13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-04-28, with 6,626 holding rows worth $307,763,785,000.
- Accession
- 0000072971-17-000332
- Filer
- CIK 72971
- Filed
- 2017-04-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 20,091 entries on the cover page, a total value of $307,763,785,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $307,763,785,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 |
|---|---|---|---|---|---|---|
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 13,845 | $339,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 20,156 | $339,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 69,920 | $339,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 65,075 | $338,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 17,258 | $337,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 94,464 | $337,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 13,790 | $336,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 11,273 | $335,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 192,400 | $335,000 | thousands by filing date | call |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 22,435 | $335,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 13,284 | $334,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 47,066 | $334,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 31,828 | $334,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 132,360 | $333,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 67,810 | $333,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 126,600 | $332,000 | thousands by filing date | call |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 9,314 | $332,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 8,225 | $332,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 9,949 | $331,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 460,200 | $330,000 | thousands by filing date | call |
| HAWKINS INC | 420261109 | COM | 6,726 | $330,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 11,155 | $330,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 27,299 | $330,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 336,100 | $329,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 215,800 | $328,000 | thousands by filing date | call |
| Blackrock 2022 Global In | 09258P104 | ETF | 32,800 | $328,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 159,800 | $327,000 | thousands by filing date | call |
| AMERICAN VANGUARD CORP | 030371108 | COM | 19,718 | $327,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 13,281 | $327,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 22,457 | $327,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 8,674 | $324,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 91,788 | $322,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 22,027 | $322,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 15,625 | $320,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 228,000 | $319,000 | thousands by filing date | call |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 66,501 | $319,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 12,725 | $318,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 426,400 | $318,000 | thousands by filing date | put |
| ATLASSIAN CORP | G06242104 | CL A | 10,612 | $318,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 17,876 | $318,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 23,956 | $317,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 37,547 | $315,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 30,468 | $315,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 73,190 | $315,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 12,582 | $314,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 35,481 | $312,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 16,034 | $309,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 114,700 | $309,000 | thousands by filing date | put |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 11,957 | $308,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 64,200 | $307,000 | thousands by filing date | call |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 14,359 | $307,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 15,597 | $307,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 24,796 | $306,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 54,507 | $305,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 116,800 | $305,000 | thousands by filing date | call |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 8,421 | $305,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 13,366 | $305,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 9,192 | $303,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 31,403 | $303,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 16,510 | $303,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 18,051 | $302,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 24,807 | $302,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 17,153 | $302,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 200,000 | $301,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 57,800 | $300,000 | thousands by filing date | put |
| REVLON INC | 761525609 | OPT | 10,762 | $300,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 15,566 | $300,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 47,257 | $299,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 550,000 | $299,000 | thousands by filing date | put |
| TRONC INC | 89703P107 | COM | 21,420 | $299,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 12,988 | $297,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 24,896 | $296,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 34,421 | $295,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 29,796 | $294,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 23,255 | $294,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 9,126 | $294,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 536,600 | $293,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 11,590 | $293,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 58,268 | $293,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 8,281 | $293,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 36,441 | $293,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 18,679 | $292,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 13,738 | $292,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 47,472 | $292,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 15,110 | $292,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 15,874 | $292,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 9,710 | $291,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 36,019 | $291,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 80,402 | $291,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 61,123 | $290,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 20,729 | $289,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 27,541 | $289,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 126,538 | $288,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 16,894 | $287,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 18,755 | $287,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 49,812 | $286,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 18,465 | $286,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 27,169 | $285,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 5,253 | $283,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 4,333 | $283,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 15,245 | $283,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 266,400 | $282,000 | thousands by filing date | put |
| CODEXIS INC | 192005106 | COM | 58,694 | $282,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 4,009 | $282,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 53,930 | $282,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 257,000 | $282,000 | thousands by filing date | principal |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 24,461 | $281,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 7,526 | $281,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 158,000 | $280,000 | thousands by filing date | call |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 18,967 | $280,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 7,454 | $280,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 150,346 | $278,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 22,518 | $278,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 59,212 | $276,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 91,900 | $275,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 774,400 | $275,000 | thousands by filing date | call |
| IXYS CORP | 46600W106 | COMMON STOCK | 18,818 | $274,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 8,342 | $273,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 12,234 | $272,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 269,048 | $272,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 22,569 | $272,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 6,635 | $271,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 7,874 | $271,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 67,684 | $271,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 15,086 | $271,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 24,184 | $271,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 20,940 | $270,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 53,105 | $269,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 45,635 | $269,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 23,781 | $268,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 17,000 | $267,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 20,007 | $267,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 23,620 | $266,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 15,166 | $266,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 14,009 | $266,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 13,227 | $265,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 27,892 | $265,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 72,256 | $264,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 131,200 | $263,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 200,000 | $263,000 | thousands by filing date | put |
| DAKTRONICS INC | 234264109 | COM | 27,875 | $263,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 7,176 | $263,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 81,493 | $263,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 52,086 | $263,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 24,767 | $262,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 7,038 | $262,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 14,696 | $262,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 10,958 | $261,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 18,088 | $261,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 16,370 | $261,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 75,513 | $260,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 6,974 | $260,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 7,121 | $260,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 59,200 | $259,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 103,600 | $259,000 | thousands by filing date | put |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 16,919 | $259,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 177,515 | $259,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 84,040 | $259,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 24,063 | $259,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 314,800 | $258,000 | thousands by filing date | call |
| IAMGOLD CORP COM | 450913108 | Stock | 64,657 | $258,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 24,555 | $258,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 12,746 | $257,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 131,500 | $256,000 | thousands by filing date | call |
| VSE CORP COM | 918284100 | Stock | 6,248 | $255,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 21,014 | $255,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 276,000 | $255,000 | thousands by filing date | principal |
| ARDAGH GROUP S A | L0223L101 | COM | 11,614 | $255,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 18,337 | $254,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 18,481 | $254,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 31,987 | $254,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 44,685 | $254,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,281 | $253,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 91,055 | $253,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 25,642 | $253,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 47,750 | $253,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 5,066 | $252,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 100,000 | $252,000 | thousands by filing date | call |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 222,000 | $252,000 | thousands by filing date | principal |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 1,448 | $251,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 14,173 | $251,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 16,836 | $251,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 10,381 | $249,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 9,261 | $249,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 41,743 | $248,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 25,312 | $248,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 33,948 | $248,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 36,069 | $247,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 2,186 | $247,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 69,813 | $246,000 | thousands by filing date | put |
| BANK MUTUAL CORP | 063750103 | COM | 26,174 | $246,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 108,038 | $245,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 16,848 | $245,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 4,691 | $243,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 6,191 | $243,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 19,234 | $242,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 107,137 | $242,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 312,600 | $242,000 | thousands by filing date | call |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 21,550 | $241,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 6,612 | $241,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 150,000 | $241,000 | thousands by filing date | put |
| SEASPAN CORP | Y75638109 | SHS | 34,762 | $241,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 10,447 | $240,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 56,600 | $239,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 10,030 | $239,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 26,806 | $239,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 448,479 | $239,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 127,563 | $239,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 7,152 | $239,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 18,084 | $238,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 33,437 | $238,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 10,979 | $237,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 19,190 | $236,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 12,524 | $236,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 141,700 | $235,000 | thousands by filing date | call |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 18,006 | $235,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 209,000 | $235,000 | thousands by filing date | principal |
| United Bancshares | 909458101 | COM | 11,248 | $234,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 13,945 | $233,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 13,052 | $233,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 62,272 | $233,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 38,488 | $233,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 171,756 | $232,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 11,041 | $232,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 100,000 | $231,000 | thousands by filing date | put |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 235,000 | $231,000 | thousands by filing date | principal |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 12,049 | $231,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 225,000 | $231,000 | thousands by filing date | principal |
| PAYPALHLDGSINC | 70450Y103 | STOK | 255,400 | $230,000 | thousands by filing date | call |
| ISHARES TR | 464288430 | ASIA 50 ETF | 4,368 | $229,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 8,364 | $229,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 205,000 | $229,000 | thousands by filing date | call |
| SUN BANCORP INC | 86663B201 | COM NEW | 9,416 | $229,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 183,000 | $229,000 | thousands by filing date | principal |
| POWELL INDS INC | 739128106 | COM | 6,586 | $227,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 10,162 | $227,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 3,237 | $226,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 235,016 | $226,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 91,479 | $226,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 49,050 | $225,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 14,100 | $225,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 22,646 | $224,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 56,116 | $224,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 8,125 | $223,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 137,500 | $222,000 | thousands by filing date | call |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 16,866 | $222,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 29,830 | $222,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,767 | $222,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 10,302 | $221,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 5,300 | $221,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 14,675 | $221,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 14,523 | $220,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 11,065 | $220,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 9,901 | $219,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 49,195 | $218,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 4,484 | $218,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 15,765 | $218,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 320,000 | $217,000 | thousands by filing date | put |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 200,000 | $217,000 | thousands by filing date | call |
| IMPINJ INC | 453204109 | COM | 7,189 | $217,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 18,120 | $217,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 6,231 | $217,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 67,631 | $217,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 210,000 | $217,000 | thousands by filing date | principal |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 11,741 | $216,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 21,063 | $215,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 35,161 | $215,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 16,112 | $215,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 12,258 | $214,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,126 | $214,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 8,360 | $214,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 7,390 | $214,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 80,000 | $213,000 | thousands by filing date | call |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 5,529 | $213,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 9,923 | $213,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 14,929 | $212,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 160,000 | $212,000 | thousands by filing date | put |
| ORCHID IS CAP INC | 68571X103 | COM | 21,183 | $212,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 16,801 | $212,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 3,782 | $212,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,715 | $211,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 9,071 | $211,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 4,840 | $211,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 9,588 | $210,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 6,956 | $209,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 162,000 | $209,000 | thousands by filing date | principal |
| RADNET INC | 750491102 | COM | 35,189 | $208,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $208,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 18,665 | $208,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 36,038 | $207,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 369,200 | $207,000 | thousands by filing date | call |
| TITAN MACHY INC | 88830R101 | COM | 13,457 | $207,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 13,123 | $207,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 24,820 | $207,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 32,956 | $207,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 25,535 | $207,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 10,593 | $206,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 12,720 | $206,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 32,982 | $206,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 26,239 | $206,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 9,555 | $205,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 71,792 | $205,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 16,818 | $205,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 28,525 | $205,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 15,500 | $204,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 261,000 | $204,000 | thousands by filing date | principal |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 15,951 | $203,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 32,752 | $203,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 43,531 | $203,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 22,230 | $202,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 16,963 | $202,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 11,962 | $202,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 9,455 | $202,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 2,618 | $201,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 3,771 | $201,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 41,800 | $200,000 | thousands by filing date | call |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 8,090 | $200,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 8,315 | $199,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 50,000 | $199,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 27,325 | $198,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 230,900 | $198,000 | thousands by filing date | put |
| RICE ENERGY INC | 762760106 | COM | 135,700 | $198,000 | thousands by filing date | call |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 24,450 | $197,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 5,516 | $196,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 75,000 | $195,000 | thousands by filing date | put |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 7,418 | $195,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 11,781 | $194,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 16,527 | $194,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 6,950 | $194,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 25,720 | $194,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 4,927 | $194,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 150,000 | $193,000 | thousands by filing date | put |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 10,415 | $193,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 113,710 | $193,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 5,075 | $193,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 24,063 | $192,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 9,532 | $192,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 3,342 | $191,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 31,423 | $191,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 75,000 | $191,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 23,631 | $190,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 12,938 | $190,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 11,765 | $189,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 10,307 | $189,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 4,025 | $188,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 21,885 | $188,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 19,386 | $187,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 12,351 | $187,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 18,913 | $187,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 14,924 | $187,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 187,000 | $187,000 | thousands by filing date | principal |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 6,590 | $187,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 6,999 | $187,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 4,957 | $186,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,946 | $186,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 10,077 | $186,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 21,430 | $186,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 8,346 | $186,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 51,291 | $186,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 10,000 | $185,000 | thousands by filing date | call |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 10,828 | $185,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 15,712 | $185,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 43,182 | $185,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 155,000 | $185,000 | thousands by filing date | put |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,269 | $185,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 561,000 | $184,000 | thousands by filing date | put |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 41,400 | $184,000 | thousands by filing date | put |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 4,605 | $184,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 12,325 | $184,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 32,886 | $184,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 5,922 | $184,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 6,651 | $183,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 44,669 | $183,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 150,000 | $183,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 234,200 | $182,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 80,000 | $182,000 | thousands by filing date | call |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 54,704 | $181,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 13,527 | $181,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 5,672 | $180,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 192,000 | $180,000 | thousands by filing date | principal |
| CRA INTL INC | 12618T105 | COM | 5,059 | $179,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 200,000 | $179,000 | thousands by filing date | principal |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 2,238 | $178,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 15,593 | $178,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 6,153 | $177,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 8,057 | $177,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 20,865 | $177,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 6,486 | $176,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,515 | $176,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 8,336 | $175,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 16,099 | $175,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 125,779 | $174,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 8,617 | $174,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,383 | $174,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 12,452 | $174,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 9,304 | $173,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 10,903 | $173,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 5,068 | $173,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 213,400 | $172,000 | thousands by filing date | put |
| VERACYTE INC COM | 92337F107 | Stock | 18,752 | $172,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 3,114 | $172,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 28,861 | $172,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 16,864 | $172,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 2,904 | $172,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 14,228 | $171,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 14,889 | $171,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 7,461 | $171,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $171,000 | thousands by filing date | call |
| APPFOLIO INC | 03783C100 | COM CL A | 6,268 | $170,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 857,900 | $170,000 | thousands by filing date | put |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 17,064 | $170,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,248 | $170,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 6,031 | $170,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 28,819 | $170,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 21,084 | $169,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 11,615 | $169,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 26,342 | $169,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 12,023 | $169,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 236,100 | $168,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 50,000 | $168,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,099 | $168,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 1,846 | $168,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 21,006 | $168,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 16,799 | $168,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 18,680 | $168,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 100,000 | $167,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 22,866 | $167,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 5,447 | $167,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 26,570 | $167,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 109,000 | $167,000 | thousands by filing date | principal |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 4,384 | $166,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 218,300 | $164,000 | thousands by filing date | call |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 12,601 | $164,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 4,790 | $163,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 150,000 | $163,000 | thousands by filing date | principal |
| Deere & Company | 244199105 | COM | 78,100 | $162,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 7,653 | $162,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 12,390 | $162,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 37,317 | $162,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 2,488 | $161,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 108,480 | $161,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,163 | $161,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 23,480 | $161,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 9,438 | $161,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 41,404 | $161,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 900 | $160,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 12,292 | $160,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 6,191 | $160,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 2,281 | $160,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 40,800 | $159,000 | thousands by filing date | call |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 24,261 | $159,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 7,602 | $159,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 4,216 | $158,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 34,953 | $158,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 3,938 | $157,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 36,617 | $157,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 153,303 | $156,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 595,318 | $156,000 | thousands by filing date | put |
| NATERA INC COM | 632307104 | Stock | 17,540 | $156,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 109,900 | $156,000 | thousands by filing date | put |
| PDVWIRELESS INC | 69290R104 | COM | 7,119 | $156,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 15,767 | $156,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 11,175 | $155,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 14,851 | $155,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 31,546 | $155,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 1,957 | $155,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 8,980 | $154,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 10,945 | $154,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 12,449 | $154,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 49,999 | $154,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 422,900 | $153,000 | thousands by filing date | put |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 75,100 | $153,000 | thousands by filing date | put |
| TELUS CORPORATION COM | 87971M103 | Stock | 4,711 | $153,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 17,023 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 11,056 | $153,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 13,406 | $153,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,207 | $153,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 44,538 | $153,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 85,638 | $152,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,479 | $151,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 190,300 | $151,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 66,680 | $151,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 147,000 | $151,000 | thousands by filing date | principal |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 17,000 | $151,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 18,292 | $151,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 17,200 | $150,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,840 | $150,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 150,000 | $150,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 136,400 | $149,000 | thousands by filing date | call |
| CSS INDS INC | 125906107 | COMMON STOCK | 5,739 | $149,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 48,166 | $149,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 228,628 | $149,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 12,117 | $148,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 5,682 | $148,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $148,000 | thousands by filing date | principal |
| WILLIAMS COS INC COM | 969457100 | Stock | 207,600 | $147,000 | thousands by filing date | call |
| BEL FUSE INC | 077347300 | CL B | 5,770 | $147,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 4,814 | $147,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 7,750 | $147,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 72,100 | $146,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-17-000332 | this filing | 2017-04-28 | acceptance time not in the bulk data set |