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 |
|---|---|---|---|---|---|---|
| FOGO DE CHAO INC | 344177100 | COM | 2,543 | $35,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 23,900 | $34,000 | thousands by filing date | call |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 6,139 | $34,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 100,000 | $34,000 | thousands by filing date | put |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 40,000 | $34,000 | thousands by filing date | principal |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 34,000 | $34,000 | thousands by filing date | principal |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 215 | $33,000 | thousands by filing date | put |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 89,400 | $33,000 | thousands by filing date | put |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 12,600 | $33,000 | thousands by filing date | put |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,401 | $33,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 42,215 | $33,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 9,400 | $33,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,676 | $33,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 186 | $33,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 2,180 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,200 | $33,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 50,000 | $32,000 | thousands by filing date | put |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 1,409 | $32,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,090 | $32,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 7,100 | $32,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 813 | $32,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 19,324 | $32,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,750 | $32,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 24,484 | $32,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $32,000 | thousands by filing date | principal |
| BARRICK GOLD CORP | 067901108 | COM | 60,300 | $31,000 | thousands by filing date | call |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,500 | $31,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,876 | $31,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 626 | $31,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,000 | $31,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 19,800 | $30,000 | thousands by filing date | call |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 5,500 | $30,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 23,400 | $30,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 50,000 | $30,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,882 | $30,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 682 | $30,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 6,885 | $30,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 1,765 | $30,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 27,969 | $29,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 167,900 | $29,000 | thousands by filing date | put |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 2,000 | $29,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 2,500 | $29,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,801 | $29,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 17,490 | $29,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 391 | $29,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,134 | $29,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 64,100 | $28,000 | thousands by filing date | put |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,500 | $28,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,000 | $28,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 48,511 | $28,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 2,250 | $28,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 38,800 | $27,000 | thousands by filing date | put |
| MURPHY OIL CORP COM | 626717102 | Stock | 110,000 | $27,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 686 | $27,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,213 | $27,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,050 | $27,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 9,250 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 233 | $27,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 173 | $27,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 28,000 | $27,000 | thousands by filing date | principal |
| LINE CORP | 53567X101 | SPONSORED ADR | 800 | $27,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 2,901 | $27,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 16,800 | $26,000 | thousands by filing date | call |
| WW GRAINGER INC COM | 384802104 | Stock | 8,500 | $26,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 15,900 | $26,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 94,200 | $26,000 | thousands by filing date | call |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 940 | $26,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 10,766 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 961 | $26,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 25,000 | $26,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 75,000 | $25,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 44,700 | $25,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,220 | $25,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $25,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,756 | $25,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,601 | $25,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 3,676 | $25,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 9,001 | $25,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 48,100 | $25,000 | thousands by filing date | put |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 17,282 | $25,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,001 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 848 | $25,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $25,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 1,800 | $25,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 13,000 | $25,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,400 | $24,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 16,300 | $24,000 | thousands by filing date | put |
| COMPUGEN LTD | M25722105 | ORD | 6,135 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 835 | $24,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,886 | $24,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,501 | $24,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,056 | $24,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,866 | $24,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 10,200 | $24,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 515 | $24,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 488 | $24,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 7,864 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,000 | $24,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 1,358 | $23,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,460 | $23,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,648 | $23,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 8,803 | $23,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,531 | $23,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,258 | $23,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 3,215 | $23,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 12,000 | $23,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 111,900 | $22,000 | thousands by filing date | call |
| TRIMBLE INC COM | 896239100 | Stock | 10,600 | $22,000 | thousands by filing date | call |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 459 | $22,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 38,100 | $22,000 | thousands by filing date | put |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 2,927 | $22,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 2,825 | $22,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 1,004 | $22,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,221 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 855 | $22,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $22,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,556 | $22,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,000 | $22,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 432 | $21,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 73,300 | $21,000 | thousands by filing date | put |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 506 | $21,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 1,000 | $21,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 2,606 | $21,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,000 | $21,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,000 | $21,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 25,000 | $20,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 9,900 | $20,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $20,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,400 | $20,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 48,800 | $20,000 | thousands by filing date | put |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 176,000 | $20,000 | thousands by filing date | put |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 40,000 | $20,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,501 | $20,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 894 | $20,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $20,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 57,400 | $19,000 | thousands by filing date | put |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 371 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 641 | $19,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 250,000 | $19,000 | thousands by filing date | call |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,793 | $19,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,442 | $19,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 9,402 | $19,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 29,500 | $18,000 | thousands by filing date | call |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,960 | $18,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,550 | $18,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 42,300 | $18,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $18,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,708 | $18,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 9,596 | $18,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 29,700 | $18,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,909 | $18,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,700 | $18,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 29,500 | $17,000 | thousands by filing date | put |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 165,000 | $17,000 | thousands by filing date | put |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 40,000 | $17,000 | thousands by filing date | call |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,001 | $17,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 801 | $17,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,100 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 400,000 | $17,000 | thousands by filing date | put |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 225 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 10,142 | $17,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 101,200 | $17,000 | thousands by filing date | call |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,001 | $17,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $17,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,700 | $17,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $17,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 618 | $17,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 16,000 | $17,000 | thousands by filing date | principal |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 10,700 | $16,000 | thousands by filing date | call |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 637 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $16,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,201 | $16,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 1,440 | $16,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 763 | $16,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 14,000 | $16,000 | thousands by filing date | principal |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 1,400 | $16,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 395 | $16,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 605 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 455 | $16,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,096 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 560 | $16,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,081 | $15,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 10,000 | $15,000 | thousands by filing date | put |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 556 | $15,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,196 | $15,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 30,400 | $15,000 | thousands by filing date | put |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,839 | $15,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 6,409 | $15,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 15,000 | $15,000 | thousands by filing date | principal |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 883 | $15,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 759 | $15,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $15,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 10,000 | $15,000 | thousands by filing date | principal |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 15,200 | $15,000 | thousands by filing date | call |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 3,158 | $15,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 38,400 | $14,000 | thousands by filing date | put |
| Lockheed Martin Corporation | 539830109 | COM | 31 | $14,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 40,400 | $14,000 | thousands by filing date | call |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,104 | $14,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 10,000 | $14,000 | thousands by filing date | call |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 675 | $14,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 2,182 | $14,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 90,000 | $14,000 | thousands by filing date | call |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,371 | $14,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 3,500 | $14,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 246 | $14,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,671 | $14,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,360 | $14,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 3,000 | $14,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,000 | $14,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,480 | $14,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 729 | $14,000 | thousands by filing date | |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 1,553 | $14,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,695 | $13,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,358 | $13,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 801 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $13,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| TIDEWATER INC | 886423102 | COM | 17,929 | $13,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 113 | $13,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 550 | $13,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $13,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 530 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,198 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 568 | $13,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 5,000 | $13,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 6,903 | $13,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 126 | $12,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,000 | $12,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 40,000 | $12,000 | thousands by filing date | put |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 62,000 | $12,000 | thousands by filing date | call |
| CARMAX INC COM | 143130102 | Stock | 12,000 | $12,000 | thousands by filing date | call |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 39,200 | $12,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 524 | $12,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $12,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $12,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 8,000 | $12,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 11,700 | $12,000 | thousands by filing date | call |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 777 | $12,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,693 | $12,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 28,000 | $12,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 12,000 | $12,000 | thousands by filing date | principal |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 929 | $12,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $12,000 | thousands by filing date | principal |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 15,687 | $12,000 | thousands by filing date | principal |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,313 | $12,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 2,600 | $12,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 114,800 | $11,000 | thousands by filing date | call |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 19,700 | $11,000 | thousands by filing date | call |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 100,000 | $11,000 | thousands by filing date | put |
| B2GOLD CORP COM | 11777Q209 | Stock | 4,000 | $11,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 215 | $11,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 926 | $11,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 27,628 | $11,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 568 | $11,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 673 | $11,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,001 | $11,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 301 | $11,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,929 | $11,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $11,000 | thousands by filing date | principal |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,000 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $11,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $11,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 600 | $11,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 11,000 | $11,000 | thousands by filing date | principal |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,504 | $11,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 324 | $11,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 9,162 | $11,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 7,500 | $11,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,500 | $11,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 20,382 | $11,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 2,600 | $10,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 13,400 | $10,000 | thousands by filing date | put |
| SYSCOCORP | 871829107 | COM | 55,000 | $10,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 61,100 | $10,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 6,000 | $10,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 621 | $10,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 69,700 | $10,000 | thousands by filing date | call |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 175 | $10,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 550 | $10,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 340 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 904 | $10,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 10,342 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| HARVEST CAP CR CORP | 41753F109 | COM | 764 | $10,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $10,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 18,283 | $10,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 12,701 | $10,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 3,200 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $10,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 851 | $10,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 607 | $10,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $10,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 1,892 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $10,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 10,100 | $10,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 12,841 | $10,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,400 | $9,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 260,000 | $9,000 | thousands by filing date | call |
| Vanguard Real Estate | 922908553 | SHS | 133 | $9,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 6,500 | $9,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,573 | $9,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 23,900 | $9,000 | thousands by filing date | put |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 366 | $9,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 700 | $9,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 742 | $9,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 5,000 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 185 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 352 | $9,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 1,062 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,464 | $8,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,001 | $8,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 807 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 115 | $8,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 260 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,212 | $8,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,186 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 200 | $8,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,452 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 5,301 | $8,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 2,755 | $8,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,302 | $8,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 4,500 | $8,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 13,000 | $8,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,400 | $8,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 9,050 | $8,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 738 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 229 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $8,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 344 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 307 | $8,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 1,917 | $8,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 8,001 | $8,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| STEADYMED LTD | M84920103 | SHS | 1,200 | $8,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| RITEAID CORP | 767754104 | COM | 162,100 | $7,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 185 | $7,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 18,000 | $7,000 | thousands by filing date | call |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 7,200 | $7,000 | thousands by filing date | put |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 150,000 | $7,000 | thousands by filing date | put |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 375 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $7,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 307 | $7,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,024 | $7,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $7,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 500 | $7,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,000 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,100 | $7,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 7,802 | $7,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $7,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,500 | $7,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,014 | $7,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 2,973 | $7,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 1,681 | $7,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 8,400 | $6,000 | thousands by filing date | put |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 208 | $6,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 25,000 | $6,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 15,900 | $6,000 | thousands by filing date | call |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 158 | $6,000 | thousands by filing date | put |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,516 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 173 | $6,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 401 | $6,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 17,400 | $6,000 | thousands by filing date | put |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 95,000 | $6,000 | thousands by filing date | call |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,000 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 266 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 117 | $6,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,000 | $6,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $6,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 1,000 | $6,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,576 | $6,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,500 | $6,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 235 | $6,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 800 | $6,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 2,352 | $6,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 320 | $6,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,153 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 407 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 406 | $6,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| GREAT ELM CAP CORP | 390320109 | COM | 524 | $6,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,500 | $6,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 700 | $6,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 443 | $6,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 1,000 | $6,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 443 | $6,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 10,000 | $6,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 10,000 | $6,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 3,210 | $6,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 977 | $6,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 11,000 | $6,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 818 | $6,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 2,500 | $6,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 56,787 | $5,000 | thousands by filing date | call |
| AES CORP COM | 00130H105 | Stock | 87,000 | $5,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 70,900 | $5,000 | thousands by filing date | call |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 13,700 | $5,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 10,000 | $5,000 | thousands by filing date | put |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 166 | $5,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 23,900 | $5,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 13,400 | $5,000 | thousands by filing date | call |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 295 | $5,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $5,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $5,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 1,301 | $5,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 500 | $5,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 300 | $5,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 292 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 96 | $5,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $5,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 70,000 | $5,000 | thousands by filing date | put |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,000 | $5,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,600 | $5,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 5,000 | $5,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 143 | $5,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 593 | $5,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $5,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,100 | $5,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,500 | $5,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 3,993 | $5,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $5,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 302 | $5,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 745 | $5,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 201 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 203 | $5,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 1,000 | $5,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $5,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 36,900 | $5,000 | thousands by filing date | call |
| CINER RES LP | 172464109 | COM UNIT LTD | 200 | $5,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 1,160 | $5,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 5,550 | $5,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 7,060 | $5,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 266 | $5,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 1,000 | $5,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 13,500 | $5,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 24,000 | $5,000 | thousands by filing date | principal |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 6,974 | $5,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 147 | $4,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 66,300 | $4,000 | thousands by filing date | put |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 35,700 | $4,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $4,000 | thousands by filing date | put |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,000 | $4,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 550 | $4,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $4,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 52 | $4,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 363 | $4,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,535 | $4,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,500 | $4,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 188 | $4,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 112 | $4,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 652 | $4,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 851 | $4,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 342 | $4,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 1,050 | $4,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 783 | $4,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 531 | $4,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 2,400 | $4,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 3,000 | $4,000 | thousands by filing date | principal |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 960 | $4,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $4,000 | thousands by filing date | principal |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 185 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 225 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 215 | $4,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 343 | $4,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 124 | $4,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 2,712 | $4,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 875 | $4,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 85 | $4,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,800 | $4,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 963 | $4,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,989 | $4,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 802 | $4,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 3,000 | $4,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 7,000 | $4,000 | thousands by filing date | principal |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 14,300 | $4,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 200 | $4,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,200 | $3,000 | thousands by filing date | call |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 58 | $3,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 20,000 | $3,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 7,001 | $3,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 500 | $3,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 38 | $3,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 192 | $3,000 | 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 |