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 |
|---|---|---|---|---|---|---|
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 7,130 | $133,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 13,041 | $132,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 2,197 | $132,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 9,703 | $132,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $132,000 | thousands by filing date | principal |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 1,693 | $131,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 85,242 | $131,000 | thousands by filing date | put |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 4,673 | $131,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 18,315 | $131,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 21,699 | $130,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 13,042 | $130,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 24,001 | $129,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 5,151 | $129,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 10,924 | $129,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 20,777 | $129,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 66,680 | $129,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 86,479 | $129,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 5,213 | $129,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 60,650 | $128,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,581 | $128,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 9,175 | $128,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 39,462 | $128,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 6,395 | $128,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 27,972 | $128,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 32,109 | $127,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 92,300 | $127,000 | thousands by filing date | put |
| KOPIN CORP | 500600101 | COMMON STOCK | 44,669 | $127,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 3,436 | $127,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 238,141 | $126,000 | thousands by filing date | put |
| United Parcel Service,Inc. Class B | 911312106 | COM | 86,600 | $126,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 35,800 | $126,000 | thousands by filing date | call |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 228,900 | $126,000 | thousands by filing date | put |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 2,048 | $126,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 4,170 | $126,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 3,912 | $125,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 5,253 | $125,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 6,493 | $125,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 3,831 | $124,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 9,052 | $124,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $124,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 123,000 | $124,000 | thousands by filing date | principal |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 3,000 | $124,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $123,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 68,700 | $123,000 | thousands by filing date | put |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 150,000 | $123,000 | thousands by filing date | call |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 48,166 | $123,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 20,000 | $123,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 3,909 | $122,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 20,856 | $122,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 27,135 | $122,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 45,100 | $121,000 | thousands by filing date | call |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $121,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 13,550 | $121,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 2,438 | $121,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 2,160 | $121,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 19,951 | $120,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 3,040 | $120,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 6,954 | $120,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 4,433 | $119,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 6,682 | $119,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,361 | $119,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 11,781 | $119,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,791 | $119,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 23,054 | $119,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $119,000 | thousands by filing date | principal |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 7,749 | $118,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 3,735 | $118,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,946 | $118,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 9,792 | $118,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 9,602 | $118,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 23,241 | $118,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 7,401 | $118,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 9,780 | $117,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,577 | $117,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 7,701 | $117,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 112,456 | $117,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 4,500 | $116,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $116,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 5,219 | $115,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 5,679 | $115,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 5,493 | $115,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 7,073 | $115,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 5,665 | $115,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 8,779 | $115,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 3,216 | $114,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 45,229 | $114,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 11,084 | $114,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 27,018 | $114,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 7,272 | $113,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 54,193 | $113,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,916 | $113,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 8,094 | $113,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,883 | $113,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 4,291 | $113,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 7,256 | $112,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,383 | $112,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 18,952 | $112,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 6,104 | $111,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 12,196 | $111,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 20,885 | $111,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 5,390 | $110,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 5,842 | $110,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 2,376 | $110,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 15,613 | $110,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 8,314 | $109,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 10,258 | $109,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 12,831 | $109,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 18,442 | $108,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 8,673 | $108,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 12,944 | $108,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 14,176 | $108,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 150,000 | $107,000 | thousands by filing date | put |
| AVID TECHNOLOGY INC | 05367P100 | COM | 24,190 | $107,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 8,102 | $107,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 8,451 | $107,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 7,881 | $107,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 5,247 | $106,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 13,165 | $106,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 100,000 | $106,000 | thousands by filing date | put |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 40,807 | $106,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 6,479 | $106,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 3,771 | $106,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 7,566 | $105,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 815 | $105,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 121,000 | $105,000 | thousands by filing date | principal |
| AMBER ROAD INC | 02318Y108 | COM | 11,589 | $105,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 339,400 | $104,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 25,000 | $104,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 8,320 | $104,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 1,164 | $104,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 11,970 | $104,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 47,234 | $104,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 6,081 | $104,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 5,073 | $104,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 4,600 | $104,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 250,000 | $103,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,226 | $103,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 5,395 | $102,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 24,285 | $102,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 9,300 | $102,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 3,862 | $102,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 38,167 | $102,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 458,400 | $101,000 | thousands by filing date | put |
| EVERBRIDGE INC | 29978A104 | COM | 5,479 | $101,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 4,699 | $101,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 27,419 | $101,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 16,526 | $101,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 2,102 | $100,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 70,000 | $100,000 | thousands by filing date | put |
| CASEYS GEN STORES INC | 147528103 | COM | 63,300 | $99,000 | thousands by filing date | call |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 29,200 | $99,000 | thousands by filing date | call |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 2,933 | $99,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 164,300 | $99,000 | thousands by filing date | call |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 7,058 | $99,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 2,990 | $99,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 3,384 | $98,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 60,400 | $98,000 | thousands by filing date | put |
| PCM FD INC | 69323T101 | COM | 9,796 | $98,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 75,280 | $98,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 10,189 | $98,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 8,819 | $98,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,759 | $98,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 13,800 | $97,000 | thousands by filing date | call |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 6,479 | $97,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 97,000 | $97,000 | thousands by filing date | principal |
| JUST ENERGY GROUP INC | 48213W101 | COM | 17,709 | $97,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 45,412 | $97,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 31,301 | $96,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 7,527 | $96,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,541 | $96,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,019 | $96,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 100,000 | $96,000 | thousands by filing date | principal |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 61,413 | $95,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 5,680 | $95,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 29,196 | $95,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,705 | $95,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 980 | $94,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 9,027 | $94,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 11,100 | $94,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 4,111 | $94,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 309,700 | $93,000 | thousands by filing date | put |
| COMSTOCK RES INC COM | 205768302 | Stock | 9,481 | $93,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 14,943 | $93,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 96,911 | $93,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 5,326 | $93,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 8,032 | $93,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 93,000 | $93,000 | thousands by filing date | principal |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 4,167 | $93,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 21,312 | $93,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 18,953 | $92,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 125,000 | $92,000 | thousands by filing date | call |
| TECHTARGET INC | 87874R100 | COM | 10,771 | $92,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,500 | $92,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 5,423 | $91,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 6,913 | $91,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,550 | $91,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 35,200 | $91,000 | thousands by filing date | put |
| NUMEREX CORP -CL A | 67053A102 | CL A | 12,228 | $91,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 28,373 | $90,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 4,854 | $90,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 27,099 | $90,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,335 | $90,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,001 | $90,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 5,689 | $90,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 241,000 | $89,000 | thousands by filing date | call |
| CDW CORP COM | 12514G108 | Stock | 35,000 | $89,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,175 | $89,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 7,313 | $89,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 4,484 | $89,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 101,659 | $89,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 5,187 | $89,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 58,376 | $89,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,301 | $88,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 198,600 | $88,000 | thousands by filing date | put |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 32,141 | $88,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 4,070 | $88,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,440 | $88,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 10,291 | $88,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 500,000 | $87,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 2,797 | $87,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 6,545 | $87,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $87,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 8,163 | $87,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 111,000 | $86,000 | thousands by filing date | put |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 84,000 | $86,000 | thousands by filing date | principal |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 2,086 | $85,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 64,600 | $85,000 | thousands by filing date | put |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 4,171 | $85,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 49,958 | $85,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,508 | $84,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 7,211 | $84,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 77,507 | $83,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 435,900 | $83,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 21,282 | $83,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,198 | $83,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 2,831 | $82,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 9,404 | $82,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 5,100 | $82,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 18,762 | $82,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 31,663 | $82,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 86,711 | $82,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,259 | $82,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 6,701 | $81,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 4,409 | $81,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 80,000 | $81,000 | thousands by filing date | principal |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,053 | $80,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 6,500 | $80,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 6,282 | $80,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 5,501 | $80,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 410,200 | $79,000 | thousands by filing date | call |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 9,729 | $79,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 16,655 | $79,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 150,800 | $78,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 3,359 | $78,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 16,024 | $78,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 100,000 | $77,000 | thousands by filing date | call |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 600 | $77,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 50,000 | $77,000 | thousands by filing date | call |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 2,553 | $77,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,775 | $77,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 5,042 | $77,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 6,463 | $77,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 82,300 | $77,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 671,900 | $76,000 | thousands by filing date | put |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 6,378 | $76,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,862 | $76,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 31,000 | $76,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,500 | $76,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 13,200 | $75,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 17,281 | $75,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,201 | $75,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 2,850 | $75,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 4,700 | $74,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 3,052 | $74,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,401 | $73,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 2,842 | $73,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 14,500 | $72,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 12,008 | $72,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 13,800 | $72,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 2,865 | $72,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 50,610 | $72,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 4,626 | $72,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 803,600 | $71,000 | thousands by filing date | put |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,052 | $71,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 2,500 | $71,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 61,595 | $71,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 100,000 | $70,000 | thousands by filing date | put |
| VITAL THERAPIES INC | 92847R104 | COM | 15,986 | $70,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 27,379 | $69,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 1,232 | $69,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 18,230 | $69,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 10,982 | $69,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 3,061 | $69,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 16,256 | $69,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 8,814 | $68,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 81,900 | $67,000 | thousands by filing date | put |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 9,630 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,536 | $67,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 7,707 | $67,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 6,031 | $67,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $67,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 107,000 | $67,000 | thousands by filing date | principal |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 8,911 | $67,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 33,700 | $66,000 | thousands by filing date | call |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 7,000 | $66,000 | thousands by filing date | put |
| ESSA BANCORP INC COM | 29667D104 | Stock | 4,189 | $66,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 841 | $66,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 1,988 | $64,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 4,460 | $64,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 190,000 | $64,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 1,830 | $64,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 462 | $64,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 8,600 | $63,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,379 | $63,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 1,916 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 2,217 | $63,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 160,200 | $62,000 | thousands by filing date | call |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 80,900 | $62,000 | thousands by filing date | call |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 2,091 | $62,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 666 | $62,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 19,363 | $62,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,035 | $62,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 8,102 | $62,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 1,410 | $62,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 4,401 | $62,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 13,188 | $62,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 2,538 | $62,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 5,000 | $61,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,552 | $61,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 9,006 | $61,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 4,393 | $61,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 2,546 | $60,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,352 | $60,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 253,400 | $60,000 | thousands by filing date | call |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 10,767 | $60,000 | thousands by filing date | |
| WESTPAC BKG CORP NOTE | 961214DF7 | NOTE 4.322%11/2 | 60,000 | $60,000 | thousands by filing date | principal |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,050 | $59,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 50,000 | $58,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,083 | $58,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 2,371 | $58,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 652 | $58,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 16,142 | $58,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 6,000 | $57,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 50,000 | $57,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,208 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 501 | $57,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,789 | $57,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,836 | $57,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 3,755 | $57,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 1,119 | $56,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 4,145 | $56,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 15,270 | $56,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 41,500 | $56,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 11,132 | $55,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 8,137 | $54,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 9,969 | $54,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 2,076 | $54,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 39,500 | $53,000 | thousands by filing date | put |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,826 | $53,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 6,964 | $52,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,541 | $52,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 4,493 | $52,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 7,493 | $52,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $52,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 3,892 | $52,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 4,780 | $52,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 45,500 | $51,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 8,948 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 1,074 | $51,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 1,450 | $51,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 50,000 | $51,000 | thousands by filing date | principal |
| W & T OFFSHORE INC | 92922P106 | COM | 18,150 | $50,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 74,362 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 2,700 | $49,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 24,000 | $49,000 | thousands by filing date | put |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 2,974 | $49,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 8,000 | $49,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 90,000 | $49,000 | thousands by filing date | call |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $49,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 2,000 | $48,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 45,000 | $48,000 | thousands by filing date | call |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,914 | $48,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 3,827 | $48,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 22,165 | $48,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 2,604 | $48,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 394,900 | $47,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $47,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,700 | $47,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 2,757 | $47,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 1,752 | $47,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 50,000 | $46,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 150,000 | $46,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 3,597 | $46,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 15,701 | $46,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 21,623 | $46,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,719 | $46,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 101,000 | $45,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 35,000 | $45,000 | thousands by filing date | put |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 10,000 | $45,000 | thousands by filing date | call |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 3,043 | $45,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 33,316 | $45,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,817 | $45,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 10,750 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 430,300 | $44,000 | thousands by filing date | call |
| ALCOA CORP COM | 013872106 | Stock | 25,000 | $44,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 1,700 | $44,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,752 | $44,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $44,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 6,143 | $44,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,744 | $44,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 12,859 | $44,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 445 | $43,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 412,400 | $43,000 | thousands by filing date | put |
| FIRSTENERGY CORP | 337932107 | COM | 136,700 | $43,000 | thousands by filing date | call |
| D R HORTON INC COM | 23331A109 | Stock | 338,400 | $43,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 155,100 | $43,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 2,743 | $43,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,725 | $43,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $43,000 | thousands by filing date | principal |
| AUTODESK INC COM | 052769106 | Stock | 18,700 | $42,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 704 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 774 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 613 | $42,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 3,300 | $42,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $42,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,988 | $42,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 2,183 | $42,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 12,860 | $42,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 71,687 | $42,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,240 | $42,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,001 | $42,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 25,050 | $42,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 258,140 | $41,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 142,800 | $41,000 | thousands by filing date | put |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,594 | $41,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 3,762 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $41,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 12,555 | $41,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,582 | $41,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,500 | $41,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 23,550 | $41,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 3,001 | $40,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 2,000 | $40,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 7,543 | $40,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 10,003 | $40,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 7,600 | $40,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 2,500 | $40,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 55,000 | $39,000 | thousands by filing date | put |
| LENNAR CORP CL B | 526057302 | Stock | 1,128 | $39,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,500 | $39,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 31,000 | $39,000 | thousands by filing date | principal |
| Emergent Capital | 29102N105 | Com | 31,776 | $39,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 1,337 | $38,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,201 | $38,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 3,959 | $38,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 38,000 | $38,000 | thousands by filing date | principal |
| ENDOCYTE INC | 29269A102 | COM | 14,789 | $38,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 89,000 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 1,875 | $38,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $37,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 4,269 | $37,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 2,047 | $37,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 256,800 | $36,000 | thousands by filing date | put |
| VULCAN MATLS CO COM | 929160109 | Stock | 21,500 | $36,000 | thousands by filing date | call |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,405 | $36,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,418 | $36,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 32,567 | $36,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,926 | $36,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 17,542 | $36,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 2,416 | $36,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 6,200 | $36,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 32,000 | $36,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 111,900 | $35,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 55,009 | $35,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 3,390 | $35,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 20,000 | $35,000 | thousands by filing date | call |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,801 | $35,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $35,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,000 | $35,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,818 | $35,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 4,907 | $35,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 33,000 | $35,000 | thousands by filing date | principal |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $35,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,939 | $35,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,430 | $35,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,601 | $35,000 | thousands by filing date | |
| COLONY CAP INC | 19624R403 | CONV PFD-C | 1,500 | $35,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 428 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,685 | $34,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 2,150 | $34,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 35,000 | $34,000 | thousands by filing date | principal |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,787 | $34,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 4,626 | $34,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 11,500 | $34,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 19,400 | $33,000 | thousands by filing date | call |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 64,000 | $33,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 67,100 | $33,000 | thousands by filing date | put |
| THL CR SR LN FD | 87244R103 | COM | 1,750 | $33,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,001 | $33,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 12,477 | $33,000 | thousands by filing date |
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 |