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 |
|---|---|---|---|---|---|---|
| iShares Global 100 ETF | 464287572 | SHS | 16,948 | $1,300,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 19,388 | $1,299,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 139,834 | $1,299,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 52,903 | $1,298,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 48,256 | $1,298,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 99,765 | $1,295,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 34,570 | $1,294,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 14,195 | $1,293,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 205,300 | $1,292,000 | thousands by filing date | put |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 30,314 | $1,292,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 149,300 | $1,291,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 268,750 | $1,290,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 47,748 | $1,288,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 11,490 | $1,284,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 67,584 | $1,283,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 65,701 | $1,282,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 46,078 | $1,281,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 285,514 | $1,276,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 66,429 | $1,276,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 49,247 | $1,275,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 17,921 | $1,272,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 120,515 | $1,269,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 53,931 | $1,268,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 56,744 | $1,267,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,970,000 | $1,266,000 | thousands by filing date | call |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 1,200,000 | $1,261,000 | thousands by filing date | principal |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 35,858 | $1,260,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 9,189 | $1,255,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 98,625 | $1,253,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 55,484 | $1,248,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 35,658 | $1,246,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 86,645 | $1,246,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 815,400 | $1,246,000 | thousands by filing date | call |
| SASOL LTD | 803866300 | SPONSORED ADR | 43,537 | $1,244,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 29,192 | $1,242,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 159,813 | $1,239,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 36,403 | $1,238,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 64,913 | $1,235,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 361,695 | $1,234,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 46,351 | $1,231,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 164,887 | $1,229,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 27,805 | $1,228,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 109,928 | $1,226,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 38,492 | $1,226,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 49,614 | $1,221,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 72,095 | $1,220,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 172,071 | $1,219,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 28,137 | $1,218,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 32,321 | $1,218,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 146,627 | $1,217,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 59,058 | $1,217,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 66,803 | $1,216,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 148,045 | $1,207,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 133,889 | $1,205,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 90,513 | $1,204,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 26,880 | $1,201,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 16,842 | $1,200,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 38,973 | $1,200,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 44,725 | $1,199,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 77,950 | $1,197,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 107,064 | $1,192,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 31,163 | $1,191,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 33,018 | $1,190,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 22,762 | $1,190,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 36,824 | $1,181,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 46,936 | $1,180,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 97,477 | $1,179,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 62,966 | $1,178,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 38,398 | $1,177,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 16,302 | $1,176,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 948,368 | $1,175,000 | thousands by filing date | put |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 1,139,000 | $1,175,000 | thousands by filing date | principal |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 11,471 | $1,173,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 21,197 | $1,171,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 38,615 | $1,171,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 60,111 | $1,169,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 29,251 | $1,167,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 36,675 | $1,165,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 72,250 | $1,163,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 10,399 | $1,162,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 70,233 | $1,162,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 95,637 | $1,162,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 90,606 | $1,161,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 50,048 | $1,156,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 24,627 | $1,156,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 28,331 | $1,156,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 67,981 | $1,156,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 22,038 | $1,154,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 51,507 | $1,153,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 165,324 | $1,151,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 59,176 | $1,151,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 98,495 | $1,149,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 31,115 | $1,148,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 66,018 | $1,148,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 312,096 | $1,146,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 33,098 | $1,145,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 58,622 | $1,144,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 31,707 | $1,142,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 85,907 | $1,141,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 39,076 | $1,137,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 134,530 | $1,137,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 38,034 | $1,135,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 101,700 | $1,131,000 | thousands by filing date | call |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 81,282 | $1,131,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 41,417 | $1,131,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 16,204 | $1,130,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 26,015 | $1,130,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 42,072 | $1,130,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 83,663 | $1,129,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 47,499 | $1,129,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 18,436 | $1,128,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 47,133 | $1,128,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 59,655 | $1,127,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 89,073 | $1,123,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 20,026 | $1,122,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 32,120 | $1,116,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 83,459 | $1,114,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 80,830 | $1,113,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 30,984 | $1,109,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 16,058 | $1,109,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 536,800 | $1,108,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 375,100 | $1,107,000 | thousands by filing date | call |
| BRISTOW GROUP INC | 110394103 | COM | 53,967 | $1,106,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 62,879 | $1,104,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 76,011 | $1,102,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 55,558 | $1,100,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 92,689 | $1,098,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 1,069,000 | $1,095,000 | thousands by filing date | principal |
| S & T BANCORP INC COM | 783859101 | Stock | 28,036 | $1,094,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 73,999 | $1,094,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 34,570 | $1,090,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 60,489 | $1,090,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 42,207 | $1,090,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 22,635 | $1,089,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 70,323 | $1,087,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 77,400 | $1,084,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 9,205 | $1,084,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 84,502 | $1,080,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 65,716 | $1,080,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 59,028 | $1,074,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 417,313 | $1,073,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 73,666 | $1,071,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 32,453 | $1,071,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 124,643 | $1,063,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 70,218 | $1,062,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 93,913 | $1,059,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 72,980 | $1,059,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 79,213 | $1,054,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 32,050 | $1,050,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 32,858 | $1,048,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 33,585 | $1,046,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 48,589 | $1,045,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 58,867 | $1,045,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 59,789 | $1,045,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 11,215 | $1,043,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 1,170,800 | $1,042,000 | thousands by filing date | call |
| KRATON CORPORATION | 50077C106 | COM | 36,564 | $1,042,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 97,300 | $1,042,000 | thousands by filing date | call |
| AIR T INC | 009207101 | COM | 45,301 | $1,042,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 125,134 | $1,040,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 65,126 | $1,040,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 41,694 | $1,038,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 104,603 | $1,035,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 62,598 | $1,034,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 70,878 | $1,031,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 41,760 | $1,031,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 124,604 | $1,031,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 65,445 | $1,030,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 48,109 | $1,030,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 46,748 | $1,028,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 37,064 | $1,026,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 25,445 | $1,026,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 476,542 | $1,025,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 14,198 | $1,025,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 130,712 | $1,024,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 634,000 | $1,024,000 | thousands by filing date | principal |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 85,719 | $1,019,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 200,939 | $1,018,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 17,906 | $1,017,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 54,031 | $1,016,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 1,107,000 | $1,016,000 | thousands by filing date | principal |
| First Foundation Inc | 32026V104 | Common Stock | 35,620 | $1,015,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 16,430 | $1,014,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 89,727 | $1,014,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 73,085 | $1,012,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 32,841 | $1,011,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 100,332 | $1,011,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 188,982 | $1,010,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 208,947 | $1,006,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 1,073,400 | $1,002,000 | thousands by filing date | put |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 32,164 | $1,001,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 17,983 | $1,000,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 442,441 | $999,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 75,728 | $998,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 118,365 | $997,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 210,000 | $997,000 | thousands by filing date | call |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 16,416 | $995,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 135,604 | $995,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 62,641 | $995,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 23,480 | $994,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 19,701 | $993,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 53,068 | $990,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 71,157 | $985,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 46,369 | $985,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 38,552 | $983,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 484,000 | $983,000 | thousands by filing date | principal |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 26,221 | $982,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 12,211 | $981,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 168,068 | $980,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 53,098 | $979,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 15,843 | $978,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 239,148 | $978,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 68,898 | $974,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 13,039 | $973,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 19,974 | $973,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 73,955 | $973,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 262,900 | $972,000 | thousands by filing date | call |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 32,097 | $971,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 68,125 | $971,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 56,348 | $970,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 17,276 | $969,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 31,319 | $968,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 22,555 | $968,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 67,502 | $968,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 971,000 | $967,000 | thousands by filing date | principal |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 551,906 | $965,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 75,472 | $965,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 97,232 | $963,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 72,055 | $962,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 28,544 | $961,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 19,252 | $960,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 224,881 | $956,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 52,587 | $955,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 60,615 | $953,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 21,002 | $951,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 625,000 | $949,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 1,348,700 | $949,000 | thousands by filing date | call |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 59,137 | $949,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 155,274 | $946,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 48,295 | $945,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 160,699 | $945,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 79,514 | $944,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 84,467 | $942,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 300,000 | $942,000 | thousands by filing date | call |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 51,298 | $941,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 2,384,000 | $939,000 | thousands by filing date | principal |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 64,086 | $939,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 39,991 | $938,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 56,816 | $938,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 333,733 | $938,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 364,144 | $936,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 14,413 | $936,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 138,329 | $936,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 82,123 | $935,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 15,079 | $934,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 173,031 | $934,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 68,820 | $933,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 22,569 | $932,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 20,309 | $931,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 29,170 | $930,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 65,405 | $929,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 89,047 | $926,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 37,298 | $924,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 52,773 | $923,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 18,450 | $922,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 27,855 | $920,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 77,935 | $920,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 31,436 | $920,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 300,000 | $918,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 25,307 | $916,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 60,782 | $915,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 46,947 | $913,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 17,980 | $912,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 799,000 | $912,000 | thousands by filing date | put |
| MANITOWOC COMPANY INC | 563571108 | COM | 152,545 | $912,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 19,139 | $909,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 28,472 | $909,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 69,438 | $908,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 55,501 | $903,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 102,968 | $901,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 45,644 | $901,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 29,097 | $899,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 26,958 | $899,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 336,533 | $899,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 101,596 | $896,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 20,650 | $895,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 13,604 | $892,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 110,985 | $892,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 350,000 | $891,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 1,678,300 | $887,000 | thousands by filing date | put |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 18,785 | $883,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 52,073 | $880,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 55,285 | $879,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 47,655 | $877,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 60,435 | $876,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 56,219 | $876,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 58,474 | $874,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 17,824 | $868,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 38,470 | $867,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 39,882 | $864,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 37,198 | $863,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 604,000 | $858,000 | thousands by filing date | principal |
| Accelerate Diagnostics | 00430H102 | COM | 41,100 | $853,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 45,022 | $852,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 85,897 | $852,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 33,230 | $851,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 367,009 | $849,000 | thousands by filing date | put |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 32,153 | $849,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 736,000 | $849,000 | thousands by filing date | principal |
| BANCROFT FUND LIMITED | 059695106 | COM | 41,832 | $847,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 61,019 | $847,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 32,949 | $846,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 311,061 | $846,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 99,587 | $845,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 67,559 | $844,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 326,800 | $843,000 | thousands by filing date | call |
| GASLOG LTD | G37585109 | SHS | 52,409 | $843,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 51,311 | $842,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 109,602 | $842,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 42,472 | $841,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 32,293 | $841,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 64,453 | $840,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 146,802 | $840,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 55,533 | $838,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 1,652 | $838,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 10,490 | $837,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 397,230 | $836,000 | thousands by filing date | put |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 33,686 | $832,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 134,809 | $830,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 254,370 | $827,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 19,628 | $827,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 15,342 | $824,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 21,387 | $824,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 37,287 | $824,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 147,186 | $824,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 16,812 | $823,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 119,533 | $823,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 382,500 | $822,000 | thousands by filing date | put |
| Flushing Financial Corp | 343873105 | Common Stock | 27,979 | $822,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 33,972 | $821,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 86,525 | $820,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 47,667 | $819,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 22,627 | $819,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 166,156 | $819,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 41,810 | $818,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 82,346 | $817,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 38,277 | $815,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 16,425 | $814,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 37,642 | $814,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 21,515 | $814,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 61,358 | $814,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 14,819 | $813,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 45,234 | $812,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 31,611 | $811,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 32,725 | $811,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 20,830 | $811,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 38,941 | $810,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 32,117 | $810,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 49,619 | $806,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 40,295 | $806,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 805,000 | $805,000 | thousands by filing date | principal |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 50,000 | $804,000 | thousands by filing date | call |
| MESA RTY TR | 590660106 | UNIT BEN INT | 73,588 | $802,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 30,986 | $801,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 326,412 | $800,000 | thousands by filing date | put |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 42,282 | $799,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 261,642 | $798,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 54,994 | $797,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 192,889 | $797,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 44,071 | $796,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 40,017 | $795,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 31,931 | $794,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 589,000 | $793,000 | thousands by filing date | principal |
| Deutsche Global High Income | 25158V108 | 0 | 95,193 | $793,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 304,100 | $792,000 | thousands by filing date | call |
| OFG BANCORP | 67103X102 | COM | 60,390 | $792,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 49,001 | $791,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 27,528 | $789,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 40,799 | $788,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 114,776 | $785,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 22,010 | $785,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 69,701 | $785,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 61,231 | $783,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 24,348 | $783,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 16,187 | $783,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 71,655 | $782,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 70,652 | $781,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 34,709 | $780,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 664,000 | $780,000 | thousands by filing date | principal |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 24,245 | $779,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 10,212 | $777,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 138,541 | $776,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 29,916 | $776,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 50,824 | $775,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 7,715 | $774,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 28,693 | $773,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 54,432 | $772,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 37,876 | $771,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 11,835 | $768,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 43,397 | $768,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 1,000,000 | $768,000 | thousands by filing date | principal |
| PRIMO WTR CORP | 74165N105 | COM | 62,400 | $766,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 300,000 | $763,000 | thousands by filing date | put |
| COBIZ FINANCIAL INC | 190897108 | COM | 45,178 | $763,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 39,107 | $761,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 24,035 | $761,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 17,256 | $761,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 38,097 | $761,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 44,806 | $760,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 53,499 | $760,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 53,461 | $759,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 70,000 | $757,000 | thousands by filing date | call |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 19,291 | $757,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 730,000 | $757,000 | thousands by filing date | principal |
| SPX CORP | 784635104 | COMMON STOCK | 31,829 | $755,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 115,188 | $755,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 91,791 | $754,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 4,207 | $753,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 118,433 | $750,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 189 | $747,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 183,290 | $747,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 319,500 | $746,000 | thousands by filing date | call |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 108,871 | $746,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 336,777 | $745,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 746,000 | $745,000 | thousands by filing date | principal |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 71,288 | $742,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 18,377 | $741,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 7,208 | $740,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 480,600 | $739,000 | thousands by filing date | call |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 17,690 | $739,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 56,559 | $739,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 6,189 | $738,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 104,058 | $736,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 15,318 | $736,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 25,719 | $734,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 180,389 | $734,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 43,912 | $732,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 33,781 | $729,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 16,622 | $727,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 25,861 | $727,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 16,787 | $725,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 6,137 | $724,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 19,266 | $724,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 569,000 | $723,000 | thousands by filing date | call |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 506,000 | $722,000 | thousands by filing date | principal |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 11,992 | $722,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 77,913 | $721,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 832,000 | $721,000 | thousands by filing date | principal |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 35,188 | $717,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 134,717 | $716,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 27,287 | $716,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 47,651 | $716,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 18,955 | $716,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 127,881 | $715,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 273,500 | $711,000 | thousands by filing date | put |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 220,081 | $709,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 54,570 | $704,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 39,082 | $704,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 50,569 | $703,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 53,050 | $703,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 89,563 | $703,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 3,223 | $701,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 1,141,300 | $701,000 | thousands by filing date | put |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 208,146 | $699,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 64,619 | $698,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 91,897 | $697,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 61,842 | $696,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 28,244 | $696,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 46,289 | $696,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 163,374 | $695,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 96,092 | $695,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 12,077 | $693,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 46,265 | $692,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 32,409 | $691,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 11,001 | $690,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 10,856 | $690,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 26,854 | $690,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 23,893 | $689,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 17,055 | $687,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 281,328 | $686,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 48,648 | $686,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 147,507 | $685,000 | thousands by filing date | call |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 30,897 | $684,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 971,100 | $684,000 | thousands by filing date | call |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 30,004 | $684,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 87,831 | $684,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 8,453 | $682,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 2,245,400 | $681,000 | thousands by filing date | put |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 83,439 | $680,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 347,000 | $679,000 | thousands by filing date | principal |
| INTELIQUENT INC | 45825N107 | COM | 29,582 | $679,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 10,442 | $678,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 35,703 | $678,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 51,275 | $677,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 64,202 | $676,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 35,876 | $676,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 21,950 | $675,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 44,440 | $674,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 7,654 | $673,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 248,847 | $672,000 | 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 |