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 |
|---|---|---|---|---|---|---|
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 151,539 | $2,430,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 205,720 | $2,426,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 66,287 | $2,424,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 88,649 | $2,424,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 40,404 | $2,423,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 525,536 | $2,423,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 503,100 | $2,421,000 | thousands by filing date | call |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 187,117 | $2,420,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 106,019 | $2,417,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 70,280 | $2,416,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 559,823 | $2,408,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 448,158 | $2,407,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 66,498 | $2,406,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 95,023 | $2,406,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 229,584 | $2,404,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 183,249 | $2,403,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 186,801 | $2,399,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 299,478 | $2,399,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 107,172 | $2,395,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 1,383,550 | $2,394,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 952,500 | $2,391,000 | thousands by filing date | call |
| U S CONCRETE INC | 90333L201 | COM | 36,489 | $2,390,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 51,660 | $2,379,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 60,174 | $2,372,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 109,265 | $2,370,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 193,118 | $2,369,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 20,557 | $2,368,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 97,600 | $2,362,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 165,224 | $2,356,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 103,859 | $2,352,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 124,257 | $2,348,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 16,168 | $2,340,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 75,313 | $2,339,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 157,336 | $2,337,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 45,480 | $2,336,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 44,935 | $2,329,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 175,116 | $2,329,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 58,087 | $2,323,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 339,055 | $2,322,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 62,373 | $2,318,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 112,886 | $2,317,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 41,371 | $2,316,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 114,517 | $2,316,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 46,819 | $2,313,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 93,954 | $2,313,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 134,628 | $2,310,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 229,413 | $2,308,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 76,454 | $2,299,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 149,941 | $2,298,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 73,202 | $2,296,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 236,660 | $2,295,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 168,226 | $2,292,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 63,877 | $2,286,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 184,098 | $2,285,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 36,316 | $2,282,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 21,156 | $2,275,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 90,497 | $2,274,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 130,435 | $2,271,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 85,353 | $2,268,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 410,875 | $2,268,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 133,689 | $2,266,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 144,672 | $2,265,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 525,150 | $2,258,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 186,478 | $2,257,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 100,555 | $2,257,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 202,120 | $2,256,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 2,404,000 | $2,252,000 | thousands by filing date | principal |
| FRANCO NEV CORP COM | 351858105 | Stock | 37,593 | $2,247,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 589,357 | $2,245,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 100,242 | $2,245,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 147,296 | $2,243,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 43,472 | $2,239,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 58,301 | $2,237,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 34,860 | $2,235,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 85,278 | $2,235,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 1,662,000 | $2,234,000 | thousands by filing date | principal |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 88,932 | $2,233,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 39,857 | $2,228,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 178,632 | $2,222,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 161,656 | $2,221,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 47,836 | $2,214,000 | thousands by filing date | |
| TSL 3.5 06/19 | 89628EAC8 | Bond30E/360P2 U | 2,326,000 | $2,210,000 | thousands by filing date | principal |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 223,124 | $2,205,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 138,392 | $2,201,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 229,047 | $2,199,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 40,678 | $2,198,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 24,997 | $2,197,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 120,704 | $2,193,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 201,527 | $2,188,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 269,105 | $2,184,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 146,542 | $2,182,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 1,919,000 | $2,181,000 | thousands by filing date | principal |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 119,774 | $2,180,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 145,839 | $2,174,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 104,256 | $2,173,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 162,565 | $2,169,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 86,521 | $2,168,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 2,449,000 | $2,161,000 | thousands by filing date | principal |
| HURON CONSULTING GROUP INC | 447462102 | COM | 42,597 | $2,158,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 9,986,300 | $2,154,000 | thousands by filing date | put |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 157,019 | $2,153,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 12,937 | $2,153,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 43,347 | $2,152,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 77,105 | $2,145,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 46,791 | $2,139,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 63,011 | $2,135,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 137,707 | $2,135,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 238,209 | $2,134,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 116,405 | $2,130,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 73,998 | $2,120,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 31,326 | $2,117,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 143,553 | $2,115,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 43,140 | $2,111,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 84,235 | $2,107,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 108,834 | $2,106,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 87,765 | $2,106,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 84,874 | $2,097,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 31,926 | $2,094,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 113,548 | $2,090,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 15,618 | $2,078,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 52,112 | $2,077,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 102,546 | $2,076,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 64,917 | $2,073,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 50,794 | $2,073,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 140,477 | $2,072,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 600,000 | $2,070,000 | thousands by filing date | put |
| KEY TECHNOLOGY INC | 493143101 | COM | 179,042 | $2,068,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 42,924 | $2,065,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 35,807 | $2,061,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 75,679 | $2,060,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 114,808 | $2,055,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 40,653 | $2,052,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 89,338 | $2,049,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 188,161 | $2,049,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 49,653 | $2,048,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 255,234 | $2,044,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 124,686 | $2,041,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 139,534 | $2,033,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 191,225 | $2,033,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 104,583 | $2,032,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 64,970 | $2,031,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 406,722 | $2,030,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 38,984 | $2,028,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 69,851 | $2,025,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 47,237 | $2,024,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 24,831 | $2,023,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 63,031 | $2,022,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 1,857,000 | $2,022,000 | thousands by filing date | principal |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 91,541 | $2,010,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 136,117 | $2,004,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 29,258 | $2,003,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 217,657 | $1,998,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 346,347 | $1,998,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 273,541 | $1,997,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 96,890 | $1,991,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 183,724 | $1,988,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 67,504 | $1,984,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 2,488,310 | $1,980,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 68,663 | $1,978,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 133,306 | $1,977,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 65,133 | $1,977,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 30,314 | $1,976,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 68,546 | $1,971,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 174,097 | $1,967,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 266,208 | $1,967,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 170,157 | $1,961,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 101,196 | $1,957,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 26,988 | $1,957,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 73,728 | $1,955,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 142,584 | $1,954,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 30,567 | $1,953,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 50,178 | $1,952,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 171,391 | $1,951,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 94,899 | $1,950,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 77,904 | $1,950,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 61,757 | $1,950,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 61,764 | $1,949,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 211,591 | $1,946,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 20,560 | $1,943,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 51,176 | $1,942,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 252,167 | $1,941,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 267,193 | $1,940,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 25,734 | $1,937,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 26,286 | $1,934,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 23,000 | $1,933,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 89,647 | $1,933,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 26,220 | $1,932,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 96,013 | $1,929,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 468,500 | $1,926,000 | thousands by filing date | put |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 166,091 | $1,920,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 179,349 | $1,919,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 100,691 | $1,917,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 231,827 | $1,917,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 59,721 | $1,914,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 37,464 | $1,913,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 80,098 | $1,910,000 | thousands by filing date | |
| INGEVITY CORP COM | 45688C107 | Stock | 34,797 | $1,909,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 30,959 | $1,909,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 188,705 | $1,909,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 223,375 | $1,908,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 119,571 | $1,907,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 42,835 | $1,904,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 199,914 | $1,899,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 32,799 | $1,897,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 102,610 | $1,897,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 99,670 | $1,896,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 185,138 | $1,894,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 68,605 | $1,887,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 173,918 | $1,887,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 35,977 | $1,886,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 457,878 | $1,886,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 105,028 | $1,886,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AU7 | COM | 938,000 | $1,884,000 | thousands by filing date | principal |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 62,422 | $1,882,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 77,810 | $1,876,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 73,220 | $1,876,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 17,192 | $1,872,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 68,090 | $1,868,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 172,895 | $1,862,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 200,680 | $1,858,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 50,860 | $1,855,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 41,226 | $1,855,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 84,075 | $1,854,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 64,685 | $1,853,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 329,831 | $1,850,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 66,729 | $1,848,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 75,067 | $1,848,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 69,516 | $1,843,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,821,000 | $1,842,000 | thousands by filing date | principal |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 43,791 | $1,841,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 218,878 | $1,839,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 90,704 | $1,837,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 98,744 | $1,831,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 25,388 | $1,829,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 167,659 | $1,826,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 159,746 | $1,812,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 270,900 | $1,810,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 149,640 | $1,809,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 44,233 | $1,805,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 67,095 | $1,804,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 40,543 | $1,801,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 450,485 | $1,801,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 62,488 | $1,794,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 80,577 | $1,787,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 33,572 | $1,787,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 14,863 | $1,787,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 148,000 | $1,785,000 | thousands by filing date | call |
| Coca-Cola Company | 191216100 | COM | 755,053 | $1,776,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X867 | CMN | 49,641 | $1,776,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 85,780 | $1,776,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 72,150 | $1,770,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 39,929 | $1,769,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 16,613 | $1,767,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 69,584 | $1,761,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 69,746 | $1,760,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 29,019 | $1,760,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 478,116 | $1,760,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 46,712 | $1,759,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 49,099 | $1,758,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 46,670 | $1,756,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 153,173 | $1,754,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 31,383 | $1,752,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 65,173 | $1,752,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 33,583 | $1,751,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 195,779 | $1,750,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 48,514 | $1,748,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 82,206 | $1,743,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 203,154 | $1,741,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 129,640 | $1,738,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 72,734 | $1,737,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 200,458 | $1,732,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 139,820 | $1,729,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 144,597 | $1,728,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 54,176 | $1,727,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 25,085 | $1,727,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 88,967 | $1,722,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 90,743 | $1,720,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 89,031 | $1,719,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 32,032 | $1,719,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 55,587 | $1,716,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 291,059 | $1,711,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 18,958 | $1,710,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 168,266 | $1,709,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 257,817 | $1,705,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 127,800 | $1,699,000 | thousands by filing date | call |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 205,702 | $1,697,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 40,459 | $1,694,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 1,731,000 | $1,692,000 | thousands by filing date | principal |
| US FOODS HLDG CORP COM | 912008109 | Stock | 61,287 | $1,684,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 178,745 | $1,683,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 60,851 | $1,682,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 117,635 | $1,682,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 48,245 | $1,678,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 219,837 | $1,675,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 52,331 | $1,674,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 137,367 | $1,672,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 89,036 | $1,669,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 310,000 | $1,668,000 | thousands by filing date | put |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 44,250 | $1,667,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 118,315 | $1,665,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 100,000 | $1,660,000 | thousands by filing date | put |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 51,016 | $1,656,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 124,105 | $1,651,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 68,759 | $1,650,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 147,228 | $1,649,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 1,506,000 | $1,649,000 | thousands by filing date | principal |
| DRIVE SHACK INC | 262077100 | COM | 438,277 | $1,648,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 78,713 | $1,645,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 137,582 | $1,645,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 21,068 | $1,642,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 46,052 | $1,639,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 115,822 | $1,638,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 61,905 | $1,631,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 112,019 | $1,628,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 158,225 | $1,627,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 119,560 | $1,625,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 50,251 | $1,623,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 33,647 | $1,621,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 17,292 | $1,621,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 132,262 | $1,616,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 86,084 | $1,614,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 83,734 | $1,612,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 23,885 | $1,612,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 25,824 | $1,612,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 192,434 | $1,607,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 255,800 | $1,605,000 | thousands by filing date | call |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 97,085 | $1,605,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 71,934 | $1,602,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 85,270 | $1,601,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 25,768 | $1,601,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 57,008 | $1,597,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 119,938 | $1,596,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 42,083 | $1,595,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 187,861 | $1,593,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 144,009 | $1,590,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 33,231 | $1,590,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 40,022 | $1,589,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 62,693 | $1,583,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 149,863 | $1,581,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 151,323 | $1,579,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 74,163 | $1,579,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 85,680 | $1,579,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 66,943 | $1,579,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 226,000 | $1,575,000 | thousands by filing date | call |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 145,458 | $1,571,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 365,000 | $1,568,000 | thousands by filing date | call |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 24,629 | $1,565,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 380,000 | $1,564,000 | thousands by filing date | put |
| TUCOWS INC | 898697206 | COM NEW | 44,330 | $1,563,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 45,430 | $1,563,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 64,949 | $1,563,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 51,166 | $1,560,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 309,705 | $1,558,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 64,881 | $1,552,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 200,074 | $1,551,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 689,085 | $1,550,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 349,886 | $1,550,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 32,311 | $1,548,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,250,000 | $1,547,000 | thousands by filing date | put |
| INTRALINKS HLDGS INC | 46118H104 | COM | 114,359 | $1,546,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 59,463 | $1,543,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 227,340 | $1,542,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 177,055 | $1,542,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 36,593 | $1,542,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 60,732 | $1,541,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 96,225 | $1,541,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 152,240 | $1,541,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 71,273 | $1,540,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 81,859 | $1,540,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 297,734 | $1,539,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 43,854 | $1,537,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 55,758 | $1,535,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 120,777 | $1,533,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 180,141 | $1,531,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 114,033 | $1,530,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 110,584 | $1,529,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 16,768 | $1,526,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 74,100 | $1,526,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 118,126 | $1,525,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 300,320 | $1,523,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 108,925 | $1,518,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 1,237,000 | $1,516,000 | thousands by filing date | principal |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 124,723 | $1,514,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 109,474 | $1,514,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 10,714 | $1,509,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 117,343 | $1,503,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 20,632 | $1,501,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 34,291 | $1,496,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 37,329 | $1,495,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 95,405 | $1,495,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 32,874 | $1,494,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 79,279 | $1,493,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 133,585 | $1,492,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 120,188 | $1,492,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 29,902 | $1,490,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 120,162 | $1,489,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 118,166 | $1,485,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 121,068 | $1,484,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 149,422 | $1,481,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 33,076 | $1,478,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 23,116 | $1,475,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 63,887 | $1,475,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 68,330 | $1,473,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 631,000 | $1,470,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 106,090 | $1,469,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 330,507 | $1,468,000 | thousands by filing date | put |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 96,022 | $1,468,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 211,549 | $1,468,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 107,450 | $1,466,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 51,203 | $1,462,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 36,965 | $1,452,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 113,258 | $1,451,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 41,563 | $1,447,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 172,084 | $1,445,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 19,635 | $1,445,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 56,286 | $1,440,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 147,172 | $1,440,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 78,068 | $1,437,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 23,892 | $1,436,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 199,913 | $1,434,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 94,889 | $1,431,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 168,767 | $1,427,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 271,707 | $1,426,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 79,581 | $1,421,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 49,865 | $1,419,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 104,092 | $1,416,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 63,048 | $1,409,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 38,185 | $1,408,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 54,218 | $1,405,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 31,408 | $1,404,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 22,011 | $1,404,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 84,806 | $1,404,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 109,975 | $1,402,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 570,800 | $1,402,000 | thousands by filing date | put |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 92,334 | $1,402,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 88,645 | $1,401,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 54,325 | $1,400,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 53,336 | $1,395,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 258,638 | $1,394,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 88,495 | $1,393,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 361,527 | $1,392,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 37,013 | $1,392,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 137,837 | $1,392,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 6,572 | $1,391,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 96,205 | $1,391,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 17,541 | $1,391,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 202,649 | $1,389,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 70,751 | $1,389,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 50,857 | $1,389,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 44,748 | $1,389,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 144,331 | $1,387,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 326,352 | $1,387,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 65,459 | $1,386,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 57,973 | $1,386,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 39,547 | $1,385,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 72,673 | $1,385,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 32,169 | $1,384,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 83,541 | $1,381,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 1,441,000 | $1,380,000 | thousands by filing date | principal |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 37,032 | $1,378,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 105,055 | $1,378,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 33,510 | $1,376,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 649,418 | $1,376,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 106,152 | $1,375,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 37,220 | $1,372,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 58,340 | $1,370,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 53,453 | $1,370,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 54,419 | $1,368,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 39,906 | $1,363,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 28,378 | $1,362,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 308,748 | $1,362,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 2,166,900 | $1,354,000 | thousands by filing date | put |
| COSAN LTD | G25343107 | SHS A | 180,228 | $1,354,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 18,960 | $1,352,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,129,000 | $1,351,000 | thousands by filing date | principal |
| Knight Capital Group, Inc. | 48244B100 | common stock | 101,948 | $1,350,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 129,685 | $1,349,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 74,695 | $1,348,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 52,599 | $1,345,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 54,677 | $1,345,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 200,988 | $1,343,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 49,519 | $1,343,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 116,921 | $1,342,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 122,000 | $1,341,000 | thousands by filing date | call |
| NELNET INC | 64031N108 | CL A | 26,409 | $1,341,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 133,821 | $1,337,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 65,572 | $1,334,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 77,160 | $1,334,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 29,264 | $1,319,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 28,363 | $1,316,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 122,098 | $1,314,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 82,342 | $1,314,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,624,100 | $1,312,000 | thousands by filing date | put |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 76,617 | $1,311,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 65,369 | $1,310,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 66,436 | $1,309,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 26,735 | $1,308,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 838,000 | $1,306,000 | thousands by filing date | principal |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 63,688 | $1,302,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 20,924 | $1,301,000 | 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 |