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 |
|---|---|---|---|---|---|---|
| EBAY INC. COM | 278642103 | Stock | 175,700 | $146,000 | thousands by filing date | put |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 25,521 | $146,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 3,001 | $146,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 43,032 | $146,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,581 | $145,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 4,305 | $145,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 19,792 | $145,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 12,283 | $144,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 8,533 | $144,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 5,100 | $143,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 16,042 | $143,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 15,991 | $143,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 10,452 | $143,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 15,203 | $143,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,675 | $142,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 3,398 | $142,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 4,513 | $142,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 9,919 | $141,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,826 | $141,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 23,229 | $141,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 5,493 | $141,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 8,911 | $141,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 175,000 | $140,000 | thousands by filing date | call |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 6,253 | $140,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 187,600 | $140,000 | thousands by filing date | put |
| BB & T CORP | 054937107 | COM | 150,000 | $140,000 | thousands by filing date | put |
| STEIN MART INC | 858375108 | COM | 46,457 | $140,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 67,900 | $139,000 | thousands by filing date | call |
| HESS CORP | 42809H107 | COM | 16,800 | $139,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 11,279 | $139,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 2,296 | $139,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 6,622 | $139,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 8,650 | $138,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 4,446 | $138,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,791 | $138,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 50,000 | $138,000 | thousands by filing date | call |
| CONNS INC | 208242107 | COM | 15,792 | $138,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 390,820 | $137,000 | thousands by filing date | put |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 5,012 | $137,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $137,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $137,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 13,086 | $136,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 3,132 | $136,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 21,699 | $136,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $136,000 | thousands by filing date | principal |
| GAMCO INVS INC COM | 361438104 | COM | 4,584 | $135,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 7,100 | $135,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 1,206 | $135,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 10,300 | $134,000 | thousands by filing date | call |
| Lifetime Brands Inc | 53222Q103 | COM | 6,682 | $134,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 240,387 | $133,000 | thousands by filing date | call |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,963 | $133,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 49,000 | $133,000 | thousands by filing date | call |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 5,082 | $133,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 42,741 | $133,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 10,623 | $133,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 7,031 | $133,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 16,739 | $133,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 13,098 | $133,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 16,000 | $132,000 | thousands by filing date | put |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 3,831 | $132,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,916 | $132,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 9,703 | $132,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 7,747 | $132,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 40,463 | $132,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 14,500 | $131,000 | thousands by filing date | call |
| HAMILTON LANE INC | 407497106 | CL A | 7,049 | $131,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 7,633 | $131,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 10,533 | $131,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 19,005 | $131,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 48,200 | $130,000 | thousands by filing date | call |
| HCP INC | 40414L109 | COM | 90,000 | $130,000 | thousands by filing date | call |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 20,000 | $129,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 250,000 | $129,000 | thousands by filing date | put |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 125,000 | $129,000 | thousands by filing date | principal |
| APPTIO INC | 03835C108 | CL A | 11,004 | $129,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 10,291 | $129,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 30,680 | $129,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 5,836 | $129,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 841,300 | $128,000 | thousands by filing date | put |
| BARINGS CORPORATE INVS | 06759X107 | COM | 8,381 | $128,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,361 | $128,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 12,049 | $128,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 34,600 | $127,000 | thousands by filing date | put |
| IMMUCELL CORP | 452525306 | COM PAR | 23,001 | $127,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $127,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 14,076 | $127,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 15,717 | $127,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 10,519 | $127,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 3,346 | $126,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 73,964 | $126,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 39,717 | $126,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 40,000 | $126,000 | thousands by filing date | put |
| VERA BRADLEY INC | 92335C106 | COM | 13,408 | $125,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 4,009 | $125,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 9,145 | $125,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 675,000 | $125,000 | thousands by filing date | put |
| QIWI PLC | 74735M108 | SPON ADR REP B | 7,305 | $125,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $125,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 6,869 | $125,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,482 | $125,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 13,088 | $124,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 12,848 | $124,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 2,396 | $124,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 7,497 | $124,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 18,304 | $124,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 34,106 | $124,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 3,079 | $124,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 412,500 | $123,000 | thousands by filing date | put |
| EQT CORP COM | 26884L109 | Stock | 118,300 | $123,000 | thousands by filing date | call |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 8,276 | $123,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 7,500 | $123,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 6,867 | $123,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 50,000 | $122,000 | thousands by filing date | put |
| EP ENERGY CORP | 268785102 | CL A | 25,820 | $122,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 7,641 | $121,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 7,087 | $121,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 19,951 | $120,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 48,000 | $120,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 32,013 | $120,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 22,000 | $119,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 9,364 | $119,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 9,311 | $119,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,974 | $119,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 110,400 | $118,000 | thousands by filing date | call |
| Texas Instruments Incorporated | 882508104 | COM | 33,200 | $118,000 | thousands by filing date | put |
| FULGENT GENETICS INC | 359664109 | COM | 10,730 | $118,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 10,281 | $118,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 9,793 | $118,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 2,198 | $118,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 45,229 | $117,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 15,705 | $117,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 13,647 | $117,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,000 | $116,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 89,000 | $116,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,541 | $115,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 17,683 | $115,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,515 | $114,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 127,000 | $113,000 | thousands by filing date | put |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 150,000 | $113,000 | thousands by filing date | principal |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 5,400 | $113,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $112,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 6,255 | $112,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 375,000 | $112,000 | thousands by filing date | put |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 770 | $112,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,014 | $111,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 3,762 | $111,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 17,245 | $111,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 6,339 | $111,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 8,500 | $111,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 3,025 | $111,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 3,910 | $110,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 22,100 | $110,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,883 | $110,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 6,480 | $110,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 3,490 | $110,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 5,527 | $109,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 17,700 | $109,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,369 | $109,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 93,000 | $109,000 | thousands by filing date | principal |
| EDGE THERAPEUTICS INC | 279870109 | COM | 11,942 | $109,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,501 | $108,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 14,943 | $108,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 46,912 | $108,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 12,871 | $108,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 25,368 | $107,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 27,419 | $107,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 2,667 | $106,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 809 | $106,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 5,394 | $106,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 104,800 | $106,000 | thousands by filing date | call |
| WEST MARINE INC | 954235107 | COM | 11,153 | $106,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,528 | $106,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 7,705 | $106,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 155,212 | $105,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 217,800 | $105,000 | thousands by filing date | call |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,801 | $105,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 61,176 | $105,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 7,401 | $105,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 3,300 | $104,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 86,600 | $104,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 8,779 | $104,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 4,235 | $104,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 75,004 | $103,000 | thousands by filing date | put |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 100,911 | $103,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 45,000 | $103,000 | thousands by filing date | put |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,777 | $103,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,577 | $103,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 4,600 | $103,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 108,054 | $103,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 100,000 | $102,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 6,641 | $102,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 42,640 | $102,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,201 | $101,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 29,700 | $101,000 | thousands by filing date | call |
| CVD EQUIP CORP | 126601103 | COM | 9,730 | $101,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 153,400 | $101,000 | thousands by filing date | call |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 8,094 | $101,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 133,500 | $100,000 | thousands by filing date | call |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 1,039 | $100,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 6,944 | $100,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 11,084 | $100,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 7,082 | $100,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 8,892 | $100,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 3,367 | $100,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 3,344 | $99,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 15,255 | $99,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 4,115 | $99,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 9,796 | $99,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 7,058 | $99,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 2,487 | $99,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 980 | $98,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 9,647 | $98,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,553 | $97,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 10,771 | $97,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 3,990 | $97,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,100 | $97,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 5,237 | $97,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,705 | $97,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 38,167 | $97,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 7,100 | $96,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 23,597 | $96,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 25,728 | $95,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 6,638 | $94,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 23,213 | $94,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 80,000 | $93,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 14,783 | $93,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,175 | $93,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 4,472 | $93,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,335 | $93,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 4,070 | $93,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 6,349 | $93,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 5,465 | $92,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 7,197 | $92,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,550 | $91,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 36,000 | $91,000 | thousands by filing date | put |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,099 | $90,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 25,117 | $90,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 11,589 | $90,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 6,583 | $90,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 8,032 | $89,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,260 | $89,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 17,290 | $89,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 51,473 | $88,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 25,000 | $88,000 | thousands by filing date | put |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 36,098 | $88,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $88,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 23,582 | $87,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 98,000 | $87,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 50,000 | $87,000 | thousands by filing date | put |
| KVH INDS INC | 482738101 | COM | 10,384 | $87,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 15,693 | $87,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 71,600 | $87,000 | thousands by filing date | put |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 10,200 | $87,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 8,590 | $87,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 4,299 | $86,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,808 | $86,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 14,100 | $86,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 4,909 | $86,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 82,300 | $86,000 | thousands by filing date | call |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 49,958 | $86,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 3,560 | $86,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 46,370 | $86,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 30,000 | $85,000 | thousands by filing date | call |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 20,000 | $85,000 | thousands by filing date | call |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 9,822 | $85,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 4,172 | $85,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 43,985 | $85,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 32,391 | $84,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 9,145 | $83,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 6,741 | $83,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 20,728 | $83,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 11,695 | $83,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 2,855 | $83,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 7,567 | $82,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 46,988 | $82,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 106,120 | $81,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,352 | $81,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,374 | $81,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 31,300 | $80,000 | thousands by filing date | put |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 22,592 | $80,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 9,052 | $80,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 5,679 | $80,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 29,196 | $80,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 3,640 | $80,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 23,241 | $80,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 81,000 | $80,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 3,948 | $79,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 4,243 | $79,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 2,850 | $79,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 2,622 | $78,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,198 | $78,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 3,277 | $78,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 69,200 | $78,000 | thousands by filing date | put |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 4,157 | $78,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 3,704 | $78,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 11,031 | $77,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 7,707 | $77,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 4,546 | $77,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 85,028 | $76,000 | thousands by filing date | put |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 1,217 | $76,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 5,096 | $76,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 5,189 | $76,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,137 | $76,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 15,759 | $76,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 3,085 | $76,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 75,000 | $76,000 | thousands by filing date | principal |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 1,581 | $75,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 89,900 | $75,000 | thousands by filing date | call |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 31,664 | $75,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 4,000 | $75,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 6,801 | $75,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 32,535 | $75,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 29,900 | $74,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 125,000 | $74,000 | thousands by filing date | put |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 14,224 | $74,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 28,063 | $74,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 5,187 | $74,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 4,854 | $73,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 27,099 | $73,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 3,814 | $73,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 13,166 | $73,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 16,478 | $73,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 180,300 | $72,000 | thousands by filing date | put |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 3,000 | $72,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 116,208 | $72,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 13,455 | $72,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 11,100 | $72,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 120,000 | $71,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 9,861 | $71,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,400 | $71,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 130,600 | $71,000 | thousands by filing date | put |
| QUINSTREET INC | 74874Q100 | COM | 18,230 | $71,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 157,861 | $71,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 12,005 | $71,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 50,000 | $71,000 | thousands by filing date | put |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,201 | $71,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 841 | $71,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 6,669 | $71,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 47,600 | $70,000 | thousands by filing date | call |
| SPRINT CORP | 85207U105 | COM SER 1 | 548,800 | $70,000 | thousands by filing date | put |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 9,027 | $70,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $70,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 12,195 | $70,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 114,500 | $69,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 1,085 | $69,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 2,465 | $69,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 9,996 | $69,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 85,500 | $68,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 116,200 | $68,000 | thousands by filing date | call |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 150,000 | $68,000 | thousands by filing date | call |
| HARDINGE INC | 412324303 | COM | 6,031 | $68,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 5,219 | $67,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 50,000 | $67,000 | thousands by filing date | call |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 4,001 | $66,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 18,514 | $66,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 79,800 | $66,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 45,500 | $65,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 19,687 | $65,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 70,000 | $64,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 2,269 | $64,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 8,938 | $64,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 2,080 | $64,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 3,008 | $64,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 15,986 | $64,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 70,000 | $64,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 4,145 | $63,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 27,273 | $63,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,959 | $63,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 36,812 | $63,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 2,617 | $63,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 918 | $63,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 40,100 | $62,000 | thousands by filing date | put |
| CYRUSONE INC | 23283R100 | COM | 43,500 | $62,000 | thousands by filing date | call |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 2,097 | $62,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 6,913 | $62,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,020 | $62,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 107,000 | $62,000 | thousands by filing date | principal |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 7,800 | $61,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,545 | $61,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 6,000 | $61,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,789 | $61,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 12,500 | $61,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 79,400 | $60,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 17,453 | $60,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 75,311 | $60,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 18,256 | $60,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 55,000 | $59,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 48,500 | $59,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,083 | $59,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 975,000 | $59,000 | thousands by filing date | call |
| VERIS RESIDENTIAL INC | 554489104 | COM | 70,000 | $59,000 | thousands by filing date | put |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,050 | $59,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 1,743 | $59,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 1,254 | $59,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 7,893 | $58,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,127 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,919 | $58,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 20,385 | $58,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 12,115 | $58,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,500 | $58,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 4,200 | $57,000 | thousands by filing date | call |
| HP INC COM | 40434L105 | Stock | 234,200 | $57,000 | thousands by filing date | put |
| WPX ENERGY INC | 98212B103 | COM | 84,400 | $57,000 | thousands by filing date | put |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $57,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 184,600 | $56,000 | thousands by filing date | call |
| URBAN OUTFITTERS INC | 917047102 | COM | 50,900 | $56,000 | thousands by filing date | put |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 1,006 | $56,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 3,892 | $56,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 4,681 | $56,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 1,087 | $55,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 50,000 | $55,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 2,101 | $55,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,773 | $55,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,000 | $55,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 75,825 | $55,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 110,600 | $54,000 | thousands by filing date | call |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,028 | $54,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 17,028 | $54,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,826 | $54,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 2,042 | $54,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 3,181 | $54,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,076 | $53,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 3,965 | $53,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 3,101 | $53,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 80,000 | $53,000 | thousands by filing date | call |
| CONSOL ENERGY INC | 20854P109 | COM | 180,000 | $53,000 | thousands by filing date | call |
| FBR & CO | 30247C400 | COM NEW | 2,946 | $53,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 7,150 | $53,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 9,096 | $53,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $53,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 48,900 | $52,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,600 | $52,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 9,729 | $52,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 50,000 | $52,000 | thousands by filing date | principal |
| GABELLI UTIL TR | 36240A101 | COM | 7,551 | $51,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 4,400 | $51,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 44,865 | $51,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 11,033 | $51,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $51,000 | thousands by filing date | principal |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 991 | $50,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 18,100 | $50,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 51,800 | $50,000 | thousands by filing date | put |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,988 | $50,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 10,430 | $50,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 5,000 | $50,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,405 | $49,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 49,052 | $49,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 3,059 | $49,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 300,300 | $49,000 | thousands by filing date | call |
| INVUITY INC | 46187J205 | COM NEW | 6,200 | $49,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 1,752 | $49,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 6,964 | $48,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 192,400 | $48,000 | thousands by filing date | call |
| SHILOH INDUSTRIES INC | 824543102 | COM | 3,551 | $48,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 14,410 | $48,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 7,519 | $48,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 900 | $48,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 445 | $47,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $47,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 3,469 | $47,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 19,500 | $47,000 | thousands by filing date | call |
| TTOO | 89853L104 | Stock | 8,863 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,729 | $47,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 16,251 | $47,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 5,980 | $47,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 122,000 | $46,000 | thousands by filing date | put |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,919 | $46,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $46,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 7,100 | $46,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 12,000 | $46,000 | thousands by filing date | principal |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 25,000 | $45,000 | thousands by filing date | call |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 2,800 | $45,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 50,000 | $45,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $45,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,959 | $45,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,777 | $45,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 71,687 | $45,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 30,000 | $45,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 10,865 | $45,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 35,026 | $45,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 11,932 | $45,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 11,100 | $44,000 | thousands by filing date | call |
| PG&E CORP COM | 69331C108 | Stock | 84,300 | $44,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,000 | $44,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 40,000 | $44,000 | thousands by filing date | call |
| VERASTEM INC | 92337C104 | COM | 21,300 | $44,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 22,165 | $44,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 9,128 | $44,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,501 | $44,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 38,900 | $43,000 | thousands by filing date | put |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 60,000 | $43,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 39,100 | $43,000 | thousands by filing date | call |
| PARSLEY ENERGY INC | 701877102 | CL A | 147,600 | $43,000 | thousands by filing date | call |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 351 | $43,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 16,675 | $43,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,751 | $43,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 18,828 | $43,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 89,000 | $43,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $43,000 | thousands by filing date | principal |
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 |