,850 | $393,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 480,638 | $393,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 40,325 | $392,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 99,708 | $391,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 14,958 | $391,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 33,043 | $390,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 13,029 | $390,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 6,800 | $390,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 52,054 | $390,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 8,156 | $389,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 17,529 | $388,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 22,500 | $387,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 22,484 | $385,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 47,324 | $385,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 60,144 | $385,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 28,376 | $384,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 96,007 | $383,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 16,105 | $383,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 8,958 | $383,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 66,500 | $382,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 8,377 | $382,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 64,060 | $382,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 50,000 | $381,000 | thousands by filing date | put |
| McCormick & Company Inc | 579780107 | COM | 3,800 | $381,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 17,948 | $380,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 25,850 | $380,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 2,330 | $378,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 32,523 | $378,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 6,820 | $378,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 11,513 | $378,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 24,471 | $377,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 312,000 | $376,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 6,173 | $376,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 21,995 | $373,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 828,600 | $372,000 | thousands by filing date | put |
| SCHOLASTIC CORP COM | 807066105 | Stock | 9,420 | $371,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,127 | $371,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 27,775 | $370,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 303,100 | $369,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 140,812 | $369,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 30,900 | $369,000 | thousands by filing date | call |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 11,535 | $369,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 19,613 | $369,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 11,439 | $368,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 25,255 | $368,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 186,500 | $367,000 | thousands by filing date | call |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 14,806 | $367,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 304,800 | $364,000 | thousands by filing date | call |
| ATRICURE INC | 04963C209 | COM | 23,015 | $364,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 44,083 | $363,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 61,979 | $362,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 16,922 | $361,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 269,800 | $359,000 | thousands by filing date | call |
| PGT INNOVATIONS INC | 69336V101 | COM | 33,698 | $359,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 15,102 | $359,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 19,315 | $359,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 35,000 | $358,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 38,078 | $358,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 13,360 | $358,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 293,273 | $358,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 10,052 | $357,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 363,000 | $356,000 | thousands by filing date | principal |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 24,395 | $355,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 45,600 | $355,000 | thousands by filing date | call |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 28,620 | $355,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 86,575 | $355,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 14,512 | $354,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 4,281 | $354,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 20,900 | $353,000 | thousands by filing date | call |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 25,883 | $351,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 5,224 | $349,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 26,811 | $348,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 19,248 | $348,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 82,469 | $347,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 114,810 | $347,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 100,000 | $346,000 | thousands by filing date | call |
| Schwab US TIPS ETF | 808524870 | SHS | 6,025 | $344,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 26,309 | $344,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 3,916 | $343,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 22,605 | $343,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 15,136 | $342,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 8,769 | $342,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 13,875 | $342,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 31,893 | $340,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 28,619 | $340,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 11,100 | $340,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 5,675 | $340,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 6,399 | $339,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 209,000 | $339,000 | thousands by filing date | principal |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 22,647 | $339,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 23,435 | $338,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 53,193 | $338,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 2,150,000 | $337,000 | thousands by filing date | put |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 7,410 | $337,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 13,250 | $336,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 28,061 | $336,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 20,068 | $336,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 20,825 | $335,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 10,238 | $334,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 27,636 | $332,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 17,345 | $332,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 19,722 | $332,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 15,306 | $331,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 16,663 | $331,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 24,592 | $331,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 31,901 | $331,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 6,208 | $329,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 76,400 | $329,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 36,561 | $328,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 11,665 | $328,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 69,421 | $328,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 580,400 | $327,000 | thousands by filing date | put |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 25,930 | $327,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 23,435 | $324,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 32,135 | $324,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 20,548 | $324,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 10,204 | $324,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 31,480 | $323,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 19,679 | $322,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 10,888 | $322,000 | thousands by filing date | |
| ROFIN-SINAR TECHNOLOGIES INC | 775043102 | COMMON STOCK | 10,008 | $322,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 334,000 | $322,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075F106 | COM | 259,058 | $321,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 258,770 | $320,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 27,763 | $320,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 25,968 | $320,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 46,756 | $320,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 34,000 | $319,000 | thousands by filing date | call |
| FQF TR | 351680855 | OSHARS FTSE US | 11,646 | $319,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 19,811 | $318,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 78,383 | $317,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 20,000 | $316,000 | thousands by filing date | call |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 32,973 | $316,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 41,083 | $316,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 22,037 | $316,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 53,254 | $315,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RTK7 | MTNF 0.125 3/1 | 325,000 | $315,000 | thousands by filing date | principal |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 46,686 | $314,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 10,443 | $313,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 17,183 | $313,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 22,413 | $313,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 9,532 | $312,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 95,946 | $312,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 8,821 | $312,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 9,257 | $312,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 740 | $311,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 87,549 | $311,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 24,310 | $311,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 24,417 | $310,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 5,231 | $310,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 100,400 | $309,000 | thousands by filing date | call |
| ISHARES TR | 464288430 | ASIA 50 ETF | 6,174 | $309,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 90 | $309,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 25,695 | $309,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 6,078 | $308,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 20,105 | $308,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 17,922 | $307,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 24,115 | $307,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 28,100 | $307,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 171,423 | $306,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 133,800 | $305,000 | thousands by filing date | call |
| CHARLES + COLVARD LTD | 159765106 | COM | 262,642 | $305,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 4,517 | $304,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 50,446 | $304,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 11,998 | $304,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 208,200 | $303,000 | thousands by filing date | put |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 183,400 | $303,000 | thousands by filing date | call |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 9,140 | $303,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 26,500 | $303,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 20,489 | $301,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 59,440 | $300,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 43,331 | $300,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 20,249 | $300,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 13,544 | $299,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 33,495 | $298,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 5,834 | $297,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 4,480 | $296,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 340,000 | $295,000 | thousands by filing date | call |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 5,769 | $294,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 28,193 | $294,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 8,848 | $293,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 6,611 | $293,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 27,378 | $293,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 4,322 | $293,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 42,956 | $293,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 20,211 | $291,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 19,993 | $290,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 15,484 | $289,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 24,438 | $289,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 6,740 | $287,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 36,325 | $286,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 33,686 | $286,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 20,648 | $286,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 30,198 | $285,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 8,743 | $283,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 13,499 | $283,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 10,000 | $281,000 | thousands by filing date | call |
| ARTIVION INC | 228903100 | COM | 15,909 | $280,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 5,851 | $280,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 1,159,400 | $279,000 | thousands by filing date | call |
| MCGRATH RENTCORP | 580589109 | COM | 8,778 | $279,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 23,019 | $278,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 35,000 | $277,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 37,377 | $277,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 26,366 | $277,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 245,000 | $277,000 | thousands by filing date | principal |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 17,801 | $277,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 9,200 | $276,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 31,200 | $276,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 15,100 | $276,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 7,538 | $274,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 26,220 | $274,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 70,883 | $274,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 25,589 | $274,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 15,197 | $273,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 30,434 | $273,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 334,600 | $272,000 | thousands by filing date | put |
| WIX COM LTD SHS | M98068105 | Stock | 6,263 | $272,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 7,555 | $272,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 5,065 | $271,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 426,000 | $271,000 | thousands by filing date | principal |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 16,729 | $270,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 64,600 | $270,000 | thousands by filing date | call |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 17,001 | $270,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 18,788 | $270,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 35,130 | $270,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 29,036 | $269,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 9,672 | $269,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 92,810 | $268,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 9,068 | $267,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 38,680 | $266,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 13,963 | $266,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 21,195 | $266,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 13,142 | $265,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 16,636 | $263,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 16,574 | $263,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 7,712 | $263,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 9,549 | $262,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 11,009 | $261,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 10,886 | $261,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 36,313 | $261,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 40,758 | $259,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 10,530 | $259,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 21,985 | $259,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 49,032 | $259,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 27,697 | $259,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 11,393 | $258,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 64,142 | $258,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 6,651 | $258,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 15,528 | $258,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 16,710 | $257,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 91,895 | $257,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 200,000 | $256,000 | thousands by filing date | put |
| WINNEBAGO INDS INC | 974637100 | COM | 10,859 | $256,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 74,000 | $256,000 | thousands by filing date | put |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 36,629 | $255,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 14,130 | $255,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 35,809 | $254,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 11,152 | $254,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 29,500 | $253,000 | thousands by filing date | put |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 9,030 | $252,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 9,081 | $251,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 6,767 | $251,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 26,292 | $251,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 18,743 | $249,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 76,900 | $249,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 39,455 | $249,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 233,200 | $248,000 | thousands by filing date | call |
| VIRTU FINL INC | 928254101 | CL A | 16,571 | $248,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 24,560 | $248,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 4,694 | $248,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 20,539 | $247,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 18,676 | $247,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 58,393 | $247,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 167,900 | $246,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 19,462 | $246,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 23,874 | $246,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 6,652 | $244,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 18,677 | $244,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 235,000 | $244,000 | thousands by filing date | principal |
| RED ROCK RESORTS INC | 75700L108 | CL A | 10,301 | $243,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 15,095 | $243,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 22,416 | $243,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 5,196 | $242,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 19,083 | $241,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 7,456 | $241,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 3,711 | $241,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 97,586 | $241,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,913 | $241,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 22,020 | $239,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 14,129 | $239,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 18,627 | $239,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 6,116 | $238,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 12,671 | $238,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 32,104 | $238,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 5,918 | $238,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 65,246 | $238,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 31,292 | $238,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 2,417 | $237,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 7,405 | $237,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 19,122 | $237,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 32,825 | $236,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 17,400 | $235,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 21,494 | $235,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 910,500 | $234,000 | thousands by filing date | call |
| GULF IS FABRICATION INC | 402307102 | COM | 25,457 | $234,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,282 | $233,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 9,885 | $233,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 4,793 | $233,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 29,208 | $233,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 412,000 | $233,000 | thousands by filing date | principal |
| TRONOX LTD | Q9235V101 | SHS CL A | 24,904 | $232,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 29,894 | $232,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 12,122 | $231,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 36,553 | $231,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 14,427 | $231,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 211,000 | $230,000 | thousands by filing date | principal |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 12,051 | $230,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 11,525 | $229,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 10,864 | $228,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V | 62952QAB6 | NOTE 1.000%12/0 | 186,000 | $228,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 225,000 | $228,000 | thousands by filing date | principal |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 4,577 | $228,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 5,160 | $227,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 9,230 | $227,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 2,074 | $227,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 21,539 | $226,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 14,927 | $226,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 4,227 | $226,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 26,951 | $226,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 7,169 | $226,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 11,249 | $225,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 23,775 | $225,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 60,000 | $224,000 | thousands by filing date | put |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 19,539 | $224,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,700 | $224,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 53,400 | $223,000 | thousands by filing date | call |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 4,011 | $223,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 13,594 | $223,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 38,349 | $223,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 36,845 | $223,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 18,269 | $223,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 115,500 | $222,000 | thousands by filing date | put |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 6,945 | $222,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 9,529 | $222,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 13,406 | $222,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 183,000 | $222,000 | thousands by filing date | principal |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 276,000 | $221,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 23,200 | $221,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 199,000 | $220,000 | thousands by filing date | call |
| MINDBODY INC | 60255W105 | COM CL A | 11,191 | $220,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 8,547 | $219,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 18,487 | $219,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 77,859 | $219,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 23,783 | $218,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 3,457 | $218,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 14,380 | $218,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 3,332 | $217,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 12,913 | $217,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 5,734 | $217,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 16,607 | $217,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 9,881 | $217,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 18,235 | $217,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 21,162 | $216,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 11,695 | $216,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 20,670 | $215,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 15,901 | $215,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 5,658 | $214,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 37,560 | $214,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 11,212 | $213,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 16,445 | $213,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 12,391 | $212,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 16,812 | $211,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 13,716 | $211,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 12,383 | $210,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 27,415 | $210,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 102,679 | $210,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 13,411 | $210,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 5,296 | $210,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 23,127 | $209,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 683,100 | $209,000 | thousands by filing date | put |
| AEP INDUSTRIES INC | 001031103 | COM | 1,908 | $209,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 5,800 | $209,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 5,424 | $208,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 68,700 | $208,000 | thousands by filing date | call |
| BRIGHTCOVE INC | 10921T101 | COM | 15,919 | $208,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 5,679 | $208,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,100 | $206,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 34,712 | $206,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 52,672 | $206,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 20,052 | $206,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 302,800 | $205,000 | thousands by filing date | call |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 7,879 | $205,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 17,823 | $205,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 20,936 | $205,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 95,100 | $203,000 | thousands by filing date | call |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 6,842 | $203,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 2,391 | $203,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 18,143 | $202,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 72,800 | $202,000 | thousands by filing date | call |
| CENTURY ALUM CO | 156431108 | COM | 29,156 | $202,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 26,250 | $202,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 5,269 | $201,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 3,137 | $200,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 458 | $200,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 28,051 | $199,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 29,144 | $199,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 15,393 | $199,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 7,999 | $198,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 36,997 | $198,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 15,367 | $197,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 23,790 | $197,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 4,844 | $197,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 10,808 | $197,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 31,773 | $197,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 11,662 | $197,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 24,636 | $197,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 8,360 | $197,000 | 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 |