13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-01, with 6,606 holding rows worth $283,306,967,000.
- Accession
- 0000072971-17-000235
- Filer
- CIK 72971
- Filed
- 2017-02-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 19,945 entries on the cover page, a total value of $283,306,967,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $283,306,967,000 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 CLEARING SERVICES, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- 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
- included managerAnalytic Investors, LLC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerAnalytic Investors, LLC reporting on behalf of SEI INVESTMENTS CO
- included managerAnalytic Investors, LLC reporting on behalf of 361 CAPITAL LLC
- included managerANALYTIC INVESTORS, LLC028-04895
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 |
|---|---|---|---|---|---|---|
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 2,187 | $315,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 37,252 | $315,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 4,537 | $315,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 115,138 | $315,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 43,754 | $315,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 23,991 | $315,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 9,191 | $314,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 6,586 | $314,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 27,072 | $313,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 11,957 | $312,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 23,976 | $312,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 7,874 | $311,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 10,658 | $311,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 196,000 | $310,000 | thousands by filing date | put |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 46,686 | $310,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 23,613 | $310,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 43,309 | $310,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 15,575 | $310,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 8,445 | $309,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 20,001 | $308,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 6,316 | $308,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 56,005 | $308,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 303,000 | $306,000 | thousands by filing date | principal |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 93,600 | $305,000 | thousands by filing date | put |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 21,683 | $305,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 12,801 | $305,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 8,452 | $304,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 12,790 | $303,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 37,132 | $303,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 100,500 | $302,000 | thousands by filing date | call |
| DAKTRONICS INC | 234264109 | COM | 28,168 | $302,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 11,307 | $302,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 13,844 | $302,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 10,979 | $302,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 27,683 | $301,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 19,666 | $301,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 9,226 | $301,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 2,449 | $300,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 21,300 | $300,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 403,800 | $299,000 | thousands by filing date | call |
| REGENXBIO INC | 75901B107 | COM | 16,034 | $297,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 21,420 | $297,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 12,869 | $295,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 28,066 | $294,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 5,232 | $293,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 10,958 | $293,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 29,830 | $293,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 3,238 | $293,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 217,970 | $292,000 | thousands by filing date | put |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 21,373 | $292,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 17,582 | $292,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 44,248 | $292,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 16,715 | $291,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 14,925 | $291,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 22,137 | $290,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 36,089 | $290,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 23,956 | $290,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 17,204 | $290,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 34,650 | $289,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 14,593 | $289,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 36,619 | $288,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 52,349 | $288,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 18,145 | $288,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 50,657 | $288,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 69,900 | $287,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 55,600 | $286,000 | thousands by filing date | put |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 18,425 | $286,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 89,966 | $286,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 17,678 | $286,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 135,000 | $284,000 | thousands by filing date | call |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 12,049 | $284,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 8,864 | $283,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 61,123 | $281,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 9,261 | $281,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 25,053 | $281,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 21,014 | $280,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 14,172 | $280,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 91,055 | $280,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 32,315 | $279,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 29,948 | $279,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 7,507 | $279,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 208,500 | $278,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 37,376 | $278,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 10,922 | $278,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 76,619 | $277,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 12,767 | $277,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 8,166 | $277,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 8,357 | $275,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 24,103 | $275,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 4,059 | $274,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 8,364 | $274,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 74,521 | $274,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 36,069 | $272,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 247,011 | $272,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 67,600 | $271,000 | thousands by filing date | call |
| CHANNELADVISOR CORP | 159179100 | COM | 18,863 | $271,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 14,363 | $270,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 16,155 | $269,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 17,925 | $269,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 122,303 | $269,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 8,664 | $268,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 106,400 | $268,000 | thousands by filing date | call |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 17,213 | $268,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 40,600 | $268,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 18,548 | $267,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 481,800 | $267,000 | thousands by filing date | call |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 8,404 | $266,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 38,150 | $265,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 3,903 | $264,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 11,325 | $263,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 21,947 | $263,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 66,501 | $263,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 10,288 | $262,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 7,551 | $261,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 35,390 | $261,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 12,263 | $261,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 170,167 | $260,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 285,833 | $260,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 25,250 | $258,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 10,443 | $258,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 25,267 | $258,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 245,000 | $257,000 | thousands by filing date | principal |
| POWELL INDS INC | 739128106 | COM | 6,586 | $256,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 57,500 | $256,000 | thousands by filing date | call |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 15,691 | $256,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 40,497 | $256,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 6,467 | $255,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 20,939 | $255,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 22,752 | $254,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 17,115 | $254,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 7,038 | $254,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 32,864 | $253,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 15,597 | $253,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 17,269 | $253,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 100,319 | $251,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 176,465 | $251,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 11,244 | $251,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 4,871 | $251,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 9,953 | $251,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 47,174 | $250,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 16,636 | $250,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 15,946 | $250,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 500,000 | $250,000 | thousands by filing date | put |
| PIMCO MUN INCOME FD | 72200R107 | COM | 17,313 | $249,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 79,772 | $248,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 35,447 | $248,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 26,173 | $247,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 20,007 | $247,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 27,034 | $246,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 44,444 | $246,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 6,823 | $245,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 23,547 | $245,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 13,942 | $244,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 62,995 | $243,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 6,247 | $243,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 47,110 | $243,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 8,386 | $243,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 4,485 | $243,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 52,461 | $243,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 15,895 | $242,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 16,708 | $242,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 29,423 | $242,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 26,515 | $242,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 11,248 | $241,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,281 | $240,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 24,354 | $240,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 85,226 | $239,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 5,800 | $239,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 25,714 | $239,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 6,242 | $238,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 10,302 | $238,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 6,815 | $237,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 17,426 | $237,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 7,390 | $237,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 17,195 | $236,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 19,135 | $236,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 183,000 | $236,000 | thousands by filing date | principal |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 4,472 | $235,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 15,938 | $235,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 11,338 | $235,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 24,063 | $234,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 6,231 | $234,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 112,538 | $233,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 16,577 | $233,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 10,461 | $232,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 100,000 | $232,000 | thousands by filing date | call |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 4,642 | $232,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 27,844 | $231,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 9,169 | $231,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 4,685 | $231,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 225,000 | $231,000 | thousands by filing date | principal |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 63,072 | $230,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 12,794 | $229,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 16,866 | $229,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 24,555 | $229,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 26,844 | $229,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 2,763 | $228,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 35,073 | $228,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 42,467 | $228,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 19,893 | $227,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 35,189 | $227,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 17,100 | $227,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 100,000 | $226,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,938 | $226,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 276,000 | $226,000 | thousands by filing date | principal |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,812 | $226,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 14,229 | $225,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 11,555 | $225,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 32,360 | $224,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 23,951 | $223,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 14,696 | $223,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 21,117 | $222,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 20,663 | $221,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 14,676 | $220,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 8,602 | $220,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 10,403 | $219,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 8,358 | $219,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 8,000 | $219,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 47,194 | $218,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 14,166 | $218,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 16,907 | $217,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 50,000 | $216,000 | thousands by filing date | call |
| SIERRA BANCORP | 82620P102 | COM | 8,125 | $216,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 39,311 | $215,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 85,088 | $215,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 18,054 | $214,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 35,000 | $213,000 | thousands by filing date | put |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 30,438 | $213,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,683 | $212,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 6,950 | $212,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 12,422 | $212,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 1,335,600 | $211,000 | thousands by filing date | put |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 13,306 | $211,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 15,676 | $211,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 27,325 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 13,637 | $210,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 21,046 | $210,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 11,321 | $210,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 20,383 | $210,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 1,900,000 | $209,000 | thousands by filing date | put |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,983 | $209,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 62,156 | $209,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 3,237 | $209,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 12,915 | $209,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 460,000 | $208,000 | thousands by filing date | call |
| VICOR CORP | 925815102 | COM | 13,764 | $208,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 9,063 | $208,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 8,364 | $208,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 17,480 | $208,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 15,253 | $208,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 5,922 | $207,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 23,172 | $207,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 25,771 | $207,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 16,702 | $207,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 220,000 | $207,000 | thousands by filing date | principal |
| BB & T CORP | 054937107 | COM | 152,600 | $206,000 | thousands by filing date | put |
| ORCHID IS CAP INC | 68571X103 | COM | 19,007 | $206,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 28,511 | $206,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 18,114 | $205,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 10,307 | $205,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 7,724 | $205,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 10,283 | $205,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 10,606 | $205,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,284 | $205,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 300,000 | $204,000 | thousands by filing date | call |
| REALTY INCOME CORP COM | 756109104 | REIT | 111,300 | $204,000 | thousands by filing date | put |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 22,910 | $204,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 21,878 | $204,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 2,250 | $204,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 34,608 | $204,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 44,496 | $204,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 27,487 | $203,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 15,160 | $203,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 21,982 | $203,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 16,528 | $203,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 28,425 | $202,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 151,302 | $202,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 8,360 | $202,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 8,546 | $202,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 100,000 | $201,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 90,000 | $201,000 | thousands by filing date | call |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 13,612 | $200,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 19,214 | $200,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 15,792 | $200,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 11,808 | $200,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 14,924 | $200,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 11,144 | $199,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 2,656 | $199,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 29,095 | $199,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $198,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 39,300 | $198,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 112,200 | $197,000 | thousands by filing date | put |
| TITAN MACHY INC | 88830R101 | COM | 13,457 | $196,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 3,862 | $195,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 6,486 | $195,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 21,134 | $195,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 22,276 | $194,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 183,000 | $194,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 195,000 | $194,000 | thousands by filing date | principal |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 32,688 | $193,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 44,466 | $193,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 8,315 | $192,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 6,153 | $192,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 7,417 | $192,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 50,000 | $191,000 | thousands by filing date | put |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 20,322 | $191,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 7,365 | $191,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 4,234 | $190,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 11,854 | $188,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 4,541 | $188,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 180,156 | $187,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 5,485 | $186,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 22,467 | $186,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 765 | $185,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 5,059 | $185,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 12,001 | $185,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 15,717 | $185,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 23,244 | $184,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 32,252 | $184,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,026 | $184,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 4,216 | $183,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 26,000 | $183,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 9,303 | $182,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 14,201 | $182,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 207,000 | $182,000 | thousands by filing date | principal |
| Dws Strategic Muni Incm | 25159F102 | COM | 15,009 | $182,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 173,000 | $182,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 5,306 | $181,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 5,447 | $180,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 17,048 | $180,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 11,504 | $180,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 90,048 | $180,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 36,191 | $179,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 70,100 | $178,000 | thousands by filing date | put |
| BEL FUSE INC | 077347300 | CL B | 5,770 | $178,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 8,701 | $178,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 900 | $177,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 80,000 | $176,000 | thousands by filing date | put |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 18,805 | $176,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 6,459 | $175,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 8,012 | $175,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 16,145 | $175,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 9,887 | $175,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 6,651 | $174,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 13,671 | $174,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 16,228 | $173,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 11,118 | $173,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 4,605 | $173,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 11,320 | $172,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 17,799 | $172,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 421,200 | $171,000 | thousands by filing date | put |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 17,064 | $171,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 7,926 | $170,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 5,389 | $169,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 3,601 | $169,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 3,437 | $169,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 25,820 | $169,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 35,922 | $168,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 158,300 | $167,000 | thousands by filing date | put |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 90,000 | $167,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 7,808 | $166,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 4,957 | $166,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 4,305 | $166,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 12,118 | $166,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 92,830 | $165,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,225 | $164,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 9,380 | $164,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 6,130 | $164,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 768,809 | $164,000 | thousands by filing date | call |
| WEST MARINE INC | 954235107 | COM | 15,638 | $164,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 84,088 | $164,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 11,698 | $163,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 10,367 | $163,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 24,819 | $163,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 18,680 | $163,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 56,151 | $163,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 110,262 | $162,000 | thousands by filing date | put |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 22,194 | $162,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 10,678 | $162,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 5,682 | $162,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 2,341 | $161,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 14,677 | $161,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 6,671 | $161,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 48,000 | $161,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 7,119 | $161,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 6,638 | $161,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 4,447 | $161,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 24,981 | $160,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 1,645,000 | $159,000 | thousands by filing date | call |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 3,205 | $159,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,163 | $159,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 18,373 | $158,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 6,191 | $158,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 10,170 | $158,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 66,503 | $158,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 3,132 | $158,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 6,622 | $158,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 115,515 | $157,000 | thousands by filing date | put |
| INVENTURE FOODS INC | 461212102 | COM | 15,978 | $157,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 150,000 | $156,000 | thousands by filing date | principal |
| Prologis,Inc. | 74340W103 | COM | 184,000 | $155,000 | thousands by filing date | call |
| TARGET CORP COM | 87612E106 | Stock | 53,124 | $155,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 10,759 | $155,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 7,497 | $155,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 35,753 | $155,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 2,496 | $154,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 77,000 | $154,000 | thousands by filing date | call |
| ARCONIC INC | 03965L100 | COM | 248,200 | $154,000 | thousands by filing date | put |
| DATALINK CORP | 237934104 | COMMON STOCK | 13,675 | $154,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 147,000 | $154,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 3,543 | $154,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 173,700 | $153,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 20,000 | $152,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 126,779 | $152,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 12,964 | $152,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 44,777 | $152,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 85,300 | $151,000 | thousands by filing date | call |
| LANDS END INC | 51509F105 | COMMON STOCK | 9,943 | $151,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 21,430 | $151,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 4,775 | $150,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 22,445 | $150,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 19,500 | $150,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 6,268 | $149,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 915,000 | $149,000 | thousands by filing date | call |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 70,000 | $148,000 | thousands by filing date | call |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 35,334 | $148,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 27,750 | $148,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 40,895 | $147,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 11,742 | $147,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 15,713 | $146,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,206 | $146,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 7,676 | $145,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 10,402 | $145,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 24,250 | $145,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 5,351 | $145,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 25,368 | $145,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 21,644 | $144,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 9,364 | $144,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 72,000 | $144,000 | thousands by filing date | principal |
| Micron Technology,Inc. | 595112103 | COM | 80,000 | $143,000 | thousands by filing date | call |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 36,038 | $143,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 11,279 | $143,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 4,646 | $143,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 24,001 | $143,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 4,893 | $143,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 6,152 | $143,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 3,440 | $142,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 7,633 | $142,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,219 | $142,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 12,848 | $142,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 22,631 | $142,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 37,817 | $142,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 46,542 | $142,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 18,575 | $142,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 291,100 | $141,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 344,000 | $141,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 60,000 | $141,000 | thousands by filing date | put |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 20,750 | $141,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 492,000 | $140,000 | thousands by filing date | put |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 13,147 | $140,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 181,000 | $140,000 | thousands by filing date | principal |
| BEAR ST FINL INC | 073844102 | COM | 13,829 | $140,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 94,800 | $139,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 2,396 | $139,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 6,924 | $139,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 17,684 | $139,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 150,000 | $139,000 | thousands by filing date | principal |
| FANG HOLDING-ADR | 30711Y102 | ADR | 42,240 | $139,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 770 | $139,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 6,690 | $139,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 25,000 | $138,000 | thousands by filing date | put |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 3,783 | $138,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 23,213 | $138,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 4,488 | $138,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 127,000 | $138,000 | thousands by filing date | principal |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 7,197 | $138,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 134,560 | $137,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 20,743 | $137,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 13,089 | $136,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,583 | $136,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 8,509 | $136,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 3,938 | $136,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 14,748 | $136,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 6,510 | $135,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 558,800 | $135,000 | thousands by filing date | put |
| SOCIETAL CDMO INC | 75629F109 | COM | 16,700 | $135,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 13,223 | $135,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 100,000 | $134,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 104,900 | $134,000 | thousands by filing date | call |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 133,000 | $134,000 | thousands by filing date | principal |
| NANTKWEST INC | 63016Q102 | COM | 23,514 | $134,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 13,098 | $134,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 40,000 | $133,000 | thousands by filing date | call |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 18,223 | $133,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 403,900 | $133,000 | thousands by filing date | call |
| HURCO CO | 447324104 | COM | 4,009 | $133,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,273 | $133,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 3,300 | $133,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 15,089 | $133,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 230,100 | $133,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-17-000235 | this filing | 2017-02-01 | acceptance time not in the bulk data set |