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 |
|---|---|---|---|---|---|---|
| AG MTG INVT TR INC | 001228105 | COM | 38,085 | $697,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 46,970 | $693,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 53,146 | $692,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 20,159 | $691,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 5,493 | $690,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 25,132 | $690,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 8,263 | $689,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 243,449 | $689,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 13,645 | $688,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 698,390 | $688,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 65,571 | $688,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 31,029 | $688,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 305,000 | $685,000 | thousands by filing date | put |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 28,062 | $684,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 62,445 | $683,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 47,100 | $679,000 | thousands by filing date | call |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 95,487 | $677,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 52,555 | $677,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 39,549 | $677,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 71,237 | $677,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 50,643 | $676,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 440,793 | $675,000 | thousands by filing date | put |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 66,017 | $675,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 29,682 | $675,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 25,540 | $673,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 25,147 | $671,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 92,500 | $669,000 | thousands by filing date | put |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 57,449 | $669,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 44,623 | $668,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 37,158 | $667,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 563,000 | $667,000 | thousands by filing date | principal |
| ICF INTL INC | 44925C103 | COM | 14,146 | $666,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 13,250 | $666,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 113,712 | $665,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 42,728 | $661,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 22,417 | $660,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 31,786 | $660,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 24,600 | $659,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 54,987 | $659,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 10,435 | $658,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 78,869 | $658,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 33,063 | $657,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 14,881 | $656,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 26,213 | $655,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 14,123 | $652,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 59,221 | $651,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 347,000 | $651,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 100,000 | $650,000 | thousands by filing date | call |
| CODEXIS INC | 192005106 | COM | 119,294 | $650,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 49,429 | $650,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 33,915 | $646,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 23,268 | $640,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 41,233 | $639,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 21,447 | $639,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 39,858 | $638,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 20,693 | $638,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 15,480 | $638,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 42,243 | $637,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 363,700 | $636,000 | thousands by filing date | put |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 310,000 | $635,000 | thousands by filing date | principal |
| CHASE CORP | 16150R104 | COM | 5,938 | $634,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 30,022 | $634,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 26,998 | $633,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 14,414 | $630,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 116,622 | $629,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 49,022 | $628,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 67,160 | $627,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 18,013 | $625,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 45,786 | $625,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 9,895 | $625,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 31,313 | $624,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 39,513 | $622,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 18,600 | $622,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 52,590 | $622,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 13,267 | $620,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 28,296 | $619,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 62,833 | $618,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 13,267 | $617,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 45,800 | $616,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652406 | COM | 66,047 | $616,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 23,284 | $615,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 181,000 | $614,000 | thousands by filing date | principal |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 14,806 | $613,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 7,126 | $612,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 20,498 | $611,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 18,724 | $610,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 18,990 | $610,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 49,909 | $610,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 51,030 | $609,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 6,833 | $608,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 39,419 | $608,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 17,797 | $607,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 62,643 | $605,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 37,244 | $604,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 32,108 | $602,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 26,000 | $600,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 28,572 | $599,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 11,345 | $599,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 43,162 | $597,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 21,692 | $597,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 20,574 | $597,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 8,684 | $594,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 51,947 | $593,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 25,734 | $591,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 99,716 | $591,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 27,365 | $591,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 29,352 | $589,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 401 | $589,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 132,000 | $588,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 40,929 | $587,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 92,531 | $587,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 21,544 | $586,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 39,462 | $586,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 45,175 | $583,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 127,957 | $583,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 23,403 | $582,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 44,860 | $582,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 300,000 | $580,000 | thousands by filing date | put |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 56,493 | $579,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 8,795 | $578,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 11,287 | $575,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 48,727 | $575,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 30,187 | $575,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 369,102 | $575,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 28,447 | $574,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 64,033 | $574,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 21,837 | $573,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 16,435 | $573,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 21,781 | $573,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 54,788 | $573,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 52,912 | $572,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 41,018 | $572,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 181,641 | $572,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 38,086 | $571,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 46,179 | $571,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 52,318 | $568,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 48,371 | $567,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 49,261 | $567,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 27,501 | $566,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 58,958 | $565,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 32,065 | $563,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 69,097 | $563,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 37,829 | $563,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 40,283 | $562,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 27,131 | $562,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 7,995 | $561,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 982,500 | $560,000 | thousands by filing date | put |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 32,038 | $560,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 43,451 | $560,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 18,123 | $558,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 77,176 | $558,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 21,344 | $557,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 400,000 | $554,000 | thousands by filing date | put |
| ZIX CORP | 98974P100 | COM | 97,240 | $554,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 50,000 | $553,000 | thousands by filing date | put |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 54,922 | $552,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 22,835 | $552,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,501 | $551,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 21,957 | $550,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 542,000 | $550,000 | thousands by filing date | principal |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 35,246 | $549,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 74,287 | $548,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 550,000 | $548,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 254,000 | $547,000 | thousands by filing date | put |
| PROS Holdings Inc | 74346Y103 | Common Stock | 19,890 | $545,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 39,461 | $543,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 311,900 | $542,000 | thousands by filing date | call |
| HYSTER-YALE INC | 449172105 | CL A | 7,718 | $542,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 32,909 | $542,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 21,902 | $542,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 32,687 | $541,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 21,616 | $540,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,688 | $540,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 37,694 | $540,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 24,730 | $538,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 11,602 | $537,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 41,268 | $535,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 34,793 | $534,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 31,534 | $534,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 286,900 | $532,000 | thousands by filing date | call |
| Rithm Property Trust Inc | 38983D300 | REIT | 38,054 | $532,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 32,232 | $530,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 18,837 | $530,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 34,702 | $529,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 9,127 | $529,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 71,804 | $528,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 40,593 | $528,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 22,790 | $528,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 23,168 | $528,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 15,293 | $528,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 30,760 | $526,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 56,814 | $524,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 50,606 | $523,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 322,978 | $523,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 191,217 | $522,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 242,450 | $521,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 146,234 | $520,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 32,578 | $519,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 193,000 | $519,000 | thousands by filing date | put |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 124,797 | $518,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 20,105 | $517,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 115,986 | $516,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 30,730 | $515,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 66,500 | $515,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 40,000 | $514,000 | thousands by filing date | call |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 239,300 | $514,000 | thousands by filing date | put |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 46,423 | $514,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 23,363 | $513,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 90,000 | $513,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 52,510 | $513,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 46,535 | $512,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 29,178 | $509,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 8,600 | $508,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 20,372 | $507,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 34,954 | $506,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 16,937 | $504,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 429,000 | $503,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 1,627,500 | $502,000 | thousands by filing date | call |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 40,118 | $502,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 17,390 | $500,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 49,545 | $499,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 49,094 | $499,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 36,069 | $497,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 12,964 | $497,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 32,692 | $496,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 23,303 | $496,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 29,485 | $496,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 19,639 | $495,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 7,668 | $494,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 886,800 | $493,000 | thousands by filing date | call |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 7,560 | $489,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 4,397 | $488,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 22,518 | $487,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894109 | CL A COM | 41,349 | $487,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 127,996 | $486,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 31,617 | $485,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 541,300 | $484,000 | thousands by filing date | call |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 30,215 | $483,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 19,158 | $483,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 28,800 | $482,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 37,443 | $481,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 141,179 | $480,000 | thousands by filing date | put |
| M/I HOMES INC | 55305B101 | COM | 16,801 | $479,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 13,311 | $479,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 22,533 | $479,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 17,146 | $478,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 5,512 | $477,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 71,609 | $477,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 53,971 | $477,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 3,326 | $476,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 146,700 | $476,000 | thousands by filing date | call |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 10,459 | $475,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 12,536 | $474,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 14,229 | $474,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,152,000 | $473,000 | thousands by filing date | put |
| INVITAE CORP | 46185L103 | COM | 49,424 | $472,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 480,000 | $472,000 | thousands by filing date | principal |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 46,925 | $471,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 10,024 | $470,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 31,097 | $470,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 11,271 | $470,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 45,493 | $469,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 30,556 | $468,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 9,256 | $468,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 46,654 | $467,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 168,200 | $466,000 | thousands by filing date | put |
| CARA THERAPEUTICS INC | 140755109 | COM | 30,136 | $465,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 10,455 | $464,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 37,703 | $462,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 22,387 | $461,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 91,301 | $461,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 17,154 | $460,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 17,378 | $459,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 29,025 | $458,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 11,510 | $458,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 115,700 | $456,000 | thousands by filing date | call |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 450,000 | $456,000 | thousands by filing date | principal |
| GDL FD | 361570104 | COM SH BEN IT | 44,375 | $455,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 32,880 | $455,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 200,000 | $453,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 9,445 | $453,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 28,060 | $453,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 22,156 | $453,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 139,100 | $452,000 | thousands by filing date | put |
| PHOTRONICS INC | 719405102 | COM | 48,086 | $452,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 29,317 | $452,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 100,000 | $451,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 1,655,000 | $449,000 | thousands by filing date | call |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 6,764 | $449,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 74,186 | $449,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 56,742 | $448,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 47,865 | $448,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 32,236 | $448,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 64,638 | $447,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 65,763 | $447,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 10,000 | $446,000 | thousands by filing date | call |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 237,561 | $446,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 23,410 | $445,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 25,177 | $443,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 40,000 | $440,000 | thousands by filing date | put |
| KLONDEX MNS LTD | 498696103 | COM | 130,629 | $440,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 17,373 | $439,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 89,491 | $438,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,560 | $436,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 28,300 | $435,000 | thousands by filing date | call |
| MACROGENICS INC | 556099109 | COM | 24,852 | $435,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 19,602 | $435,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 57,206 | $434,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 29,018 | $434,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 83,931 | $433,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 11,692 | $432,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 33,772 | $432,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 40,096 | $432,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 14,380 | $431,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 26,901 | $429,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 2,368 | $428,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 16,717 | $428,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 42,338 | $428,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 25,125 | $428,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 7,673 | $427,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 177,751 | $426,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 16,926 | $426,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 15,289 | $425,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 24,987 | $425,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 84,061 | $425,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 17,384 | $424,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 11,533 | $423,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 6,388 | $423,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 448,000 | $423,000 | thousands by filing date | principal |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 48,092 | $421,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 41,979 | $421,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 54,493 | $420,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 23,023 | $420,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 275,000 | $419,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 9,822 | $419,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 29,116 | $418,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 16,297 | $416,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 18,640 | $413,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 156,586 | $412,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 65,886 | $412,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 22,194 | $412,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 33,968 | $411,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 291,200 | $411,000 | thousands by filing date | call |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 17,075 | $411,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 31,066 | $411,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 31,912 | $410,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 32,876 | $409,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 16,751 | $408,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 20,011 | $407,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 42,250 | $406,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 55,727 | $406,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 8,534 | $405,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,275 | $405,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 14,834 | $405,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 14,239 | $404,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 59,616 | $403,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 18,283 | $402,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 143,343 | $402,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 390,000 | $402,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,127 | $401,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 16,600 | $400,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,633 | $399,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 26,832 | $399,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 29,157 | $398,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 55,957 | $398,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 70,000 | $396,000 | thousands by filing date | call |
| XCERRA CORP | 98400J108 | COM | 40,536 | $396,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 54,253 | $396,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 66,300 | $394,000 | thousands by filing date | call |
| SONUS NETWORKS INC | 835916503 | COM NEW | 52,902 | $394,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 20,794 | $393,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 341,714 | $393,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 208,000 | $392,000 | thousands by filing date | call |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 34,439 | $392,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 29,598 | $390,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 24,216 | $389,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 19,993 | $389,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 74,846 | $389,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 33,600 | $389,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 7,349 | $388,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $388,000 | thousands by filing date | put |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 10,537 | $387,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 41,031 | $386,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 28,405 | $386,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 19,845 | $386,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 30,637 | $385,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 27,050 | $384,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 15,093 | $381,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 24,229 | $381,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 8,712 | $381,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 15,378 | $380,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 25,903 | $380,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 6,631 | $379,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 21,200 | $379,000 | thousands by filing date | call |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 6,052 | $379,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 87,301 | $379,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 15,062 | $378,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 9,098 | $378,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 33,480 | $377,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 13,825 | $374,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 36,400 | $374,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 72,178 | $374,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 786,000 | $373,000 | thousands by filing date | put |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 27,134 | $373,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 35,180 | $373,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 21,225 | $371,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 44,756 | $371,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 25,582 | $371,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 431,000 | $371,000 | thousands by filing date | principal |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 9,724 | $370,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 204,100 | $369,000 | thousands by filing date | call |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 27,419 | $369,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 30,618 | $368,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 25,329 | $367,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 18,292 | $366,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 11,304 | $365,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 21,129 | $365,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 15,440 | $365,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 11,864 | $365,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,871 | $364,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 178,079 | $363,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 33,587 | $362,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 19,140 | $361,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 288,000 | $361,000 | thousands by filing date | principal |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 150,000 | $360,000 | thousands by filing date | call |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 12,605 | $360,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 14,042 | $359,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 45,105 | $359,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 37,056 | $359,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 30,095 | $359,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 400,000 | $359,000 | thousands by filing date | principal |
| WORLD ACCEP CORPORATION | 981419104 | COM | 4,773 | $358,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 40,670 | $358,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 64,141 | $356,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 30,814 | $356,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 11,323 | $354,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 14,939 | $354,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 28,182 | $353,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 7,453 | $353,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 32,444 | $351,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 9,785 | $350,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 27,667 | $350,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 11,222 | $350,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 25,535 | $350,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 20,500 | $349,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 18,516 | $348,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 137,103 | $348,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 22,748 | $347,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 27,963 | $346,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 9,116 | $346,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 289,000 | $346,000 | thousands by filing date | principal |
| AMERICAN VANGUARD CORP | 030371108 | COM | 20,012 | $345,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 17,785 | $345,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 27,914 | $345,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 12,870 | $345,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 244,300 | $344,000 | thousands by filing date | call |
| DHI GROUP INC | 23331S100 | COM | 120,597 | $344,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 24,516 | $344,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 25,126 | $343,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 17,202 | $343,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 100,914 | $343,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 84,484 | $342,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 122,838 | $341,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 13,676 | $341,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 67,542 | $341,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 7,564 | $340,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 8,804 | $340,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 97,099 | $339,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 1,666 | $337,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 40,267 | $336,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 9,256 | $336,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 55,485 | $336,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 33,939 | $335,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 18,729 | $335,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 19,009 | $334,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 106,900 | $334,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q506 | COM NEW | 47,066 | $334,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 2,962 | $333,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 25,870 | $333,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 12,596 | $332,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 43,097 | $332,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 28,303 | $332,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 12,968 | $332,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 12,234 | $331,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 20,056 | $330,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 21,624 | $329,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 10,594 | $329,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 16,379 | $328,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 13,926 | $327,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 9,183 | $327,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 9,050 | $326,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 16,100 | $322,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 391,700 | $321,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 58,228 | $321,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 16,209 | $320,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 19,700 | $320,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 17,545 | $320,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 321,000 | $320,000 | thousands by filing date | principal |
| HAWKINS INC | 420261109 | COM | 6,843 | $318,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 27,225 | $318,000 | 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 |