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 |
|---|---|---|---|---|---|---|
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 30,005 | $723,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 164,597 | $719,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 150,037 | $717,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 32,204 | $716,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 68,450 | $716,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 121,394 | $715,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 28,723 | $712,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 40,496 | $711,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 20,052 | $711,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 75,257 | $711,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 35,397 | $709,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 32,816 | $708,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 64,255 | $708,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 13,027 | $705,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 12,085 | $704,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 32,136 | $703,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 207,458 | $703,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 120,883 | $702,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 150,596 | $702,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 3,516 | $701,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 682,000 | $701,000 | thousands by filing date | principal |
| IMPAX LABORATORIES INC | 45256B101 | COM | 55,393 | $701,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 14,044 | $700,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 192,100 | $699,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 50,088 | $699,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 139,912 | $699,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 27,653 | $698,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 79,863 | $695,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 35,675 | $693,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 38,319 | $692,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 24,543 | $690,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 17,248 | $690,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 37,399 | $687,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 25,360 | $687,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 85,404 | $686,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 47,097 | $686,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 40,755 | $685,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 22,615 | $684,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 248,100 | $683,000 | thousands by filing date | call |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 275,428 | $683,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 45,486 | $682,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 10,301 | $681,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 8,453 | $681,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 16,431 | $679,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 35,943 | $679,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 9,449 | $678,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 57,085 | $678,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 73,765 | $678,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 25,755 | $678,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 28,202 | $677,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 30,000 | $676,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 80,103 | $673,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 18,286 | $672,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 44,226 | $670,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 24,740 | $670,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 8,179 | $666,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 44,638 | $663,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 28,921 | $662,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 21,394 | $660,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 67,262 | $659,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 39,697 | $658,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 116,317 | $657,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 54,328 | $657,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 41,894 | $656,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 14,314 | $655,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 30,000 | $655,000 | thousands by filing date | call |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 77,917 | $654,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 10,435 | $653,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 15,503 | $653,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 45,478 | $652,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 32,451 | $649,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 58,924 | $648,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 7,646 | $647,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 55,529 | $646,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 36,194 | $644,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 13,217 | $644,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 30,961 | $644,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 154,410 | $641,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 542,000 | $640,000 | thousands by filing date | principal |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 238,772 | $638,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 20,938 | $638,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 45,800 | $637,000 | thousands by filing date | call |
| ARCHROCK INC | 03957W106 | COM | 51,374 | $636,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 35,297 | $636,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 41,591 | $636,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 563,000 | $636,000 | thousands by filing date | principal |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 18,936 | $635,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 500,000 | $635,000 | thousands by filing date | call |
| NN INC | 629337106 | COM | 25,214 | $635,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 19,029 | $634,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 9,681 | $633,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 1,054 | $632,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 102,423 | $632,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 10,136 | $632,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 612,000 | $631,000 | thousands by filing date | principal |
| PTC THERAPEUTICS INC | 69366J200 | COM | 63,446 | $625,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 67,344 | $623,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 63,772 | $622,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 635,000 | $619,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 63,413 | $619,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 18,702 | $618,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 40,684 | $618,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 34,825 | $617,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 36,275 | $617,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 47,100 | $615,000 | thousands by filing date | call |
| VAREX IMAGING CORP | 92214X106 | COMMON STOCK | 18,278 | $614,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 59,420 | $612,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 136,669 | $611,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 28,863 | $611,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 347,000 | $611,000 | thousands by filing date | principal |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 70,052 | $609,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 32,079 | $609,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 63,708 | $608,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 24,790 | $605,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 13,091 | $603,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 25,845 | $603,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 23,802 | $603,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 28,948 | $602,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 57,028 | $601,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 1,731,000 | $600,000 | thousands by filing date | principal |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 126,236 | $600,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 53,713 | $598,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 17,632 | $596,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 39,579 | $595,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 17,880 | $595,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 43,050 | $595,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 17,656 | $593,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 25,867 | $592,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 59,770 | $592,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 147,876 | $591,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 53,235 | $589,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 55,556 | $589,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 205,587 | $587,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 21,710 | $587,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 100,000 | $586,000 | thousands by filing date | call |
| TICC CAPITAL CORP | 87244T109 | COM | 79,454 | $586,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 149,568 | $586,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 34,026 | $583,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 22,370 | $582,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 25,184 | $581,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 127,743 | $581,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 46,822 | $581,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 104,755 | $578,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 40,325 | $577,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 28,061 | $577,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 20,419 | $574,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 44,768 | $574,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 150,000 | $573,000 | thousands by filing date | call |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 140,116 | $573,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 40,509 | $572,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 37,717 | $571,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 31,120 | $570,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 20,325 | $569,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 23,064 | $569,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 21,770 | $569,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 27,652 | $568,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 20,800 | $568,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 523,600 | $566,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 20,471 | $566,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 7,923 | $565,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 136,000 | $565,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 36,972 | $565,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 57,389 | $564,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 30,664 | $563,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 26,000 | $562,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 11,150 | $560,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 43,606 | $560,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 5,876 | $560,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 43,991 | $560,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 11,061 | $558,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 23,707 | $556,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 34,161 | $556,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 11,730 | $556,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 39,415 | $554,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 37,794 | $553,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 1,277 | $552,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 44,879 | $552,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 31,572 | $551,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 21,900 | $551,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 29,017 | $550,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 49,242 | $549,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 32,685 | $546,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 49,909 | $546,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 50,760 | $545,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 396 | $542,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 31,255 | $540,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 773,700 | $539,000 | thousands by filing date | put |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 38,858 | $539,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 41,654 | $538,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 33,078 | $537,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 12,215 | $537,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 41,671 | $534,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 292,900 | $533,000 | thousands by filing date | put |
| EPIZYME INC | 29428V104 | COM | 31,097 | $533,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 529,000 | $532,000 | thousands by filing date | principal |
| SPARTAN MTRS INC | 846819100 | COM | 66,435 | $531,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 155,000 | $530,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,501 | $528,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 13,835 | $528,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M126 | GUGGENHEM 2026 | 27,487 | $528,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 3,989 | $527,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 34,758 | $525,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 51,035 | $525,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 37,085 | $525,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 100,000 | $525,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 237,000 | $524,000 | thousands by filing date | put |
| NICOLET BANKSHARES INC | 65406E102 | COM | 11,068 | $524,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 21,575 | $523,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 51,795 | $523,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 14,781 | $523,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 33,915 | $522,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 40,957 | $521,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 46,827 | $520,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,704 | $519,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 31,042 | $517,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 149,375 | $516,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 61,886 | $516,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 11,292 | $515,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 16,780 | $511,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 436,000 | $511,000 | thousands by filing date | principal |
| HALLIBURTON CO COM | 406216101 | Stock | 240,000 | $510,000 | thousands by filing date | put |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 27,156 | $510,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 39,568 | $510,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 33,686 | $510,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 36,037 | $508,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 38,946 | $508,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 13,329 | $508,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 10,975 | $508,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 64,073 | $507,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 39,308 | $505,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 15,956 | $505,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 109,108 | $504,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 155,000 | $504,000 | thousands by filing date | put |
| QUIDEL CORP | 74838J101 | COM | 22,255 | $504,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 19,001 | $504,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 19,046 | $504,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 125,736 | $503,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 33,221 | $502,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 20,205 | $502,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 40,000 | $501,000 | thousands by filing date | call |
| SHAKE SHACK INC | 819047101 | CL A | 15,005 | $501,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 36,618 | $500,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 16,862 | $499,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 156,836 | $499,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 38,054 | $497,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 8,929 | $496,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 26,047 | $495,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 14,467 | $495,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 38,119 | $495,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 10,738 | $494,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 6,994 | $492,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 28,349 | $492,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 49,911 | $491,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 5,531 | $490,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 58,813 | $490,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 146,335 | $490,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 8,759 | $489,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 14,146 | $489,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 18,635 | $488,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 33,246 | $488,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 17,474 | $488,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 6,416 | $488,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 335,962 | $487,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 51,868 | $486,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 34,449 | $486,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 8,800 | $485,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 9,307 | $484,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 32,130 | $484,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 126,756 | $484,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 19,341 | $483,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 37,268 | $482,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 25,663 | $481,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 18,433 | $479,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 310,000 | $479,000 | thousands by filing date | principal |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 49,095 | $477,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 19,679 | $476,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 21,951 | $476,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 19,000 | $476,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 48,421 | $475,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 31,821 | $472,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 22,055 | $472,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 19,630 | $472,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 178,086 | $472,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 49,331 | $472,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 30,217 | $472,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 27,728 | $472,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 300,000 | $471,000 | thousands by filing date | put |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 22,386 | $471,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 21,673 | $470,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 33,381 | $470,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 51,559 | $470,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 45,533 | $469,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 31,603 | $469,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 396,827 | $468,000 | thousands by filing date | put |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 16,752 | $468,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 228,289 | $468,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 55,400 | $466,000 | thousands by filing date | put |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 17,216 | $464,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 4,376 | $463,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 44,813 | $463,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 61,937 | $463,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 76,000 | $462,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 43,531 | $459,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 22,688 | $459,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 51,622 | $459,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 115,995 | $458,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 31,008 | $456,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 213,010 | $456,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 39,699 | $455,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 73,926 | $455,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 442,400 | $454,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 42,934 | $452,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 18,278 | $451,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 33,401 | $450,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 18,456 | $449,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 82,478 | $449,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 12,513 | $448,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 4,600 | $448,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 42,428 | $446,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 48,477 | $446,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 480,000 | $446,000 | thousands by filing date | principal |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 57,246 | $445,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 14,258 | $445,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 65,824 | $444,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 45,293 | $442,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 48,842 | $441,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 10,560 | $441,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 312,900 | $440,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 8,507 | $440,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 28,308 | $440,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 343,714 | $440,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 52,900 | $439,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 543,900 | $438,000 | thousands by filing date | put |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 8,832 | $437,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 68,513 | $437,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 400,000 | $436,000 | thousands by filing date | principal |
| ERA GROUP INC | 26885G109 | COM | 32,796 | $435,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 29,628 | $434,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 127,000 | $433,000 | thousands by filing date | call |
| MIMECAST LIMITED | G14838109 | ORD SHS | 19,355 | $433,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 11,167 | $433,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 40,450 | $433,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 108,599 | $432,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,225,000 | $430,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 21,675 | $429,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 17,943 | $428,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 28,678 | $428,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 25,284 | $427,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 38,687 | $426,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 227,783 | $426,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 7,061 | $426,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 42,679 | $425,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 23,002 | $424,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 41,093 | $424,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 99,816 | $423,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 50,000 | $422,000 | thousands by filing date | call |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 370,000 | $420,000 | thousands by filing date | put |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 26,639 | $419,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 526,100 | $418,000 | thousands by filing date | call |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 2,368 | $418,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 43,804 | $418,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 39,897 | $417,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 19,885 | $417,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 19,501 | $417,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 206,066 | $416,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 24,746 | $415,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 28,925 | $415,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 37,007 | $414,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 33,579 | $412,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 50,000 | $412,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 257,281 | $412,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 19,863 | $411,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 25,775 | $411,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 450,000 | $411,000 | thousands by filing date | principal |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 11,602 | $410,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 7,732 | $410,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 13,770 | $410,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 17,289 | $409,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 60,000 | $408,000 | thousands by filing date | put |
| PROVIDENCE SVC CORP | 743815102 | COM | 9,152 | $407,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 44,207 | $407,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 115,700 | $406,000 | thousands by filing date | call |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 14,484 | $406,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 16,548 | $405,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 28,298 | $405,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,560 | $405,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 109,341 | $404,000 | thousands by filing date | put |
| LOGITECH INTL S A SHS | H50430232 | Stock | 12,690 | $404,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 19,486 | $404,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 32,986 | $403,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 70,852 | $403,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 40,252 | $401,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 242,898 | $400,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 381,802 | $400,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 30,956 | $399,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 82,971 | $399,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 14,048 | $398,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 28,538 | $398,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 40,037 | $397,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 85,518 | $397,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 65,144 | $397,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 28,835 | $396,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 43,244 | $396,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 99,046 | $396,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 23,211 | $394,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 276,000 | $394,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,060 | $394,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 328,700 | $393,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,716 | $393,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 8,530 | $392,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 36,038 | $392,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 8,040 | $391,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 5,901 | $391,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 35,976 | $390,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 84,578 | $390,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 22,424 | $387,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 10,767 | $387,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 133,900 | $386,000 | thousands by filing date | call |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 18,831 | $386,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 16,925 | $385,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 370,800 | $384,000 | thousands by filing date | put |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 10,424 | $384,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 248,924 | $383,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,117 | $381,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 326,600 | $380,000 | thousands by filing date | call |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 193,000 | $380,000 | thousands by filing date | put |
| GP STRATEGIES CORP | 36225V104 | COM | 15,053 | $380,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 13,104 | $379,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 27,699 | $378,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 7,706 | $377,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 74,849 | $376,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 46,043 | $375,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 30,703 | $375,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 56,672 | $374,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 22,112 | $374,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 50,150 | $374,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 3,873 | $373,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 230,100 | $372,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 10,643 | $371,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 144,982 | $371,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 112,103 | $371,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 66,600 | $370,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 82,401 | $370,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 140,051 | $370,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 161,700 | $369,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 12,359 | $369,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,795 | $369,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 13,566 | $369,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 22,125 | $368,000 | thousands by filing date | |
| DEUTSCHE BK AG | D1T769565 | RIGHT 04/06/2017 | 155,684 | $368,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 31,462 | $367,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 26,142 | $367,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 8,428 | $366,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 33,531 | $366,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 322,000 | $365,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 27,419 | $365,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 30,130 | $365,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 39,983 | $363,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 91,593 | $362,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 40,000 | $361,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 15,469 | $361,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 12,047 | $360,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 9,098 | $359,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 13,503 | $359,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 12,480 | $358,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 938,600 | $357,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 275,000 | $357,000 | thousands by filing date | put |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $357,000 | thousands by filing date | put |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 28,310 | $357,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 45,617 | $357,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 1,659 | $356,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 91,926 | $356,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 43,669 | $356,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 9,866 | $355,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 13,480 | $355,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 36,915 | $354,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 20,691 | $353,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 15,121 | $353,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 53,241 | $351,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 7,348 | $349,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 19,085 | $349,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 29,806 | $348,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 45,102 | $348,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 116,595 | $348,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 20,520 | $347,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 13,765 | $347,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 100,000 | $346,000 | thousands by filing date | put |
| WILLIAMS COS INC COM | 969457100 | Stock | 405,900 | $346,000 | thousands by filing date | put |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 48,030 | $346,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 25,988 | $345,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 141,700 | $344,000 | thousands by filing date | put |
| SERES THERAPEUTICS INC | 81750R102 | COM | 30,518 | $344,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,871 | $344,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 8,822 | $344,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 5,964 | $343,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 281,000 | $343,000 | thousands by filing date | principal |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 21,534 | $341,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 10,579 | $341,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 2,773 | $340,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 12,105 | $340,000 | 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 |