13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-10, with 6,535 holding rows worth $311,527,515,000.
- Accession
- 0000072971-17-000412
- Filer
- CIK 72971
- Filed
- 2017-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 21,244 entries on the cover page, a total value of $311,527,515,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $311,527,515,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO CLEARING SERVICES, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerRock Creek Group, LP028-13780
- included managerAnalytic Investors, LLC reporting on behalf of SEI INVESTMENTS CO
- included managerAnalytic Investors, LLC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerANALYTIC INVESTORS, LLC028-04895
- included managerAnalytic Investors, LLC reporting on behalf of 361 CAPITAL LLC
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 |
|---|---|---|---|---|---|---|
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 24,733 | $318,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 6,373 | $317,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 14,422 | $317,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 17,412 | $314,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 102,238 | $314,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 47,528 | $314,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 228,523 | $313,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 36,468 | $312,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 10,176 | $312,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 114,810 | $312,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 24,666 | $311,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 10,463 | $310,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 80,000 | $310,000 | thousands by filing date | call |
| CONNS INC | 208242107 | COM | 16,192 | $310,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 1,467 | $309,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 24,796 | $309,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 22,029 | $308,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 62,297 | $308,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 23,927 | $308,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 12,551 | $307,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 31,702 | $307,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 18,053 | $307,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 157,400 | $306,000 | thousands by filing date | call |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 15,500 | $306,000 | thousands by filing date | put |
| AVID TECHNOLOGY INC | 05367P100 | COM | 58,269 | $306,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 9,779 | $305,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 70,095 | $305,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 18,052 | $304,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 29,811 | $303,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 12,127 | $302,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 17,744 | $301,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 250,000 | $301,000 | thousands by filing date | principal |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 5,394 | $300,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 11,373 | $300,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 13,709 | $299,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 749 | $299,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 32,714 | $299,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 3,098 | $298,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 28,989 | $298,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 37,200 | $297,000 | thousands by filing date | put |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 502,000 | $297,000 | thousands by filing date | put |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 8,987 | $297,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 32,327 | $296,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 62,059 | $295,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 135,700 | $295,000 | thousands by filing date | put |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 109,200 | $294,000 | thousands by filing date | call |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 20,970 | $294,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 250,000 | $294,000 | thousands by filing date | principal |
| Abrdn Emerging Markets | 00301W105 | COM | 41,345 | $293,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 11,542 | $292,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 19,159 | $291,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 15,037 | $291,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 32,144 | $290,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 44,813 | $290,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 16,700 | $289,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 59,280 | $288,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 8,972 | $287,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 76,160 | $286,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 70,163 | $285,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 12,012 | $285,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 15,890 | $285,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 65,326 | $284,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 11,985 | $283,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,895 | $283,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 20,993 | $282,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 16,943 | $282,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 16,670 | $282,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 17,383 | $282,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 17,882 | $281,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 242,000 | $281,000 | thousands by filing date | principal |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 37,900 | $280,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 15,463 | $280,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 21,878 | $280,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 7,394 | $280,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 9,351 | $279,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 9,204 | $279,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 18,427 | $279,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 110,400 | $278,000 | thousands by filing date | call |
| SPOK HLDGS INC COM | 84863T106 | Stock | 15,760 | $278,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 35,843 | $278,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 12,049 | $278,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 82,353 | $277,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 13,840 | $277,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 42,207 | $276,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 28,495 | $275,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 27,875 | $275,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 133,963 | $275,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 7,167 | $275,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 26,940 | $274,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 15,772 | $274,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642403 | COM PAR | 14,896 | $274,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 50,107 | $272,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 7,372 | $272,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 199,000 | $272,000 | thousands by filing date | principal |
| SHORETEL INC | 825211105 | COM | 46,798 | $272,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,359 | $269,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 10,722 | $269,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 23,127 | $269,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 4,975 | $269,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 260,000 | $269,000 | thousands by filing date | principal |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 11,175 | $268,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 37,704 | $268,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 14,482 | $268,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 184,800 | $267,000 | thousands by filing date | call |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 17,807 | $266,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 8,254 | $266,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 22,621 | $266,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 17,621 | $266,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 253,275 | $266,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 6,484 | $265,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 11,740 | $265,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 292,000 | $265,000 | thousands by filing date | principal |
| United Bancshares | 909458101 | COM | 11,248 | $263,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 34,544 | $263,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 4,332 | $262,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 65,245 | $261,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 6,486 | $260,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 13,014 | $260,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 76,700 | $258,000 | thousands by filing date | call |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 18,582 | $258,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 8,771 | $258,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 36,101 | $258,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 5,918 | $257,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 6,620 | $257,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 6,642 | $257,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 204,778 | $257,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 16,669 | $256,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 16,981 | $256,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 164,283 | $256,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 38,445 | $255,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 43,513 | $255,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 11,589 | $255,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 15,566 | $254,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 16,207 | $254,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 25,046 | $254,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 82,977 | $254,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 106,500 | $253,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 76,600 | $253,000 | thousands by filing date | put |
| WINMARK CORP | 974250102 | COM | 1,965 | $253,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 16,024 | $253,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 11,261 | $252,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 10,660 | $252,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 6,046 | $252,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 394,900 | $252,000 | thousands by filing date | call |
| ATLANTIC AMERN CORP | 048209100 | COM | 66,684 | $250,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 94,305 | $249,000 | thousands by filing date | put |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 3,154 | $249,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 5,300 | $249,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 9,924 | $249,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 7,746 | $248,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 9,550 | $247,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 26,073 | $247,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 10,420 | $247,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 13,816 | $247,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 25,000 | $246,000 | thousands by filing date | put |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 39,644 | $246,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 91,800 | $246,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 28,525 | $246,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 276,000 | $245,000 | thousands by filing date | principal |
| ON DECK CAP INC | 682163100 | COM | 52,386 | $244,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 7,949 | $243,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 77,170 | $243,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 18,539 | $243,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 10,592 | $242,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 12,334 | $242,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 10,979 | $241,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 20,133 | $240,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 32,200 | $239,000 | thousands by filing date | call |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 26,819 | $239,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 210,000 | $239,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 5,060 | $238,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 190,500 | $237,000 | thousands by filing date | call |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 3,243 | $236,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 254,924 | $236,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 55,021 | $236,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 18,095 | $235,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 45,355 | $234,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 3,304 | $234,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 12,803 | $234,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 60,033 | $234,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 15,586 | $233,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 235,000 | $233,000 | thousands by filing date | principal |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 19,499 | $232,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 39,375 | $232,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 148,100 | $231,000 | thousands by filing date | put |
| IGNYTA INC | 451731103 | COM | 22,385 | $231,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 12,333 | $229,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 12,735 | $229,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,371 | $229,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 293,000 | $228,000 | thousands by filing date | put |
| BROOKDALE SR LIVING INC | 112463104 | COM | 221,500 | $228,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,790 | $228,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 10,463 | $228,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 13,848 | $227,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 8,934 | $227,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 17,340 | $227,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 562,600 | $227,000 | thousands by filing date | call |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 18,505 | $227,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 12,018 | $227,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 14,100 | $227,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 8,360 | $227,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 6,544 | $226,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 6,381 | $226,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 28,122 | $226,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 25,720 | $226,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 19,277 | $225,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 17,481 | $225,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 9,118 | $225,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 12,494 | $224,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 13,112 | $224,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,767 | $224,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 90,939 | $223,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 21,750 | $223,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 11,727 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 700,100 | $222,000 | thousands by filing date | call |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 12,713 | $222,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 23,595 | $221,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 29,830 | $220,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 9,684 | $220,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 19,111 | $220,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $219,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 59,622 | $219,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 17,300 | $218,000 | thousands by filing date | call |
| LIMBACH HLDGS INC | 53263P105 | COM | 18,165 | $218,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 8,515 | $218,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 4,720 | $218,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,110 | $218,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 28,170 | $217,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 16,745 | $217,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 6,736 | $216,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 5,083 | $216,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 25,212 | $216,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 17,488 | $216,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 47,612 | $216,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 3,866 | $216,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 40,385 | $215,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 59,900 | $215,000 | thousands by filing date | call |
| LIMONEIRA CO | 532746104 | COM | 9,093 | $215,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 159,410 | $215,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 5,529 | $214,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 152,000 | $214,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 344,000 | $213,000 | thousands by filing date | principal |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 23,552 | $213,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 4,735 | $213,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 10,300 | $213,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 231,389 | $213,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 2,322 | $212,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 21,551 | $211,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 10,414 | $211,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 6,956 | $211,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 9,616 | $211,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 7,250 | $210,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 60,000 | $209,000 | thousands by filing date | put |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 3,432 | $209,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 9,847 | $209,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 28,767 | $209,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 48,095 | $209,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 22,000 | $209,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 3,733 | $208,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 86,000 | $208,000 | thousands by filing date | principal |
| Lowes Companies,Inc. | 548661107 | COM | 620 | $207,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 303,500 | $207,000 | thousands by filing date | call |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 225,000 | $207,000 | thousands by filing date | principal |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 338,378 | $206,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 13,676 | $206,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 8,321 | $205,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 17,926 | $205,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 22,001 | $205,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 76,579 | $205,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 4,991 | $205,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 19,146 | $204,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,521 | $203,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 2,913 | $203,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 52,361 | $203,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 25,000 | $203,000 | thousands by filing date | principal |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 10,928 | $202,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 20,343 | $202,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 25,063 | $202,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 200,000 | $202,000 | thousands by filing date | principal |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 363,000 | $201,000 | thousands by filing date | put |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 20,000 | $201,000 | thousands by filing date | call |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 9,777 | $201,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 5,075 | $201,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 10,282 | $200,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 104,600 | $200,000 | thousands by filing date | put |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 12,325 | $200,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 12,422 | $200,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 10,282 | $200,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 202,000 | $200,000 | thousands by filing date | principal |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 8,569 | $199,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 24,519 | $199,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 7,829 | $199,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 183,000 | $199,000 | thousands by filing date | principal |
| READING INTL INC | 755408101 | CL A | 12,258 | $198,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 160,000 | $198,000 | thousands by filing date | principal |
| MODEL N INC | 607525102 | COM | 14,834 | $197,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 5,802 | $197,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 42,925 | $197,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 171,756 | $196,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 85,224 | $196,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 65,800 | $195,000 | thousands by filing date | call |
| NATERA INC COM | 632307104 | Stock | 18,031 | $195,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 45,398 | $195,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 170,000 | $195,000 | thousands by filing date | principal |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 78,802 | $195,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 55,136 | $195,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 12,329 | $194,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 13,403 | $193,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 6,790 | $193,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 16,864 | $193,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 28,054 | $192,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 325,000 | $192,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 100,000 | $191,000 | thousands by filing date | put |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,861 | $191,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 13,378 | $191,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 3,194 | $191,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 11,004 | $191,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 201,100 | $190,000 | thousands by filing date | put |
| DAUCH CORP | 024061103 | COM | 144,300 | $190,000 | thousands by filing date | put |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 9,304 | $190,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 4,438 | $189,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,685 | $189,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 24,529 | $189,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 90,124 | $189,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 5,163 | $188,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 16,684 | $188,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 5,752 | $188,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 111,200 | $187,000 | thousands by filing date | put |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 26,015 | $187,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 123,576 | $187,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 18,333 | $186,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 10,281 | $186,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 16,578 | $186,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 7,567 | $185,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 27,414 | $185,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 13,254 | $185,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 13,199 | $184,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 64,100 | $183,000 | thousands by filing date | call |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 11,065 | $183,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 15,251 | $183,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 50,000 | $182,000 | thousands by filing date | call |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 11,101 | $182,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 9,141 | $182,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 14,095 | $182,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 83,247 | $182,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 22,115 | $182,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 14,816 | $182,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 235,600 | $181,000 | thousands by filing date | put |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 24,201 | $180,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 18,914 | $180,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 10,316 | $180,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 17,700 | $179,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 86,600 | $179,000 | thousands by filing date | call |
| Altria Group Inc | 02209S103 | COM | 183,000 | $178,000 | thousands by filing date | put |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 9,514 | $178,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 4,333 | $177,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 5,775 | $177,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 4,514 | $177,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 92,207 | $176,000 | thousands by filing date | call |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 5,591 | $176,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 17,236 | $176,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 11,711 | $176,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 5,539 | $175,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 6,191 | $175,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 14,180 | $175,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 14,081 | $175,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 13,876 | $175,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 74,448 | $175,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 6,151 | $174,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 2,165 | $173,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 3,523 | $173,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 11,614 | $173,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 170,000 | $173,000 | thousands by filing date | principal |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 8,611 | $172,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 5,608 | $172,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 91,106 | $172,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 171,000 | $172,000 | thousands by filing date | principal |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 170,000 | $172,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 3,200 | $171,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 5,838 | $171,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 18,828 | $171,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 11,675 | $170,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 21,006 | $170,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,107 | $169,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 929 | $169,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 16,086 | $169,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 23,001 | $169,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 32,500 | $169,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 8,957 | $168,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 135,000 | $167,000 | thousands by filing date | call |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 4,102 | $167,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 26,170 | $167,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 4,223 | $167,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 240,500 | $167,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 152,100 | $166,000 | thousands by filing date | call |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 13,154 | $166,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 10,452 | $166,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 7,119 | $166,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 162,000 | $166,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 44,669 | $165,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 65,930 | $165,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 10,302 | $165,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 8,259 | $165,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 152,350 | $164,000 | thousands by filing date | put |
| AT HOME GROUP INC | 04650Y100 | COM | 7,077 | $164,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 15,450 | $164,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 170,100 | $163,000 | thousands by filing date | put |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 16,560 | $163,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 21,056 | $163,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 30,994 | $163,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 4,122 | $163,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 4,452 | $162,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 22,920 | $162,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 64,700 | $161,000 | thousands by filing date | put |
| CELGENE CORP | 151020104 | COM | 23,000 | $161,000 | thousands by filing date | put |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 33,127 | $161,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,206 | $160,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 31,546 | $160,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 167,000 | $160,000 | thousands by filing date | principal |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 8,200 | $159,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 20,372 | $158,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,581 | $158,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 40,000 | $158,000 | thousands by filing date | put |
| COMMAND SEC CORP | 20050L100 | COM | 49,500 | $158,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 30,922 | $158,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 20,914 | $158,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 42,686 | $158,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,479 | $157,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 7,961 | $157,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 11,959 | $157,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 4,642 | $157,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,043 | $157,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 10,488 | $157,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 91,479 | $157,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 15,462 | $157,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,843 | $157,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 18,752 | $156,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 150,000 | $156,000 | thousands by filing date | principal |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 34,129 | $156,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 24,842 | $155,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 14,748 | $155,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 157,800 | $154,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 27,200 | $153,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 24,063 | $153,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 4,713 | $153,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 27,039 | $153,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 35,900 | $152,000 | thousands by filing date | call |
| LENNAR CORP CL B | 526057302 | Stock | 3,397 | $152,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 37,801 | $152,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 146,000 | $152,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 16,739 | $152,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 3,680 | $151,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 45,674 | $151,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,300 | $150,000 | thousands by filing date | call |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,676 | $150,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 7,173 | $150,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 2,382 | $149,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 42,458 | $149,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 5,068 | $148,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,926 | $148,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 7,747 | $148,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 14,964 | $147,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 62,000 | $146,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 690370101 | COM | 8,980 | $146,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 8,435 | $146,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 9,636 | $146,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 5,578 | $146,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 2,296 | $146,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 6,622 | $146,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 5,394 | $145,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,163 | $145,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 10,402 | $145,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 36,542 | $145,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 4,161 | $144,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 12,796 | $144,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 15,203 | $144,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 20,000 | $143,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,579 | $143,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 17,405 | $143,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 5,770 | $143,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 7,750 | $143,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 6,331 | $143,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 50,912 | $143,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 5,693 | $143,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 11,153 | $143,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,341 | $143,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 23,834 | $142,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 2,207 | $142,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 19,031 | $142,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 34,853 | $142,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $142,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 150,000 | $142,000 | thousands by filing date | principal |
| LANDS END INC | 51509F105 | COMMON STOCK | 9,461 | $141,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 19,792 | $141,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 8,911 | $141,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 8,185 | $140,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 7,665 | $140,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,145 | $140,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 12,218 | $140,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 216,400 | $139,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-17-000412 | this filing | 2017-08-10 | acceptance time not in the bulk data set |