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 |
|---|---|---|---|---|---|---|
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 20,428 | $139,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 8,642 | $139,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 6,386 | $139,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 5,137 | $139,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 15,717 | $139,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 2,401 | $139,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 6,253 | $138,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $138,000 | thousands by filing date | principal |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 11,279 | $137,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 15,000 | $137,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 15,077 | $136,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 18,115 | $136,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 33,073 | $136,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 4,201 | $136,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 50,010 | $135,000 | thousands by filing date | put |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 84,800 | $135,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,185 | $135,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 5,082 | $135,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 54,600 | $135,000 | thousands by filing date | call |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 7,533 | $135,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 32,391 | $135,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 127,800 | $134,000 | thousands by filing date | put |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 212,000 | $134,000 | thousands by filing date | call |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 15,186 | $134,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 21,678 | $134,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 50,425 | $134,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 93,000 | $134,000 | thousands by filing date | principal |
| BOOT BARN HLDGS INC | 099406100 | COM | 18,725 | $133,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 6,924 | $133,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,791 | $133,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 6,255 | $133,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 46,900 | $132,000 | thousands by filing date | call |
| AGILYSYS INC | 00847J105 | COM | 13,100 | $132,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 3,435 | $132,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 7,894 | $132,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 45,638 | $132,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 12,847 | $131,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 57,809 | $131,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 2,035 | $131,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 20,163 | $131,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 5,650 | $131,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 153,500 | $130,000 | thousands by filing date | call |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,362 | $130,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 9,597 | $130,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 119,000 | $130,000 | thousands by filing date | principal |
| EDGIO INC | 53261M104 | COM | 44,729 | $129,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 3,132 | $129,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 9,364 | $129,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 6,846 | $129,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 3,222 | $129,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 12,802 | $129,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $128,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 7,987 | $128,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 10,492 | $128,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 13,696 | $128,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 7,143 | $128,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,215 | $128,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 8,776 | $128,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 4,590 | $128,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 8,725 | $127,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 10,104 | $127,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 21,699 | $127,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 7,100 | $126,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 13,647 | $126,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 8,892 | $126,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 270,500 | $125,000 | thousands by filing date | call |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 933 | $125,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 5,121 | $125,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 19,300 | $125,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 4,940 | $125,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 3,491 | $125,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 6,651 | $124,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 3,982 | $124,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,577 | $124,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 9,550 | $124,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 10,138 | $124,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 11,942 | $123,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 8,001 | $122,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 25,728 | $122,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 5,106 | $122,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 17,200 | $121,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,800 | $120,000 | thousands by filing date | call |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 9,311 | $120,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,882 | $120,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 350,000 | $119,000 | thousands by filing date | put |
| CNH INDL N V SHS | N20944109 | Stock | 10,392 | $119,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 23,255 | $119,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 22,000 | $119,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 100,000 | $119,000 | thousands by filing date | put |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 9,372 | $119,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 6,905 | $119,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 52,900 | $118,000 | thousands by filing date | put |
| MARINE PRODS CORP | 568427108 | cs | 7,594 | $118,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,541 | $118,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 46,020 | $118,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 4,307 | $117,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 7,256 | $117,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,571 | $117,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 30,198 | $117,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 7,069 | $116,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 11,046 | $115,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 7,348 | $115,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,369 | $115,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 5,402 | $115,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 59,000 | $114,000 | thousands by filing date | put |
| DOLLAR TREE INC COM | 256746108 | Stock | 26,200 | $114,000 | thousands by filing date | call |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 600,000 | $114,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 3,582 | $114,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 14,725 | $114,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 10,417 | $114,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,201 | $113,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 27,130 | $113,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $113,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 41,851 | $113,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 22,953 | $112,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 11,820 | $112,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 1,549 | $112,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 120,000 | $111,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 2,396 | $111,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 38,585 | $111,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 150,000 | $111,000 | thousands by filing date | principal |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,793 | $110,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 30,000 | $109,000 | thousands by filing date | put |
| WEYCO GROUP INC COM | 962149100 | Stock | 3,909 | $109,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 11,050 | $109,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 11,642 | $109,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 38,167 | $109,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 13,086 | $108,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,669 | $108,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 9,730 | $108,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 6,090 | $108,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 7,558 | $108,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 7,087 | $108,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 17,304 | $108,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 7,705 | $108,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 2,654 | $107,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 152,100 | $107,000 | thousands by filing date | put |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 9,201 | $107,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 7,100 | $107,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 218,500 | $107,000 | thousands by filing date | call |
| ENTELLUS MED INC | 29363K105 | COM | 6,483 | $107,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,777 | $106,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $106,000 | thousands by filing date | call |
| EP ENERGY CORP | 268785102 | CL A | 28,848 | $106,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 331,100 | $105,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 14,500 | $105,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 14,944 | $105,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 3,761 | $105,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 19,951 | $105,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 10,170 | $105,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 26,600 | $104,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 88,441 | $104,000 | thousands by filing date | put |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,596 | $104,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 68,300 | $104,000 | thousands by filing date | put |
| GABELLI UTIL TR | 36240A101 | COM | 14,802 | $104,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 20,826 | $104,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 86,400 | $104,000 | thousands by filing date | call |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 83,973 | $104,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,527 | $104,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 80,000 | $103,000 | thousands by filing date | put |
| Lowes Companies,Inc. | 548661107 | COM | 12,700 | $103,000 | thousands by filing date | call |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 5,192 | $103,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 87,200 | $102,000 | thousands by filing date | call |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 6,327 | $102,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 102,000 | $102,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 4,432 | $102,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 23,800 | $101,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 159,000 | $101,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,283 | $101,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,014 | $100,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 980 | $100,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,101 | $100,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 17,785 | $100,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 200,000 | $99,000 | thousands by filing date | put |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 7,503 | $99,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 10,384 | $99,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,104 | $99,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,705 | $99,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 11,620 | $99,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 8,154 | $99,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 3,644 | $98,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 17,245 | $98,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 9,965 | $98,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 31,600 | $97,000 | thousands by filing date | call |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 23,241 | $97,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,790 | $97,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 46,000 | $95,000 | thousands by filing date | put |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,335 | $95,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,440 | $95,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,260 | $95,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 32,885 | $95,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 104,100 | $94,000 | thousands by filing date | put |
| ISHARES INC | 464286103 | MSCI AUST ETF | 100,000 | $94,000 | thousands by filing date | put |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 3,384 | $94,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,098 | $94,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 11,011 | $94,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 42,840 | $94,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 4,453 | $93,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 172,100 | $93,000 | thousands by filing date | call |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 6,979 | $93,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 19,955 | $93,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 8,834 | $92,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 50,800 | $92,000 | thousands by filing date | call |
| Altria Group Inc | 02209S103 | COM | 11,100 | $91,000 | thousands by filing date | call |
| ANAPTYSBIO INC | 032724106 | COM | 3,810 | $91,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,550 | $91,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 3,085 | $91,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 8,032 | $91,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 103,911 | $90,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 5,908 | $90,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 6,452 | $90,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $90,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,663 | $90,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 34,407 | $89,000 | thousands by filing date | put |
| GAMING & LEISURE P COM | 36467J108 | REIT | 55,800 | $89,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 43,100 | $89,000 | thousands by filing date | call |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 5,465 | $89,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 10,757 | $88,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 36,400 | $87,000 | thousands by filing date | call |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 839 | $87,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 6,200 | $87,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 12,908 | $87,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 68,668 | $87,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 30,698 | $87,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 75,100 | $86,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,374 | $86,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 25,244 | $86,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 11,695 | $86,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 7,608 | $85,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 75,000 | $85,000 | thousands by filing date | put |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 22,153 | $85,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 142,500 | $85,000 | thousands by filing date | put |
| HOWARD BANCORP INC COM | 442496105 | COM | 4,394 | $85,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 7,413 | $85,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 2,930 | $85,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 12,150 | $85,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 76,900 | $84,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 59,362 | $84,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 115,000 | $84,000 | thousands by filing date | put |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 189,000 | $84,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 2,847 | $84,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 9,900 | $84,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 5,680 | $84,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $84,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 4,424 | $84,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 127,000 | $83,000 | thousands by filing date | put |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 7,271 | $83,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 2,013 | $83,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 6,713 | $83,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 50,000 | $82,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 2,856 | $82,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 2,850 | $82,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 105,500 | $81,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 26,500 | $81,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 20,133 | $81,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,527 | $81,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 3,146 | $81,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 1,615 | $81,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 8,321 | $81,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 70,900 | $80,000 | thousands by filing date | call |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 3,086 | $80,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 5,901 | $80,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 45,329 | $80,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 55,225 | $80,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 88,600 | $79,000 | thousands by filing date | call |
| VALUE LINE INC | 920437100 | COMMON STOCK | 4,318 | $79,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 55,000 | $78,000 | thousands by filing date | call |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 3,562 | $78,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 6,349 | $78,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 27,800 | $78,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 1,632 | $77,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 3,500 | $77,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 5,190 | $77,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 24,951 | $76,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 3,948 | $76,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 59,165 | $76,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 89,000 | $76,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 70,000 | $76,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 841 | $76,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 91,700 | $75,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 45,400 | $75,000 | thousands by filing date | call |
| SEADRILL ORD | G7945E105 | COM | 209,286 | $75,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,052 | $75,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 75,000 | $75,000 | thousands by filing date | principal |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 6,072 | $74,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 29,989 | $74,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 49,997 | $74,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 19,995 | $73,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 9,996 | $73,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,339 | $73,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 15,500 | $72,000 | thousands by filing date | put |
| FEDEX CORP COM | 31428X106 | Stock | 22,500 | $72,000 | thousands by filing date | call |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 12,065 | $72,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 17,472 | $72,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 13,826 | $72,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 3,400 | $72,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 29,095 | $72,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,743 | $72,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $72,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 14,524 | $71,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 5,195 | $71,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 27,535 | $71,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 4,700 | $71,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 6,913 | $70,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 38,500 | $70,000 | thousands by filing date | call |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 50,000 | $70,000 | thousands by filing date | put |
| BB & T CORP | 054937107 | COM | 150,000 | $69,000 | thousands by filing date | put |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 15,550 | $69,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 2,761 | $69,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 2,855 | $69,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 2,828 | $69,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 8,937 | $68,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 15,759 | $68,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,959 | $68,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 15,565 | $68,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 5,948 | $67,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 18,100 | $67,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 2,140 | $67,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,198 | $67,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 6,000 | $67,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 16,276 | $67,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 2,186 | $67,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 13,605 | $66,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 35,533 | $66,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 6,669 | $66,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 1,862 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,111 | $65,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,020 | $64,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 4,196 | $63,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 7,924 | $63,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 35,588 | $63,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,072 | $63,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 3,496 | $63,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,500 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 150,000 | $62,000 | thousands by filing date | put |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 2,072 | $62,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,890 | $62,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 30,103 | $62,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,231 | $61,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 13,071 | $61,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 159,424 | $61,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $61,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 54,300 | $60,000 | thousands by filing date | put |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,049 | $60,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $60,000 | thousands by filing date | principal |
| ENBRIDGE INC COM | 29250N105 | Stock | 60,000 | $59,000 | thousands by filing date | call |
| LENNAR CORP CL A | 526057104 | Stock | 40,200 | $59,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 17,370 | $59,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $59,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 7,500 | $58,000 | thousands by filing date | call |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,850 | $58,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 3,306 | $58,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 103,240 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,924 | $58,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 3,892 | $58,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 2,220 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 2,712 | $57,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 26,717 | $57,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 4,500 | $57,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,995 | $57,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 39,451 | $57,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 765 | $56,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,114 | $56,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 3,501 | $56,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 9,520 | $56,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 160,000 | $55,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,612 | $55,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2,376 | $55,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 247,300 | $54,000 | thousands by filing date | put |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,252 | $54,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 166,800 | $53,000 | thousands by filing date | call |
| FIRST SOLAR INC COM | 336433107 | Stock | 115,500 | $53,000 | thousands by filing date | put |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 40,000 | $53,000 | thousands by filing date | put |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,024 | $53,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 82,100 | $53,000 | thousands by filing date | call |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 5,000 | $53,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 110,600 | $52,000 | thousands by filing date | put |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 4,399 | $52,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 964 | $52,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 3,850 | $52,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $52,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 335 | $51,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 61,000 | $51,000 | thousands by filing date | principal |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 50,000 | $51,000 | thousands by filing date | principal |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 991 | $50,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 1,271 | $50,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 50,000 | $50,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 2,093 | $50,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,817 | $50,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 10,000 | $49,000 | thousands by filing date | put |
| CLIPPER REALTY INC | 18885T306 | COM | 4,000 | $49,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,265 | $49,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 900 | $48,000 | thousands by filing date | put |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 445 | $48,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 1,693,300 | $48,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,960 | $48,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 7,909 | $48,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 150,000 | $48,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 11,995 | $48,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 147,300 | $47,000 | thousands by filing date | call |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 3,542 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $47,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $47,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 965 | $47,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 39,000 | $47,000 | thousands by filing date | principal |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 900 | $47,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 17,713 | $47,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,000 | $46,000 | thousands by filing date | call |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 65,600 | $46,000 | thousands by filing date | call |
| VERASTEM INC | 92337C104 | COM | 20,950 | $46,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 16,185 | $46,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,501 | $46,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 17,346 | $46,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 369 | $45,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 85,000 | $45,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,603 | $45,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,300 | $45,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,418 | $45,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 28,896 | $45,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 7,100 | $45,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 6,200 | $45,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 54,600 | $44,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 200,000 | $44,000 | thousands by filing date | call |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 2,000 | $44,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 32,519 | $44,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $44,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,900 | $44,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,220 | $44,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,827 | $44,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 720 | $44,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 10,900 | $43,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 650 | $43,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 2,800 | $43,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 4,987 | $43,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 107,000 | $43,000 | thousands by filing date | principal |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 28,000 | $43,000 | thousands by filing date | principal |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 4,000 | $43,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 2,350 | $42,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 16,000 | $42,000 | thousands by filing date | call |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 14,907 | $42,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 10,500 | $42,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 536 | $41,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 17,400 | $41,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 16,878 | $41,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,406 | $41,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 3,000 | $41,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 38,900 | $41,000 | thousands by filing date | call |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 5,786 | $41,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,796 | $41,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 2,356 | $41,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 13,879 | $41,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 355 | $41,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 211,200 | $40,000 | thousands by filing date | put |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 40,000 | $40,000 | thousands by filing date | principal |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $40,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 41,840 | $39,000 | thousands by filing date | put |
| ConocoPhillips | 20825C104 | COM | 100,000 | $39,000 | thousands by filing date | call |
| CZR | 127686103 | Stock | 38,600 | $39,000 | thousands by filing date | put |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 5,474 | $39,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 31,000 | $39,000 | thousands by filing date | principal |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 7,558 | $39,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 43,000 | $39,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 25,000 | $38,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 13,333 | $38,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 4,502 | $38,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 4,501 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 411 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,081 | $38,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,420 | $38,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 3,180 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 3,001 | $38,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 22,801 | $37,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 30,600 | $37,000 | thousands by filing date | put |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $37,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 820 | $37,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $37,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 429 | $36,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 789 | $36,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 60,000 | $36,000 | thousands by filing date | put |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 1,705 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $36,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 15,601 | $36,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,489 | $36,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 40,000 | $36,000 | thousands by filing date | call |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,050 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,448 | $36,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 5,000 | $36,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,600 | $36,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,537 | $36,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 56,600 | $35,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 533 | $35,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 18,101 | $35,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,914 | $35,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 44,700 | $35,000 | thousands by filing date | call |
| ARCONIC INC | 03965L100 | COM | 50,000 | $35,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,285 | $35,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 821 | $35,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,209 | $35,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 2,416 | $35,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 10,574 | $35,000 | thousands by filing date |
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 |