13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-09, with 6,575 holding rows worth $322,945,812,000.
- Accession
- 0000072971-17-000482
- Filer
- CIK 72971
- Filed
- 2017-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 21,570 entries on the cover page, a total value of $322,945,812,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $322,945,812,000 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 UBS ASSET MANAGEMENT AMERICAS INC
- included managerAnalytic Investors, LLC reporting on behalf of SEI INVESTMENTS CO
- included managerAnalytic Investors, LLC reporting on behalf of 361 CAPITAL LLC
- included managerANALYTIC INVESTORS, LLC028-04895
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SUMMIT FINL GROUP INC | 86606G101 | COM | 15,140 | $388,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 18,373 | $387,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 32,483 | $386,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 40,771 | $386,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 28,124 | $385,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 9,686 | $385,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 27,164 | $384,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 84,351 | $384,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 14,302 | $383,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 359,000 | $383,000 | thousands by filing date | principal |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 31,075 | $380,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 12,602 | $380,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 35,291 | $380,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 496,230 | $379,000 | thousands by filing date | put |
| ACCURAY INC DEL | 004397105 | COM | 94,664 | $379,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 131,703 | $379,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 52,893 | $379,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 9,076 | $377,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 169,200 | $377,000 | thousands by filing date | call |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 26,823 | $377,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,098 | $377,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 4,618 | $377,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 66,069 | $376,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 15,896 | $376,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 37,810 | $376,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 7,941 | $374,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 6,216 | $374,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 53,051 | $374,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 39,626 | $373,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 10,450 | $372,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,254,200 | $371,000 | thousands by filing date | call |
| DHI GROUP INC | 23331S100 | COM | 142,525 | $371,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 117,829 | $370,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 84,682 | $370,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 7,204 | $369,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 2,803 | $369,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 9,983 | $369,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 27,833 | $369,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 53,695 | $369,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 21,733 | $368,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 41,516 | $368,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 23,937 | $367,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 189,519 | $367,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 10,450 | $366,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 25,117 | $366,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 254,000 | $365,000 | thousands by filing date | put |
| American Express Company | 025816109 | COM | 64,100 | $363,000 | thousands by filing date | call |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 9,455 | $363,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 20,028 | $363,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 40,394 | $362,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 25,682 | $362,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 24,151 | $362,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 317,000 | $362,000 | thousands by filing date | principal |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 17,242 | $361,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 10,152 | $361,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 51,498 | $360,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 161,970 | $360,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 32,441 | $360,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 5,416 | $359,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 729,200 | $359,000 | thousands by filing date | put |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 20,906 | $358,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 98,301 | $358,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 28,182 | $357,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 9,450 | $356,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 5,225 | $355,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 9,743 | $354,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 61,129 | $353,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 12,755 | $353,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 22,903 | $353,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 14,930 | $352,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 17,738 | $352,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 24,796 | $351,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 57,500 | $350,000 | thousands by filing date | call |
| SIERRA BANCORP | 82620P102 | COM | 12,893 | $350,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 14,266 | $350,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 28,684 | $350,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 10,314 | $350,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 27,999 | $349,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 8,479 | $348,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 9,125 | $348,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 23,842 | $348,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 167,176 | $345,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 21,662 | $344,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 34,451 | $344,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 13,957 | $342,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 10,833 | $342,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 340,000 | $342,000 | thousands by filing date | principal |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 12,768 | $341,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 92,914 | $341,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 13,657 | $338,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 12,613 | $338,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 10,411 | $338,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 32,529 | $337,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 3,350 | $336,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 14,964 | $336,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 10,175 | $336,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 11,138 | $336,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 12,759 | $336,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 26,772 | $336,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 29,202 | $336,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 13,528 | $336,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 34,000 | $335,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 476,000 | $333,000 | thousands by filing date | put |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 41,700 | $333,000 | thousands by filing date | put |
| EXA CORP | 300614500 | COM | 13,786 | $333,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 8,327 | $331,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 12,520 | $331,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 10,213 | $331,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 49,264 | $331,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 10,354 | $330,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 4,277 | $330,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 10,873 | $330,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 9,235 | $329,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 40,000 | $328,000 | thousands by filing date | call |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 18,352 | $328,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 6,579 | $328,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 24,598 | $328,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,689 | $327,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 7,236 | $327,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 67,235 | $326,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 95,751 | $325,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 10,150 | $325,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 14,461 | $324,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 20,536 | $324,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 20,781 | $324,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,050,600 | $323,000 | thousands by filing date | call |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 27,199 | $323,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 35,349 | $323,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 18,850 | $322,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 49,549 | $322,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 7,141 | $321,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 24,796 | $321,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 10,422 | $321,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 44,086 | $321,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 83,732 | $321,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 321,000 | $320,000 | thousands by filing date | principal |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 18,272 | $318,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 142,423 | $318,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 16,930 | $318,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 12,543 | $317,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 13,291 | $317,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 69,542 | $316,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 23,298 | $314,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 189,700 | $312,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 86,059 | $312,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 4,860 | $312,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 20,127 | $312,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 20,003 | $311,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 16,825 | $311,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 5,627 | $311,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 304,000 | $310,000 | thousands by filing date | call |
| DMC GLOBAL INC | 23291C103 | COM | 18,265 | $309,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 30,199 | $309,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 26,370 | $309,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 58,523 | $309,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 10,263 | $308,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 9,197 | $308,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 31,056 | $308,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 41,870 | $308,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 33,100 | $307,000 | thousands by filing date | call |
| BEL FUSE INC | 077347300 | CL B | 9,840 | $307,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 16,420 | $307,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 77,272 | $307,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 95,119 | $307,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 8,930 | $306,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 19,280 | $306,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 107,298 | $304,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 65,100 | $302,000 | thousands by filing date | call |
| DNB Financial Corporation | 233237106 | Common Stock | 8,561 | $302,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 12,979 | $301,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 16,441 | $301,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 19,053 | $300,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 2,923 | $299,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 100,000 | $298,000 | thousands by filing date | call |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 8,423 | $298,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 28,165 | $297,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,896 | $297,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 337,928 | $297,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 18,732 | $297,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 17,535 | $297,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 175,000 | $296,000 | thousands by filing date | call |
| DOLLAR TREE INC COM | 256746108 | Stock | 26,200 | $296,000 | thousands by filing date | call |
| DIGI INTL INC | 253798102 | COM | 27,964 | $296,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 9,069 | $295,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 255,300 | $294,000 | thousands by filing date | put |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 32,681 | $294,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 10,291 | $294,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 43,069 | $294,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 40,000 | $294,000 | thousands by filing date | put |
| GERON CORP | 374163103 | COM | 134,497 | $293,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 16,500 | $293,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 14,390 | $293,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 10,282 | $293,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 54,823 | $293,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 217,000 | $292,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 22,385 | $292,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 21,238 | $290,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 68,263 | $289,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 21,678 | $289,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 22,480 | $288,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 16,885 | $288,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 70,991 | $288,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 1,505 | $287,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 18,971 | $287,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 105,650 | $286,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 502,300 | $286,000 | thousands by filing date | put |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 20,868 | $286,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 109,400 | $286,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 2,872 | $285,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 26,072 | $285,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 34,079 | $285,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 9,534 | $285,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 50,641 | $284,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 20,170 | $284,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 62,235 | $283,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 18,314 | $283,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 3,540 | $283,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 6,741 | $282,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 21,980 | $281,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 53,609 | $281,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 39,599 | $281,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 15,921 | $280,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 5,350 | $280,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 53,326 | $280,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 18,707 | $280,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 33,915 | $279,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 100,000 | $278,000 | thousands by filing date | call |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 7,622 | $278,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 38,624 | $278,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 250,000 | $278,000 | thousands by filing date | principal |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 1,458 | $277,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 11,883 | $277,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 9,233 | $277,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 61,598 | $277,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 830 | $277,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 419,000 | $276,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 18,427 | $276,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 6,619 | $275,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 12,987 | $275,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 27,631 | $275,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 25,387 | $272,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 15,271 | $272,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 210,000 | $272,000 | thousands by filing date | principal |
| RIGNET INC | 766582100 | COM | 15,777 | $271,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 35,416 | $271,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 399,600 | $270,000 | thousands by filing date | call |
| AMERESCO INC | 02361E108 | CL A | 34,639 | $270,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 25,247 | $270,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 284,661 | $270,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,281 | $269,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 216,095 | $269,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 8,722 | $269,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 24,631 | $269,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 14,295 | $269,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 16,970 | $268,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 7,473 | $267,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 25,796 | $266,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 26,614 | $266,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $265,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 9,214 | $265,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 5,300 | $265,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 47,801 | $265,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 200,000 | $264,000 | thousands by filing date | call |
| INNOVATOR IBD 50 | 004006508 | COM | 8,360 | $264,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 4,567 | $263,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 7,181 | $263,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 9,089 | $262,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 149,000 | $262,000 | thousands by filing date | principal |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 21,677 | $262,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 66,852 | $261,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 42,705 | $260,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 40,359 | $260,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 205,500 | $259,000 | thousands by filing date | call |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 11,307 | $259,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 182,081 | $259,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 12,590 | $258,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 4,735 | $257,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 292,000 | $257,000 | thousands by filing date | principal |
| CIENA CORP | 171779AJ0 | NOTE 3.750%10/1 | 210,000 | $257,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 21,575 | $256,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 17,591 | $256,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 7,326 | $256,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 11,510 | $256,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 12,165 | $256,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 27,673 | $256,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 3,996 | $256,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 290,200 | $255,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 34,503 | $255,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 1,034,313 | $254,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 5,285 | $254,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 164,700 | $253,000 | thousands by filing date | put |
| United States Brent Oil Fund L | 91167Q100 | COM | 16,702 | $253,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 11,248 | $253,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 6,302 | $253,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 17,217 | $253,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 27,599 | $252,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 24,890 | $252,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 8,957 | $252,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 450,000 | $251,000 | thousands by filing date | put |
| CIVEO CORP CDA | 17878Y108 | COM | 87,904 | $251,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 10,007 | $251,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 12,010 | $250,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 53,264 | $250,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 24,767 | $250,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 31,370 | $249,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 3,280 | $249,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 225,000 | $249,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 143,600 | $248,000 | thousands by filing date | put |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 11,647 | $248,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 38,823 | $248,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 133,100 | $248,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 35,000 | $247,000 | thousands by filing date | call |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 6,105 | $247,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 73,956 | $247,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 85,985 | $246,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 29,911 | $246,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 3,634 | $245,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 17,728 | $245,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 10,538 | $244,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 27,655 | $243,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 33,077 | $243,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 20,451 | $243,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 18,648 | $243,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 173,200 | $242,000 | thousands by filing date | call |
| NEOPHOTONICS CORP | 64051T100 | COM | 43,617 | $242,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 625,000 | $240,000 | thousands by filing date | call |
| TREVENA INC | 89532E109 | COM | 94,033 | $239,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 30,480 | $239,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 6,842 | $238,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 238,000 | $238,000 | thousands by filing date | principal |
| OHIO VY BANC CORP | 677719106 | COM | 6,526 | $237,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 9,647 | $237,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 17,430 | $237,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 10,607 | $237,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 261,900 | $237,000 | thousands by filing date | call |
| WOORI BK | 98105T104 | ADR | 5,083 | $237,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 56,873 | $236,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 7,310 | $236,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 37,418 | $236,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 22,956 | $236,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 28,954 | $235,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 18,999 | $235,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 5,061 | $235,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 10,126 | $234,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 293,600 | $233,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 32,313 | $233,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 71,840 | $233,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 16,554 | $233,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 1,793,700 | $232,000 | thousands by filing date | call |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 19,620 | $232,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 46,008 | $232,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 5,596 | $232,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 7,777 | $232,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 132,900 | $230,000 | thousands by filing date | put |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 11,147 | $230,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 35,332 | $230,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 19,187 | $229,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 45,349 | $229,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 8,298 | $229,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 27,556 | $228,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 20,943 | $228,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 33,911 | $228,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 64,458 | $228,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 18,185 | $226,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 12,510 | $226,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 14,086 | $226,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 16,126 | $226,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 20,055 | $224,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 11,011 | $223,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 22,490 | $222,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 8,007 | $222,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 12,860 | $221,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 17,646 | $221,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 67,333 | $221,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 3,732 | $221,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,767 | $221,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 2,397 | $220,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 24,508 | $220,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 33,210 | $220,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 37,802 | $218,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 67,700 | $217,000 | thousands by filing date | call |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 457,400 | $217,000 | thousands by filing date | put |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 57,674 | $217,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 7,734 | $217,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 7,265 | $217,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 17,972 | $215,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 34,027 | $215,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 12,507 | $215,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 5,175 | $215,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 183,000 | $215,000 | thousands by filing date | principal |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 20,000 | $214,000 | thousands by filing date | put |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 5,781 | $214,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 10,415 | $214,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 5,244 | $214,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 14,482 | $213,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 45,747 | $213,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 1,020,614 | $212,000 | thousands by filing date | put |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 32,271 | $212,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 310,000 | $212,000 | thousands by filing date | call |
| INTEVAC INC | 461148108 | COM | 25,093 | $212,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 21,429 | $211,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 23,864 | $211,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 43,226 | $210,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 34,909 | $210,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 4,801 | $209,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 11,329 | $209,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 58,500 | $208,000 | thousands by filing date | call |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 180,000 | $208,000 | thousands by filing date | call |
| MEDICINOVA INC | 58468P206 | COM NEW | 32,575 | $208,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 16,969 | $208,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 8,228 | $207,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 41,869 | $207,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 3,728 | $207,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 52,900 | $206,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 6,131 | $206,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 49,060 | $205,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 7,526 | $204,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 34,415 | $203,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 17,480 | $203,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 4,067 | $202,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 12,078 | $202,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 12,500 | $202,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 50,000 | $201,000 | thousands by filing date | call |
| GENER8 MARITIME INC | Y26889108 | COM | 44,684 | $201,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 15,025 | $200,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 16,452 | $200,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 17,640 | $200,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 65,677 | $200,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 9,386 | $199,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 10,177 | $199,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 14,962 | $198,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 4,085 | $198,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 13,280 | $198,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 47,314 | $198,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 14,928 | $197,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 15,836 | $197,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 89,951 | $196,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,733 | $196,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 415,400 | $195,000 | thousands by filing date | call |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,726 | $195,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 17,081 | $195,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 170,000 | $195,000 | thousands by filing date | principal |
| EVANS BANCORP INC | 29911Q208 | COM | 4,517 | $195,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 14,724 | $194,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 7,601 | $194,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 27,535 | $194,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 55,024 | $194,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 86,000 | $194,000 | thousands by filing date | principal |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 55,901 | $193,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 7,773 | $193,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 210,000 | $193,000 | thousands by filing date | principal |
| WEYCO GROUP INC COM | 962149100 | Stock | 6,691 | $191,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 5,301 | $191,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 103,550 | $191,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 122,800 | $191,000 | thousands by filing date | call |
| ALLIENT INC | 019330109 | COM | 7,520 | $191,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 11,034 | $191,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 81,859 | $191,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 10,405 | $190,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 68,500 | $190,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 12,641 | $190,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 12,675 | $187,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 4,355 | $186,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 7,791 | $186,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 34,657 | $186,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 47,921 | $186,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 17,249 | $186,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 32,393 | $185,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 20,835 | $185,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 8,598 | $185,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 20,000 | $185,000 | thousands by filing date | call |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 95,247 | $185,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 123,900 | $184,000 | thousands by filing date | call |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 33,820 | $184,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 9,817 | $183,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 3,495 | $183,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 26,102 | $183,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 46,111 | $183,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 5,031 | $181,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 31,079 | $181,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 12,102 | $181,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 7,924 | $181,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 3,200 | $180,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 12,091 | $180,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 170,000 | $180,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 7,817 | $179,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 24,099 | $177,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 7,076 | $177,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 24,209 | $177,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 9,862 | $177,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 10,950 | $176,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 44,301 | $176,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,155,600 | $175,000 | thousands by filing date | put |
| Advanced Micro Devices,Inc. | 007903107 | COM | 165,000 | $174,000 | thousands by filing date | call |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 7,979 | $174,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 27,464 | $173,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 4,237 | $173,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 42,673 | $173,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 11,291 | $172,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 9,287 | $171,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-17-000482 | this filing | 2017-11-09 | acceptance time not in the bulk data set |