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 |
|---|---|---|---|---|---|---|
| CURIS INC | 231269101 | COM | 114,045 | $170,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 9,565 | $169,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 14,157 | $169,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 17,798 | $169,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 230,400 | $168,000 | thousands by filing date | call |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 2,983 | $168,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 121,500 | $167,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 439,800 | $167,000 | thousands by filing date | put |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 11,038 | $167,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 15,020 | $167,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 26,595 | $166,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 36,541 | $166,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 12,276 | $166,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 11,445 | $166,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 51,232 | $166,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 232,000 | $165,000 | thousands by filing date | put |
| FIREEYE INC | 31816Q101 | COM | 400,000 | $165,000 | thousands by filing date | call |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,820 | $165,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 130,662 | $165,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 19,800 | $164,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,581 | $162,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 6,365 | $162,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 29,595 | $162,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 581,300 | $161,000 | thousands by filing date | put |
| PDC ENERGY INC | 69327R101 | COM | 57,600 | $161,000 | thousands by filing date | call |
| IMMUCELL CORP | 452525306 | COM PAR | 24,702 | $161,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 16,560 | $161,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 13,921 | $161,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 133,500 | $160,000 | thousands by filing date | put |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 13,734 | $160,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,206 | $159,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 18,180 | $159,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 36,851 | $159,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 9,421 | $159,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 115,700 | $158,000 | thousands by filing date | call |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 20,838 | $158,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 6,297 | $158,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 4,859 | $157,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 25,044 | $156,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 3,475 | $156,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 24,038 | $156,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 150,000 | $156,000 | thousands by filing date | principal |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 11,072 | $155,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 7,609 | $155,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 51,911 | $155,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 20,167 | $155,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 11,815 | $154,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 23,182 | $153,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 4,431 | $153,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 47,314 | $153,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 134,000 | $153,000 | thousands by filing date | principal |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 43,435 | $152,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 44,896 | $152,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 10,576 | $151,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 99,300 | $151,000 | thousands by filing date | call |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $150,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,300 | $150,000 | thousands by filing date | call |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 8,533 | $150,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,903 | $149,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 8,185 | $149,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,405 | $149,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 11,811 | $149,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,215 | $149,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 4,948 | $149,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 10,915 | $148,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 4,966 | $148,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 21,056 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 9,042 | $147,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 60,500 | $146,000 | thousands by filing date | call |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 14,725 | $146,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 5,428 | $146,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 12,513 | $146,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,946 | $146,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,105 | $146,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 58,300 | $145,000 | thousands by filing date | put |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 36,000 | $145,000 | thousands by filing date | call |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,017 | $145,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 9,224 | $145,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $144,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 22,970 | $143,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 25,583 | $143,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 22,000 | $143,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,340 | $143,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 8,911 | $143,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 34,691 | $142,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 3,099 | $142,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 65,000 | $141,000 | thousands by filing date | call |
| ADECOAGRO S A | L00849106 | COM | 13,045 | $141,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 6,712 | $141,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 34,508 | $141,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 10,403 | $141,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 10,484 | $141,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 141,000 | $140,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP | 674599105 | COM | 87,200 | $139,000 | thousands by filing date | call |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 9,904 | $139,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 129,956 | $139,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 6,101 | $139,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 499,900 | $138,000 | thousands by filing date | call |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 52,472 | $138,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 25,075 | $138,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 22,500 | $137,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,083 | $137,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $137,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 36,220 | $137,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 11,305 | $136,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $136,000 | thousands by filing date | principal |
| BLACKROCK MUN BD TR | 09249H104 | COM | 8,639 | $135,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 22,290 | $135,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 17,744 | $135,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 170,200 | $135,000 | thousands by filing date | put |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 7,106 | $135,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 308,500 | $134,000 | thousands by filing date | put |
| CLARUS CORP NEW | 18270P109 | COM | 17,796 | $134,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 14,541 | $134,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 7,951 | $134,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 12,325 | $134,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 4,590 | $134,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 12,080 | $133,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 6,692 | $132,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,895 | $132,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 16,261 | $132,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 8,893 | $131,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 929 | $130,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 24,518 | $130,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 121,000 | $130,000 | thousands by filing date | principal |
| GABELLI UTIL TR | 36240A101 | COM | 18,302 | $129,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 53,957 | $129,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 11,012 | $129,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 31,916 | $128,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 8,946 | $128,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,201 | $128,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 7,278 | $128,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,754 | $128,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 11,643 | $128,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 23,400 | $127,000 | thousands by filing date | call |
| REALNETWORKS INC | 75605L708 | COM | 26,340 | $127,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 4,809 | $127,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 15,000 | $127,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,600 | $127,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 50,000 | $126,000 | thousands by filing date | call |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 1,812 | $126,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 45,000 | $125,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 100,000 | $125,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 30,913 | $125,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 8,740 | $124,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 12,533 | $124,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 141,408 | $123,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,882 | $123,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 131,000 | $123,000 | thousands by filing date | principal |
| ISHARES INC | 46434G863 | COM | 1,750 | $122,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 4,567 | $122,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,777 | $122,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 18,308 | $122,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,541 | $122,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,441 | $122,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 48,745 | $122,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,000 | $121,000 | thousands by filing date | call |
| HOME BANCSHARES INC COM | 436893200 | Stock | 40,300 | $121,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 2,857 | $121,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 3,553 | $121,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,917 | $121,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,577 | $121,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 53,766 | $121,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 20,300 | $120,000 | thousands by filing date | call |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 11,832 | $120,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 2,896 | $120,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 207,300 | $120,000 | thousands by filing date | call |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 9,085 | $120,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,831 | $120,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 23,700 | $118,000 | thousands by filing date | call |
| YUM BRANDS INC COM | 988498101 | Stock | 77,300 | $118,000 | thousands by filing date | put |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 7,781 | $118,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 18,815 | $118,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 3,328 | $118,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 100,000 | $117,000 | thousands by filing date | put |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 36,612 | $117,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,571 | $117,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 3,605 | $116,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,966 | $116,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 6,465 | $116,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,819 | $116,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 4,817 | $114,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 15,312 | $113,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $113,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,269 | $113,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 105,500 | $112,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 16,304 | $112,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 54,800 | $112,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 9,966 | $111,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,622 | $111,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 22,142 | $111,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 6,940 | $111,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 20,698 | $111,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,910 | $111,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 4,149 | $110,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,659 | $110,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 11,117 | $110,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 150,000 | $110,000 | thousands by filing date | principal |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 6,286 | $109,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 25,814 | $109,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 24,900 | $108,000 | thousands by filing date | put |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 5,737 | $108,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 7,704 | $108,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 108,000 | $108,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,101 | $107,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 10,782 | $107,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 118,600 | $107,000 | thousands by filing date | call |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 13,087 | $107,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 35,300 | $107,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 17,301 | $106,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 9,730 | $106,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 100,000 | $106,000 | thousands by filing date | put |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 18,164 | $105,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 35,506 | $105,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 91,300 | $105,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 5,102 | $105,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 7,401 | $105,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 14,909 | $105,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 19,188 | $105,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 26,300 | $103,000 | thousands by filing date | call |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 7,101 | $103,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,782 | $103,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 18,023 | $103,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 31,503 | $103,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 35,000 | $103,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,305 | $102,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 4,453 | $102,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,520 | $102,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 88,005 | $102,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 22,658 | $102,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 75,200 | $101,000 | thousands by filing date | call |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 101,000 | $101,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435105 | COM | 37,900 | $100,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 30,000 | $100,000 | thousands by filing date | put |
| MVC CAPITAL INC | 553829102 | COM | 9,961 | $100,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 10,672 | $100,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 3,414 | $100,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 15,277 | $99,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 8,218 | $99,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,101 | $99,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 100,000 | $99,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 41,100 | $98,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 9,654 | $98,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 5,145 | $98,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 7,000 | $98,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 6,357 | $97,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,335 | $97,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 5,075 | $97,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 4,875 | $96,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 50,000 | $96,000 | thousands by filing date | call |
| Deere & Company | 244199105 | COM | 25,000 | $95,000 | thousands by filing date | call |
| QORVO INC COM | 74736K101 | Stock | 52,800 | $95,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 838 | $95,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 898 | $95,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 17,030 | $95,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 4,789 | $95,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 6,328 | $94,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 1,114 | $94,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 19,951 | $94,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 57,000 | $94,000 | thousands by filing date | principal |
| ISHARES INC | 464286103 | MSCI AUST ETF | 55,000 | $93,000 | thousands by filing date | call |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,550 | $93,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 7,055 | $93,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 4,030 | $93,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 35,644 | $91,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 18,530 | $91,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 124,831 | $91,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 25,379 | $90,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 104,600 | $90,000 | thousands by filing date | put |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 5,203 | $90,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,374 | $90,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 68,000 | $90,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 178,800 | $89,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 20,751 | $89,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 27,200 | $89,000 | thousands by filing date | call |
| UNITI GROUP INC | 91325V108 | COM | 154,500 | $89,000 | thousands by filing date | call |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 19,115 | $89,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 3,080 | $89,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,922 | $89,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 29,811 | $89,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 3,798 | $89,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 9,500 | $88,000 | thousands by filing date | put |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 6,452 | $88,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 23,869 | $88,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 81,000 | $88,000 | thousands by filing date | principal |
| Pfizer Inc. | 717081103 | COM | 99,600 | $87,000 | thousands by filing date | put |
| Texas Instruments Incorporated | 882508104 | COM | 113,200 | $87,000 | thousands by filing date | put |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 3,681 | $87,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 6,168 | $86,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 2,600 | $86,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 6,349 | $86,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 4,696 | $85,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 32,055 | $85,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 16,550 | $85,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 6,691 | $85,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 80 | $85,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 30,954 | $85,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 39,200 | $84,000 | thousands by filing date | call |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 35,900 | $84,000 | thousands by filing date | call |
| RED HAT INC | 756577102 | COM | 8,600 | $84,000 | thousands by filing date | call |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,429 | $84,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 16,044 | $84,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 7,037 | $83,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 5,706 | $83,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,509 | $83,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 2,693 | $82,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,526 | $82,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 7,858 | $82,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 841 | $82,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 6,558 | $81,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 5,961 | $81,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 9,697 | $81,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 3,507 | $81,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 2,849 | $80,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,917 | $79,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 503,500 | $79,000 | thousands by filing date | call |
| SIMULATIONS PLUS INC | 829214105 | COM | 5,097 | $79,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 103,911 | $79,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 224,432 | $79,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,777 | $79,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 31,935 | $79,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,110 | $79,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 177,100 | $78,000 | thousands by filing date | call |
| WIX COM LTD SHS | M98068105 | Stock | 25,000 | $78,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 425,900 | $78,000 | thousands by filing date | call |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 47,000 | $78,000 | thousands by filing date | principal |
| KROGER CO COM | 501044101 | Stock | 63,800 | $77,000 | thousands by filing date | put |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 6,624 | $77,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 58,525 | $77,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 207,688 | $77,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 2,331 | $76,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $76,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 12,592 | $76,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 100,000 | $75,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 76,141 | $75,000 | thousands by filing date | put |
| United Parcel Service,Inc. Class B | 911312106 | COM | 25,900 | $75,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 24,636 | $75,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 734 | $75,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 266,400 | $74,000 | thousands by filing date | put |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 3,430 | $74,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 29,128 | $74,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 540,000 | $74,000 | thousands by filing date | call |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,516 | $74,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 14,400 | $73,000 | thousands by filing date | call |
| NOVA LTD COM | M7516K103 | Stock | 2,600 | $73,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 50,000 | $73,000 | thousands by filing date | call |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 6,088 | $73,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 76,600 | $72,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 297,100 | $72,000 | thousands by filing date | put |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 2,977 | $72,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4,256 | $72,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 2,894 | $72,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 29,168 | $72,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 15,344 | $71,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 67,913 | $71,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 4,369 | $71,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 270,000 | $70,000 | thousands by filing date | put |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 10,639 | $70,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 5,874 | $70,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 8,139 | $70,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 31,000 | $69,000 | thousands by filing date | call |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 100,000 | $69,000 | thousands by filing date | call |
| DOLLAR TREE INC COM | 256746108 | Stock | 37,200 | $69,000 | thousands by filing date | put |
| RED HAT INC | 756577102 | COM | 37,600 | $69,000 | thousands by filing date | put |
| CELADON GROUP INC | 150838100 | COM | 10,130 | $69,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 13,295 | $69,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 7,269 | $69,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 24,426 | $68,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,500 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 4,700 | $68,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 4,660 | $68,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 2,477 | $68,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 55,308 | $68,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 3,670 | $68,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 39,200 | $67,000 | thousands by filing date | put |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,525 | $67,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 7,900 | $67,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,020 | $67,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,959 | $67,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2,698 | $67,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 9,203 | $66,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 48,805 | $66,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 59,165 | $66,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,776 | $66,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 31,085 | $66,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 2,679 | $66,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 13,504 | $66,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 31,179 | $66,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 11,752 | $65,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 19,904 | $65,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 42,501 | $65,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 5,200 | $65,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 200,000 | $64,000 | thousands by filing date | put |
| DAUCH CORP | 024061103 | COM | 100,000 | $64,000 | thousands by filing date | put |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 12,900 | $64,000 | thousands by filing date | call |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 6,815 | $64,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 1,223 | $63,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,697 | $63,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $63,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,397 | $63,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 63,000 | $63,000 | thousands by filing date | principal |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,544 | $62,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 20,000 | $61,000 | thousands by filing date | call |
| XBIOTECH INC | 98400H102 | COM | 14,126 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,924 | $61,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 161,800 | $60,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,240 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,773 | $60,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 3,286 | $60,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $60,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 511 | $59,000 | thousands by filing date | put |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 20,147 | $59,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,877 | $59,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 5,376 | $59,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 160,000 | $59,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 89,200 | $58,000 | thousands by filing date | put |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 39,600 | $58,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $58,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 3,500 | $58,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 291,900 | $57,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 23,900 | $57,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 159,189 | $57,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 4,877 | $57,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 11,147 | $57,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 5,500 | $56,000 | thousands by filing date | call |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,372 | $56,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 11,843 | $56,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,518 | $56,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,995 | $56,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 1,778 | $56,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 56,000 | $55,000 | thousands by filing date | put |
| Lowes Companies,Inc. | 548661107 | COM | 54,020 | $55,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 289,000 | $55,000 | thousands by filing date | put |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 3,751 | $55,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,947 | $55,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 24,013 | $55,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,968 | $55,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 2,337 | $55,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,500 | $55,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 125,100 | $54,000 | thousands by filing date | put |
| B2GOLD CORP COM | 11777Q209 | Stock | 19,156 | $54,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 112,300 | $54,000 | thousands by filing date | call |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,989 | $54,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 5,043 | $54,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 40,598 | $54,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 4,292 | $54,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 5,861 | $54,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 5,000 | $54,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 50,000 | $53,000 | thousands by filing date | put |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 115,400 | $53,000 | thousands by filing date | call |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,623 | $53,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,202 | $53,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 944 | $53,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 5,906 | $53,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 51,000 | $52,000 | thousands by filing date | put |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 2,308 | $52,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 19,031 | $52,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 5,610 | $52,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $52,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 998 | $51,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 80,200 | $51,000 | thousands by filing date | put |
| ASCENT INDUSTRIES CO | 871565107 | COM | 4,103 | $51,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 8,601 | $51,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,817 | $51,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 48,627 | $51,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 50,000 | $51,000 | thousands by filing date | principal |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 445 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 2,093 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $50,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 1,089 | $50,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 6,600 | $50,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 48,000 | $50,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 103,240 | $50,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 1,850 | $49,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,075 | $49,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 4,113 | $49,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,501 | $49,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 2,023 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,971 | $49,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $49,000 | thousands by filing date | principal |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $48,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 1,320 | $48,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 15,000 | $48,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 5,493 | $48,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,400 | $47,000 | thousands by filing date | call |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 918 | $47,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 11,000 | $47,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 250,300 | $47,000 | thousands by filing date | call |
| PAR TECHNOLOGY CORP | 698884103 | COM | 4,501 | $47,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 2,260 | $47,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,000 | $47,000 | thousands by filing date | put |
| ISRAMCO INC | 465141406 | COM | 405 | $47,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 17,346 | $47,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 40,201 | $47,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 363 | $46,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 74,300 | $46,000 | thousands by filing date | put |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 23,900 | $46,000 | thousands by filing date | call |
| CYTOSORBENTS CORP | 23283X206 | CMN | 7,414 | $46,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 32,801 | $46,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 27,358 | $46,000 | 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 |