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 |
|---|---|---|---|---|---|---|
| NUVEEN NY | 670706100 | COM | 2,901 | $43,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 730 | $43,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 62,200 | $42,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 650 | $42,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 53,200 | $42,000 | thousands by filing date | call |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $42,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 50,000 | $42,000 | thousands by filing date | call |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 15,610 | $42,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 7,600 | $42,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 9,600 | $42,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 12,859 | $42,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 68,456 | $42,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 63,500 | $41,000 | thousands by filing date | call |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 72,500 | $41,000 | thousands by filing date | put |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 2,000 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 442 | $41,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $41,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 852 | $41,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 16,089 | $41,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 92,657 | $41,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 62,800 | $40,000 | thousands by filing date | put |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 200,000 | $40,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 7,050 | $40,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 12,755 | $40,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 5,297 | $40,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 40,000 | $40,000 | thousands by filing date | principal |
| VERIFONE SYS INC | 92342Y109 | COM | 180,000 | $40,000 | thousands by filing date | call |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,419 | $40,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 4,104 | $40,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 35,000 | $39,000 | thousands by filing date | call |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,418 | $39,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,500 | $39,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 53,800 | $39,000 | thousands by filing date | call |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 14,447 | $39,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 2,916 | $38,000 | thousands by filing date | put |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,043 | $38,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,914 | $38,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 977 | $38,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 3,332 | $38,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 50,000 | $37,000 | thousands by filing date | call |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 11,312 | $37,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 2,268 | $37,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 3,734 | $37,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 6,875 | $37,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 6,813 | $37,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,050 | $37,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,234 | $37,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 10,069 | $37,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,527 | $37,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 2,293 | $37,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 20,000 | $36,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 150,000 | $36,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $36,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,698 | $36,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,594 | $36,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 190,000 | $36,000 | thousands by filing date | call |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 2,416 | $36,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 36,000 | $36,000 | thousands by filing date | principal |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 2,500 | $36,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 429 | $35,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 50,000 | $35,000 | thousands by filing date | call |
| SEMGROUP CORP | 81663A105 | CL A | 58,900 | $35,000 | thousands by filing date | put |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 4,500 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,355 | $35,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 47,400 | $34,000 | thousands by filing date | call |
| Lowes Companies,Inc. | 548661107 | COM | 50,150 | $34,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 44,200 | $34,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,263 | $34,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 5,000 | $34,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 5,347 | $34,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 15,600 | $34,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 213,700 | $34,000 | thousands by filing date | put |
| PCM INC | 69323K100 | COM | 1,200 | $34,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $34,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 22,079 | $34,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 12,302 | $34,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 79,600 | $33,000 | thousands by filing date | call |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 2,653 | $33,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 33,000 | $33,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 785 | $33,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 26,000 | $33,000 | thousands by filing date | put |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 17,490 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 1,725 | $33,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 7,600 | $33,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 16,526 | $33,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 24,800 | $32,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 68,500 | $32,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 700 | $32,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 38,700 | $32,000 | thousands by filing date | put |
| PRAXAIR INC | 74005P104 | COM | 80,000 | $32,000 | thousands by filing date | call |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 2,928 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,285 | $32,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 48,200 | $32,000 | thousands by filing date | call |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 5,784 | $32,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 2,000 | $32,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 39,462 | $32,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $32,000 | thousands by filing date | principal |
| NUCOR CORP COM | 670346105 | Stock | 20,300 | $31,000 | thousands by filing date | put |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 1,427 | $31,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,800 | $31,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,812 | $31,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,000 | $31,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 32,000 | $31,000 | thousands by filing date | principal |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,204 | $31,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,200 | $31,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 116,112 | $30,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 90,000 | $30,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 87,500 | $30,000 | thousands by filing date | call |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 35,600 | $30,000 | thousands by filing date | put |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,001 | $30,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,500 | $30,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 2,200 | $30,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,801 | $30,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 657 | $30,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 179,300 | $30,000 | thousands by filing date | call |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,501 | $30,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,676 | $30,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 64,700 | $29,000 | thousands by filing date | call |
| MURPHY OIL CORP COM | 626717102 | Stock | 109,800 | $29,000 | thousands by filing date | call |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 3,414 | $29,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 15,270 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $29,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,383 | $29,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $29,000 | thousands by filing date | principal |
| CONNECTURE INC COM | 20786J106 | Stock | 26,729 | $29,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 234 | $28,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 16,600 | $28,000 | thousands by filing date | call |
| IDENTIV INC | 45170X205 | COM NEW | 4,000 | $28,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,901 | $28,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 14,907 | $28,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,900 | $28,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 391 | $28,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 30,002 | $28,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 8,503 | $28,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 13,000 | $28,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 12,103 | $27,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $27,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,184 | $27,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,882 | $27,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $27,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 28,500 | $27,000 | thousands by filing date | put |
| DENBURY RES INC | 247916208 | COM NEW | 169,100 | $27,000 | thousands by filing date | put |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,866 | $27,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 100,000 | $27,000 | thousands by filing date | put |
| ISRAMCO INC | 465141406 | COM | 232 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 190 | $27,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 9,520 | $27,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 26,000 | $27,000 | thousands by filing date | principal |
| AUTODESK INC COM | 052769106 | Stock | 35,300 | $26,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 4,665 | $26,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 9,550 | $26,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $26,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 19,479 | $26,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,220 | $25,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 576 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 330 | $25,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 25,000 | $25,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $25,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 3,215 | $25,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 6,639 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,000 | $25,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,400 | $24,000 | thousands by filing date | call |
| UNITED GUARDIAN INC | 910571108 | COM | 1,601 | $24,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 961 | $24,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 5,076 | $24,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 2,643 | $24,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 41,000 | $24,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 9,500 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 233 | $24,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 1,800 | $24,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 1,500 | $24,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 5,000 | $24,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,200 | $24,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 75,000 | $24,000 | thousands by filing date | put |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,802 | $24,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 124,500 | $23,000 | thousands by filing date | put |
| Danaher Corporation | 235851102 | COM | 11,700 | $23,000 | thousands by filing date | put |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 77,500 | $23,000 | thousands by filing date | call |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,648 | $23,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,100 | $23,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 3,250 | $23,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,885 | $23,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 36,033 | $23,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $23,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 100,000 | $22,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 5,135 | $22,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 12,477 | $22,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 29,700 | $22,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,258 | $22,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 515 | $22,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,700 | $22,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 70,000 | $22,000 | thousands by filing date | put |
| RSP PERMIAN INC | 74978Q105 | COM | 23,800 | $22,000 | thousands by filing date | call |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $22,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 7,600 | $22,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 23,200 | $21,000 | thousands by filing date | put |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 8,898 | $21,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 499 | $21,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 600 | $21,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 51,200 | $21,000 | thousands by filing date | call |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,893 | $21,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 505 | $21,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,418 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $21,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 5,000 | $21,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,000 | $21,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,001 | $21,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 434 | $21,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 21,000 | $21,000 | thousands by filing date | principal |
| ADEPTUS HEALTH | 006855100 | Common Stock | 11,876 | $21,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 1,550 | $20,000 | thousands by filing date | put |
| Gulfport Energy | 402635304 | COM | 96,300 | $20,000 | thousands by filing date | call |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 81,100 | $20,000 | thousands by filing date | call |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 2,160 | $20,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,500 | $20,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 17,542 | $20,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 55,000 | $19,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 41,500 | $19,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 7,500 | $19,000 | thousands by filing date | call |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 16,000 | $19,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $19,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,550 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 510 | $19,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 8,900 | $19,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 22,783 | $19,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,501 | $19,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,850 | $19,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,760 | $19,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 500 | $19,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 977 | $19,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 75,000 | $18,000 | thousands by filing date | call |
| CANADIAN SOLAR INC | 136635109 | COM | 1,460 | $18,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 7,500 | $18,000 | thousands by filing date | call |
| USD PARTNERS LP LP | 903318103 | STOK | 1,501 | $18,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 756 | $18,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 40,000 | $18,000 | thousands by filing date | call |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 12,500 | $18,000 | thousands by filing date | call |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $18,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,442 | $18,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $18,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,771 | $18,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,000 | $18,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 675 | $18,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 69,700 | $17,000 | thousands by filing date | call |
| AVIS BUDGET GROUP INC | 053774105 | COM | 5,400 | $17,000 | thousands by filing date | put |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,002 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $17,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,180 | $17,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 16,015 | $17,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 759 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 288 | $17,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 738 | $17,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 950 | $17,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 17,500 | $16,000 | thousands by filing date | call |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 1,000 | $16,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 1,537 | $16,000 | thousands by filing date | |
| XL GROUP LTD | G98294104 | COM | 14,100 | $16,000 | thousands by filing date | call |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,022 | $16,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 25,000 | $16,000 | thousands by filing date | put |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 3,500 | $16,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 14,000 | $16,000 | thousands by filing date | principal |
| Castle Brands Inc | 148435100 | COM | 10,000 | $16,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 4,000 | $16,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,598 | $16,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 730 | $16,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,200 | $16,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 5,000 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 560 | $16,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 11,000 | $16,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 20,100 | $15,000 | thousands by filing date | call |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 2,274 | $15,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 1,003 | $15,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 30,000 | $15,000 | thousands by filing date | call |
| APACHE CORP | 037411105 | COM | 21,000 | $15,000 | thousands by filing date | put |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,010 | $15,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $15,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 50,000 | $15,000 | thousands by filing date | put |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $15,000 | thousands by filing date | principal |
| CYTRX CORP | 232828509 | COM PAR $.001 | 34,044 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 548 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 395 | $15,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 455 | $15,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,481 | $15,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 71,400 | $14,000 | thousands by filing date | call |
| Prologis,Inc. | 74340W103 | COM | 24,400 | $14,000 | thousands by filing date | call |
| CSP INC | 126389105 | CMN | 1,300 | $14,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 10,342 | $14,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 77,600 | $14,000 | thousands by filing date | put |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 5,443 | $14,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 10,000 | $14,000 | thousands by filing date | principal |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 399 | $14,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 683 | $14,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 2,091 | $14,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 398 | $14,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $14,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 929 | $14,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $14,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 9,162 | $14,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,479 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06744M836 | NT LKD SER B26 | 115 | $14,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 24,151 | $14,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 10,500 | $14,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 30,000 | $13,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 16,000 | $13,000 | thousands by filing date | call |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 10,700 | $13,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 55,800 | $13,000 | thousands by filing date | put |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 10,000 | $13,000 | thousands by filing date | call |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 23,700 | $13,000 | thousands by filing date | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 27,628 | $13,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 54,500 | $13,000 | thousands by filing date | call |
| CENTURY ALUM CO | 156431108 | COM | 25,000 | $13,000 | thousands by filing date | put |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,700 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 600 | $13,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,001 | $13,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 4,683 | $13,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,200 | $13,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 2,958 | $13,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $13,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 8,200 | $13,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 7,000 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 568 | $13,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,000 | $13,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,850 | $13,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 141,200 | $12,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 2,000 | $12,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 10,000 | $12,000 | thousands by filing date | call |
| BORGWARNER INC COM | 099724106 | Stock | 12,900 | $12,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 8,000 | $12,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 36,400 | $12,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,501 | $12,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 30,000 | $12,000 | thousands by filing date | put |
| BROOKDALE SR LIVING INC | 112463104 | COM | 50,500 | $12,000 | thousands by filing date | call |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $12,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 13,800 | $12,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 550 | $12,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 5,842 | $12,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,918 | $12,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 2,600 | $12,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,000 | $12,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 7,579 | $12,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 7,764 | $12,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,525 | $11,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 126 | $11,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 4,000 | $11,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,000 | $11,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 75,000 | $11,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 436 | $11,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 673 | $11,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,780 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 5,152 | $11,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,072 | $11,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 34,114 | $11,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 701 | $11,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 13,000 | $11,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $11,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 11,000 | $11,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $11,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 530 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 10,000 | $11,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $11,000 | thousands by filing date | principal |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 1,216 | $11,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 6,182 | $11,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 12,841 | $11,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 500 | $10,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,464 | $10,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 1,081 | $10,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 4,300 | $10,000 | thousands by filing date | call |
| WW GRAINGER INC COM | 384802104 | Stock | 14,500 | $10,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 25,000 | $10,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 545 | $10,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 68,000 | $10,000 | thousands by filing date | put |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 80,000 | $10,000 | thousands by filing date | call |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 426 | $10,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 340 | $10,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 300 | $10,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 662 | $10,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $10,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $10,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,501 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| HARVEST CAP CR CORP | 41753F109 | COM | 764 | $10,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 2,577 | $10,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 9,800 | $10,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 11,000 | $10,000 | thousands by filing date | principal |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,504 | $10,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 101 | $10,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 22,164 | $10,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 8,426 | $10,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 849 | $10,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 1,950 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 8,001 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| Philip Morris International Inc. | 718172109 | COM | 6,408 | $9,000 | thousands by filing date | put |
| VALE S A | 91912E105 | SPONSORED ADS | 156,700 | $9,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 2,325 | $9,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 206,100 | $9,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 9,000 | $9,000 | thousands by filing date | call |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,668 | $9,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 700 | $9,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 775 | $9,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 12,300 | $9,000 | thousands by filing date | call |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 3,535 | $9,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 3,700 | $9,000 | thousands by filing date | call |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,400 | $9,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 11,700 | $9,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 876 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 352 | $9,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 675 | $9,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 9,000 | $9,000 | thousands by filing date | principal |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 5,550 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 280 | $9,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 23,487 | $9,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 9,000 | $9,000 | thousands by filing date | principal |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 1,400 | $9,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 25,000 | $8,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 45,000 | $8,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 115 | $8,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 17,800 | $8,000 | thousands by filing date | call |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 10,000 | $8,000 | thousands by filing date | call |
| NOBLE ENERGY INC | 655044105 | COM | 33,000 | $8,000 | thousands by filing date | call |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,001 | $8,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 50,000 | $8,000 | thousands by filing date | put |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,500 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 424 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 99 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 288 | $8,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 6,560 | $8,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 462 | $8,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 307 | $8,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,044 | $8,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,002 | $8,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 6,400 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $8,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 344 | $8,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 948 | $8,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,039 | $8,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,302 | $8,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $8,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 1,000 | $8,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 6,233 | $8,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 943 | $8,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| CROSSROADS CAP INC COM | 227656105 | COM | 3,300 | $8,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 2,517 | $8,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 631 | $8,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 2,901 | $8,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 60,000 | $7,000 | thousands by filing date | call |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 11,700 | $7,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 185 | $7,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 23,400 | $7,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,480 | $7,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,160 | $7,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $7,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $7,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 5,301 | $7,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 307 | $7,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 607 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 426 | $7,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 635 | $7,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 625 | $7,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,014 | $7,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,200 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $7,000 | thousands by filing date | principal |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 400 | $7,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 102,400 | $6,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 94 | $6,000 | thousands by filing date | put |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 49,800 | $6,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 13,400 | $6,000 | thousands by filing date | call |
| PDC ENERGY INC | 69327R101 | COM | 8,300 | $6,000 | thousands by filing date | put |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 471 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $6,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 75 | $6,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 5,604 | $6,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 1,300 | $6,000 | thousands by filing date | put |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 850 | $6,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $6,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 137 | $6,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 5,000 | $6,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 208 | $6,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,500 | $6,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,000 | $6,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 321 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 300 | $6,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 200 | $6,000 | thousands by filing date |
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 |