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 |
|---|---|---|---|---|---|---|
| Microsoft Corp | 594918104 | COM | 695,935 | $671,000 | thousands by filing date | put |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 96,667 | $671,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 52,822 | $668,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 418,100 | $666,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 12,691 | $666,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 47,100 | $665,000 | thousands by filing date | call |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 63,914 | $665,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 106,235 | $664,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 17,714 | $664,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 53,940 | $664,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 71,116 | $664,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 118,400 | $663,000 | thousands by filing date | put |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 248,272 | $663,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 657,000 | $661,000 | thousands by filing date | principal |
| GULF IS FABRICATION INC | 402307102 | COM | 55,403 | $659,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 36,275 | $659,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 142,853 | $657,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 82,218 | $655,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 31,456 | $654,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 94,055 | $653,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 19,384 | $650,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 1,519 | $649,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 57,239 | $647,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 51,452 | $646,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 156,000 | $645,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 23,036 | $645,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 59,849 | $644,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 26,590 | $643,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 67,385 | $641,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 6,906 | $638,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 57,408 | $638,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 22,618 | $637,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 46,620 | $636,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 42,293 | $636,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 74,187 | $635,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 19,665 | $634,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 54,769 | $633,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 15,663 | $632,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 55,021 | $631,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 21,840 | $631,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 16,050 | $630,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 38,194 | $629,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 76,567 | $628,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 26,130 | $627,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 11,879 | $625,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 563,000 | $624,000 | thousands by filing date | principal |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 94,476 | $623,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 125,186 | $622,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 148,046 | $622,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 121,498 | $622,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 16,094 | $621,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 20,352 | $620,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 1,312 | $620,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 70,151 | $618,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 67,011 | $614,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 125,261 | $614,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 27,999 | $613,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 131,268 | $611,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 184,041 | $611,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 25,717 | $610,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 33,635 | $609,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 23,763 | $606,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 60,628 | $606,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 53,190 | $606,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 48,704 | $605,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 85,218 | $605,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 28,948 | $605,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 562,000 | $605,000 | thousands by filing date | principal |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 178,151 | $604,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 76,238 | $604,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 144,242 | $603,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 7,944 | $602,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 42,793 | $601,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 37,588 | $601,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 24,163 | $601,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 29,375 | $600,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 35,056 | $600,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 45,056 | $597,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 94,012 | $597,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 50,588 | $597,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 63,293 | $594,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 26,828 | $592,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 38,009 | $592,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 32,128 | $591,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 28,290 | $591,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 114,300 | $590,000 | thousands by filing date | put |
| GRIFFON CORP | 398433102 | COM | 22,538 | $590,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 21,928 | $588,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 133,100 | $587,000 | thousands by filing date | put |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 354,200 | $583,000 | thousands by filing date | put |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 69,601 | $582,000 | thousands by filing date | |
| TAL ED GROUP | 874080AB0 | NOTE 2.500 5/1 | 220,000 | $582,000 | thousands by filing date | principal |
| WORKIVA INC COM CL A | 98139A105 | Stock | 42,597 | $581,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 39,663 | $581,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 24,525 | $579,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 38,076 | $579,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 176,045 | $578,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 31,183 | $577,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 660,000 | $575,000 | thousands by filing date | put |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 18,431 | $575,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 596,300 | $573,000 | thousands by filing date | put |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 46,742 | $573,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 17,048 | $573,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 95,471 | $573,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 36,484 | $572,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 141,966 | $572,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 17,738 | $571,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 44,008 | $571,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 221,458 | $571,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 27,303 | $571,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 63,647 | $568,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 137,160 | $568,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 40,267 | $568,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 39,674 | $567,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 559,000 | $567,000 | thousands by filing date | principal |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 40,431 | $566,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 20,165 | $566,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 74,000 | $565,000 | thousands by filing date | put |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 540,000 | $565,000 | thousands by filing date | principal |
| PENNEY J C INC | 708160106 | COM | 950,900 | $565,000 | thousands by filing date | put |
| NUVECTRA CORP | 67075N108 | COM | 112,246 | $565,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 48,122 | $564,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 47,756 | $564,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 55,111 | $564,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 47,381 | $564,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 7,012 | $562,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 26,500 | $562,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 5,453 | $561,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 15,675 | $561,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 396 | $560,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 103,542 | $560,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 51,493 | $559,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 15,328 | $559,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 101,621 | $559,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 42,887 | $558,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 25,320 | $556,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 26,931 | $554,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 528,400 | $554,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 39,256 | $553,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 37,035 | $552,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 62,802 | $551,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 7,461 | $550,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 27,754 | $548,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 55,013 | $547,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 116,600 | $545,000 | thousands by filing date | call |
| AEROVIRONMENT INC COM | 008073108 | Stock | 20,275 | $544,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 52,661 | $544,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 134,300 | $543,000 | thousands by filing date | call |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 39,839 | $543,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 203,000 | $540,000 | thousands by filing date | call |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 1,055 | $540,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 156,762 | $540,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 9,563 | $539,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 174,170 | $539,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 50,537 | $538,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 34,723 | $537,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 1,221,500 | $536,000 | thousands by filing date | put |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 61,500 | $535,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 16,405 | $533,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 29,628 | $533,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 34,152 | $530,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 24,500 | $530,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 16,309 | $530,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 22,567 | $529,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 58,812 | $525,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 31,649 | $524,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 18,932 | $523,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 34,180 | $523,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 719,700 | $523,000 | thousands by filing date | put |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 48,568 | $522,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 15,843 | $521,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 335,955 | $521,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 65,399 | $520,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 36,058 | $520,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 72,414 | $520,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 181,419 | $519,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 56,800 | $518,000 | thousands by filing date | call |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 34,761 | $518,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 51,546 | $518,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,665 | $517,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 39,923 | $517,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 36,705 | $516,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 50,030 | $516,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 200,000 | $515,000 | thousands by filing date | call |
| CVR Partners, LP | 126633106 | LTD | 85,660 | $514,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 36,556 | $512,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 61,300 | $511,000 | thousands by filing date | call |
| ARTIVION INC | 228903100 | COM | 26,643 | $511,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 19,046 | $511,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 15,718 | $508,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 48,048 | $508,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 49,987 | $508,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 41,329 | $507,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 92,194 | $507,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 127,500 | $506,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 133,138 | $506,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 40,221 | $505,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 38,054 | $505,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 28,489 | $505,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 23,489 | $503,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 16,182 | $501,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 52,855 | $501,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 100,000 | $501,000 | thousands by filing date | put |
| Surmodics Inc | 868873100 | Common Stock | 19,630 | $499,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 11,389 | $498,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 33,268 | $496,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 40,000 | $496,000 | thousands by filing date | call |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 38,978 | $496,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 15,272 | $495,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 9,629 | $493,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 22,770 | $493,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 45,437 | $492,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 24,542 | $492,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 49,909 | $492,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 24,002 | $490,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 11,676 | $490,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 9,360 | $489,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 11,174 | $489,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 13,293 | $488,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 84,009 | $487,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 18,781 | $487,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 51,518 | $486,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 30,829 | $482,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,001 | $481,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 17,938 | $480,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 10,074 | $480,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 100,000 | $479,000 | thousands by filing date | call |
| Schwab US TIPS ETF | 808524870 | SHS | 8,723 | $478,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 25,038 | $477,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,181,800 | $476,000 | thousands by filing date | call |
| V2X INC | 92242T101 | COM | 19,972 | $476,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 18,947 | $476,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 24,746 | $476,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 389,479 | $475,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 9,953 | $474,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 123,639 | $473,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 9,956 | $471,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 31,422 | $471,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 37,522 | $470,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 34,814 | $470,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 18,782 | $468,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 49,500 | $467,000 | thousands by filing date | put |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 7,574 | $467,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 341,000 | $466,000 | thousands by filing date | principal |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 14,047 | $465,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 96,535 | $465,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 8,757 | $464,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 31,074 | $464,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 23,415 | $464,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 38,855 | $462,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 22,028 | $461,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 24,496 | $460,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 18,223 | $459,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 3,400 | $459,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 26,503 | $458,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 442,000 | $457,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 4,853 | $456,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 62,321 | $456,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 40,000 | $455,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 200,000 | $455,000 | thousands by filing date | put |
| UNIFI INC | 904677200 | COM NEW | 13,948 | $455,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 5,444 | $455,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 18,308 | $453,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 19,467 | $453,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 30,309 | $452,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 12,513 | $451,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 36,857 | $451,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 10,159 | $450,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 17,960 | $449,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 36,866 | $449,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 40,142 | $449,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 45,602 | $448,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,241,500 | $447,000 | thousands by filing date | call |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 126,252 | $447,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 230,005 | $446,000 | thousands by filing date | put |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 47,981 | $446,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 11,265 | $446,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 17,138 | $446,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 8,688 | $445,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 70,800 | $444,000 | thousands by filing date | call |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 17,859 | $444,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 18,997 | $443,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 45,424 | $443,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 91,513 | $443,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 204,400 | $442,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 45,555 | $442,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 6,864 | $442,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 31,599 | $442,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 31,654 | $441,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 39,092 | $440,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 13,451 | $440,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 29,970 | $440,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 30,767 | $439,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 15,642 | $439,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 132,213 | $437,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 12,969 | $437,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 139,000 | $433,000 | thousands by filing date | principal |
| QUORUM HEALTH CORP | 74909E106 | COM | 59,642 | $433,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 26,720 | $432,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 19,775 | $432,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 9,841 | $431,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 11,324 | $431,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 147,634 | $430,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 19,303 | $430,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 28,774 | $430,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 25,300 | $429,000 | thousands by filing date | put |
| CONFORMIS INC | 20717E101 | COM | 52,995 | $429,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 19,908 | $428,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 4,585 | $427,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 21,186 | $423,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 334,748 | $422,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 27,620 | $421,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 36,725 | $421,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 245,000 | $421,000 | thousands by filing date | put |
| BLUE NILE INC | 09578R103 | COM | 10,370 | $421,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 120,000 | $420,000 | thousands by filing date | call |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 14,485 | $420,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 15,607 | $419,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 16,301 | $419,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 9,612 | $418,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 16,548 | $417,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 17,734 | $416,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 42,304 | $416,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 15,356 | $415,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 29,203 | $415,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 80,000 | $413,000 | thousands by filing date | call |
| GDL FD | 361570104 | COM SH BEN IT | 41,929 | $413,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 16,464 | $413,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 65,520 | $413,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,435 | $412,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 53,817 | $411,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 28,061 | $410,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 25,300 | $409,000 | thousands by filing date | put |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 22,627 | $409,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 14,514 | $409,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 296,000 | $408,000 | thousands by filing date | call |
| ORION S.A. | L72967109 | COM | 21,575 | $407,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 5,217 | $407,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 57,520 | $407,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 43,621 | $406,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 9,730 | $406,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 27,845 | $406,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 257,281 | $406,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 11,254 | $406,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 134,143 | $405,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 11,450 | $405,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 35,693 | $405,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 27,761 | $404,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 39,226 | $403,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 31,246 | $402,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 27,338 | $402,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 80,000 | $401,000 | thousands by filing date | put |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 16,506 | $401,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 28,159 | $400,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 53,980 | $400,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 35,454 | $399,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 25,236 | $399,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 5,155 | $398,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 53,934 | $398,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 66,985 | $396,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 85,200 | $395,000 | thousands by filing date | call |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 46,197 | $395,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 8,859 | $394,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 10,123 | $394,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 11,720 | $393,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 97,600 | $392,000 | thousands by filing date | put |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 49,674 | $391,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 32,283 | $390,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 27,678 | $390,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 228,400 | $389,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652406 | COM | 58,770 | $389,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 13,881 | $389,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 7,347 | $388,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 18,183 | $386,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 33,531 | $386,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 248,924 | $385,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 77,854 | $384,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 31,997 | $383,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 20,831 | $383,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 58,468 | $382,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 299,000 | $382,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 5,001 | $381,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 7,932 | $381,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 75,543 | $380,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 28,819 | $379,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 9,576 | $379,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 18,981 | $379,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 419,700 | $378,000 | thousands by filing date | call |
| AMERICAN VANGUARD CORP | 030371108 | COM | 19,717 | $378,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 10,072 | $378,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,060 | $378,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 52,974 | $377,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 8,772 | $377,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 37,291 | $377,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 25,977 | $376,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 16,905 | $376,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 12,383 | $373,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 11,628 | $373,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 9,105 | $373,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 21,333 | $372,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 3,198 | $371,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 12,802 | $371,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 346,000 | $371,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 2,205 | $369,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 6,429 | $369,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 6,984 | $367,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 74,935 | $367,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 9,247 | $366,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 66,500 | $366,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 54,700 | $365,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q506 | COM NEW | 53,631 | $365,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 35,051 | $365,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 15,397 | $365,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 22,362 | $364,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 8,225 | $364,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 25,788 | $364,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 6,727 | $363,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 50,470 | $362,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 68,059 | $361,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 42,531 | $361,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 15,070 | $361,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 39,393 | $360,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 20,655 | $359,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 44,691 | $359,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 60,939 | $358,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 4,678 | $358,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 40,096 | $357,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 34,652 | $357,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 37,494 | $356,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 75,009 | $355,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 35,757 | $355,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 7,691 | $355,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 28,797 | $355,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 17,153 | $355,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 14,528 | $354,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 15,469 | $354,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 554,072 | $353,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 12,534 | $353,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 22,429 | $352,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 7,981 | $352,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 8,225 | $352,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 545,730 | $351,000 | thousands by filing date | put |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 24,441 | $350,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 14,527 | $350,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 311,000 | $349,000 | thousands by filing date | principal |
| NMI HLDGS INC | 629209305 | COM | 32,711 | $348,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 189,500 | $347,000 | thousands by filing date | call |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 30,995 | $347,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 10,255 | $347,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 31,403 | $347,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 85,040 | $347,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 21,510 | $346,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 224,971 | $345,000 | thousands by filing date | call |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 30,988 | $345,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 9,554 | $344,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 34,622 | $344,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 27,882 | $343,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 20,113 | $343,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 142,900 | $342,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 140,000 | $342,000 | thousands by filing date | call |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 3,363 | $342,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 25,845 | $341,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 34,100 | $340,000 | thousands by filing date | call |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 20,351 | $339,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 14,760 | $338,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 183,400 | $336,000 | thousands by filing date | call |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 10,870 | $335,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 261,000 | $334,000 | thousands by filing date | principal |
| SCORPIO BULKERS INC | Y7546A122 | COM | 66,223 | $334,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 11,567 | $331,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 7,134 | $330,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 13,556 | $330,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 23,255 | $330,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 26,930 | $330,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 27,481 | $329,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 45,972 | $329,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 435,000 | $328,000 | thousands by filing date | put |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 92,399 | $327,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 26,535 | $326,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 12,958 | $326,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 142,000 | $326,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 9,588 | $326,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 26,766 | $325,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 35,195 | $325,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 230,070 | $325,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 14,546 | $325,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 6,835 | $324,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 36,479 | $324,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 334,000 | $324,000 | thousands by filing date | principal |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 23,810 | $323,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 11,273 | $322,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 42,106 | $321,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 6,381 | $318,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 9,091 | $318,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 327,000 | $317,000 | thousands by filing date | principal |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 7,567 | $317,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 29,536 | $316,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 11,100 | $316,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 21,211 | $316,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 37,945 | $316,000 | 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 |