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 |
|---|---|---|---|---|---|---|
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 39,000 | $46,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,065 | $46,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 442 | $46,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 14,953 | $45,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 36,300 | $45,000 | thousands by filing date | call |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 2,197 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 650 | $44,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 41,800 | $44,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,783 | $44,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 3,335 | $44,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,570 | $44,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 7,500 | $44,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 1,696 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 3,206 | $44,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,092 | $44,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 59,700 | $43,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 22,500 | $43,000 | thousands by filing date | put |
| FS BANCORP INC | 30263Y104 | COM | 838 | $43,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 450 | $43,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,201 | $43,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,495 | $43,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 5,457 | $43,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 18,659 | $43,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,900 | $43,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 15,823 | $43,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 30,200 | $42,000 | thousands by filing date | call |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,176 | $42,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 99,200 | $42,000 | thousands by filing date | put |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 8,995 | $42,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 6,706 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 100,000 | $41,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 18,623 | $41,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 4,884 | $41,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 4,763 | $41,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,827 | $41,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 2,971 | $41,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,263 | $41,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 40,000 | $41,000 | thousands by filing date | principal |
| Enterprise Federal Bancorp | 26952G107 | Common | 2,600 | $41,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 59,430 | $40,000 | thousands by filing date | principal |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 96,439 | $40,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 31,000 | $40,000 | thousands by filing date | principal |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 5,781 | $40,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 24,200 | $39,000 | thousands by filing date | put |
| SEASPINE HLDGS CORP | 81255T108 | COM | 3,480 | $39,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 10,500 | $39,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 429 | $38,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 1,421 | $38,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,052 | $38,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 11,334 | $38,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 3,610 | $38,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 163,300 | $37,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 26,411 | $37,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,851 | $37,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,086 | $37,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 36,964 | $37,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 23,183 | $37,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $37,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 533 | $36,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 634 | $36,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,914 | $36,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 1,002 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,285 | $36,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,166 | $36,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 1,124 | $36,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 7,994 | $36,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 7,734 | $36,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 6,085 | $36,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 49,000 | $35,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 140,800 | $35,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $35,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1,662 | $35,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,166 | $35,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 12,490 | $35,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 3,000 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,200 | $35,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 86,800 | $34,000 | thousands by filing date | call |
| DOMTAR CORP | 257559203 | COM NEW | 22,500 | $34,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 3,883 | $34,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,866 | $34,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 9,220 | $34,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 2,343 | $34,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 12,695 | $34,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $34,000 | thousands by filing date | principal |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 1,935 | $33,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 13,563 | $33,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 1,000 | $33,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 8,315 | $33,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 11,749 | $33,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 1,368 | $32,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 6,807 | $32,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 620 | $32,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 1,250,000 | $32,000 | thousands by filing date | call |
| BOVIE MEDICAL CORP | 10211F100 | COM | 9,440 | $32,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,000 | $32,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 1,722 | $32,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 2,180 | $32,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 48,837 | $31,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 12,235 | $31,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,690 | $31,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,371 | $31,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,049 | $31,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,452 | $31,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 6,818 | $31,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 33,600 | $31,000 | thousands by filing date | call |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 190 | $31,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 2,222 | $31,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 30,000 | $31,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $31,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 30,000 | $31,000 | thousands by filing date | principal |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,134 | $31,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 30,000 | $30,000 | thousands by filing date | put |
| MARCHEX INC | 56624R108 | CMN | 9,862 | $30,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,401 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 233 | $30,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,301 | $30,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 173 | $30,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 13,300 | $29,000 | thousands by filing date | put |
| AMC NETWORKS INC | 00164V103 | CL A | 18,700 | $29,000 | thousands by filing date | call |
| IRIDEX CORP | 462684101 | COM | 3,077 | $29,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,000 | $29,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 5,602 | $29,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 1,800 | $29,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 1,906 | $29,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 800 | $29,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 444 | $28,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 65,600 | $28,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 50,000 | $28,000 | thousands by filing date | call |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,885 | $28,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 46,200 | $28,000 | thousands by filing date | put |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 1,500 | $28,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 9,703 | $28,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 20,000 | $28,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 47,200 | $27,000 | thousands by filing date | call |
| ICAD INC | 44934S206 | COM NEW | 6,260 | $27,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,681 | $27,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 501 | $27,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 3,391 | $27,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 8,057 | $27,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 8,468 | $27,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 26,700 | $26,000 | thousands by filing date | put |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 336,700 | $26,000 | thousands by filing date | call |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 4,253 | $26,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 21,100 | $26,000 | thousands by filing date | call |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,031 | $26,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 4,600 | $26,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 9,546 | $26,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,301 | $26,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,842 | $26,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,220 | $25,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 26,100 | $25,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,882 | $25,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,385 | $25,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 7,803 | $25,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 520 | $25,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 6,000 | $25,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 15,926 | $25,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 9,200 | $25,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 20,034 | $25,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $24,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 200,000 | $24,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 44,000 | $24,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 185,500 | $24,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 25,900 | $24,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 49,000 | $24,000 | thousands by filing date | call |
| DESTINATION XL GROUP INC | 25065K104 | COM | 12,391 | $24,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 9,001 | $24,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,250 | $24,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 6,832 | $24,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $24,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 16,496 | $24,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 3,628 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,000 | $24,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 13,000 | $24,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 96,087 | $23,000 | thousands by filing date | call |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 837 | $23,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 18,500 | $23,000 | thousands by filing date | put |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 768 | $23,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $23,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 10,665 | $23,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 83,300 | $22,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 76,200 | $22,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 22,300 | $22,000 | thousands by filing date | put |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 908 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $22,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 751 | $22,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,461 | $22,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,500 | $22,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 12,186 | $22,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 3,122 | $22,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 3,403 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 855 | $22,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 7,996 | $22,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 9,151 | $22,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 2,901 | $22,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,400 | $21,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 114,000 | $21,000 | thousands by filing date | put |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 10,000 | $21,000 | thousands by filing date | call |
| M.D.C. HOLDINGS INC | 552676108 | COM | 28,000 | $21,000 | thousands by filing date | call |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $21,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $21,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,000 | $21,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 1,058 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 626 | $21,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 34,200 | $21,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $21,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 6,000 | $21,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 8,000 | $21,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 80,000 | $20,000 | thousands by filing date | put |
| CHEESECAKE FACTORY INC | 163072101 | COM | 14,400 | $20,000 | thousands by filing date | call |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 1,000 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 641 | $20,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 8,238 | $20,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 4,490 | $20,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 500 | $20,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 10,900 | $19,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 2,000 | $19,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 10,000 | $19,000 | thousands by filing date | call |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 186 | $19,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 419 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 150,000 | $19,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 4,317 | $19,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,067 | $19,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 150,000 | $19,000 | thousands by filing date | put |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 13,930 | $19,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 107,000 | $19,000 | thousands by filing date | principal |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $19,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 6,506 | $19,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 4,602 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 425 | $19,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 4,288 | $19,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 140,400 | $18,000 | thousands by filing date | call |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,066 | $18,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,957 | $18,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,800 | $18,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 650 | $18,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 32,300 | $18,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 740 | $18,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 2,000 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $18,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 12,743 | $18,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 14,000 | $18,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $18,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,001 | $18,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 23,000 | $18,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $18,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $18,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $18,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 3,499 | $18,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 8,500 | $18,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 516 | $17,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 50,000 | $17,000 | thousands by filing date | put |
| CANADIAN SOLAR INC | 136635109 | COM | 1,011 | $17,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,045 | $17,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,197 | $17,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 37,035 | $17,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 12,087 | $17,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 3,900 | $17,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,000 | $17,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 885 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 560 | $17,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 30,000 | $16,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 94,400 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 16,100 | $16,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 30,000 | $16,000 | thousands by filing date | put |
| GARRISON CAP INC | 366554103 | COM | 1,836 | $16,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 4,135 | $16,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 10,837 | $16,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 4,866 | $16,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,511 | $16,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,708 | $16,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 100,000 | $16,000 | thousands by filing date | put |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 9,556 | $16,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,900 | $16,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 759 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 1,000 | $16,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,096 | $16,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 78,900 | $15,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 85,000 | $15,000 | thousands by filing date | put |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 22,000 | $15,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 18,300 | $15,000 | thousands by filing date | put |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 1,176 | $15,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 4,746 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 255 | $15,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,840 | $15,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 2,850 | $15,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 15,000 | $15,000 | thousands by filing date | principal |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,597 | $15,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $15,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,676 | $15,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 91,900 | $14,000 | thousands by filing date | call |
| WW GRAINGER INC COM | 384802104 | Stock | 8,600 | $14,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 4,000 | $14,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 400 | $14,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 38,300 | $14,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 568 | $14,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,000 | $14,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 548 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 308 | $14,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 1,541 | $14,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 423 | $14,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 1,037 | $14,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 929 | $14,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,035 | $14,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 9,162 | $14,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $14,000 | thousands by filing date | principal |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 16,224 | $14,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 190,500 | $13,000 | thousands by filing date | call |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 6,900 | $13,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 447 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 351 | $13,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 675 | $13,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 6,243 | $13,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,418 | $13,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 5,328 | $13,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 12,701 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 225 | $13,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 27,535 | $13,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 530 | $13,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 7,375 | $13,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 2,981 | $13,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,450 | $13,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 15,687 | $13,000 | thousands by filing date | principal |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 517 | $13,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 3,342 | $13,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,000 | $12,000 | thousands by filing date | put |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 126 | $12,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 796 | $12,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 6,500 | $12,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,575 | $12,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 11,500 | $12,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 926 | $12,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 2,037 | $12,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 697 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $12,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 673 | $12,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $12,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 33,300 | $12,000 | thousands by filing date | put |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $12,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 3,179 | $12,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 2,679 | $12,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 28,000 | $12,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $12,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 19,033 | $12,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 4,208 | $12,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 325 | $12,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,500 | $12,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 10,000 | $11,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 21,494 | $11,000 | thousands by filing date | put |
| WELLTOWER INC COM | 95040Q104 | REIT | 218,200 | $11,000 | thousands by filing date | call |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 80,000 | $11,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 2,000 | $11,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 116 | $11,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,358 | $11,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 565 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $11,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 255 | $11,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 185 | $11,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 459 | $11,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 11,000 | $11,000 | thousands by filing date | principal |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,551 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,480 | $11,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 3,200 | $11,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 24,100 | $10,000 | thousands by filing date | call |
| EMERSON ELEC CO COM | 291011104 | Stock | 43,300 | $10,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 60,000 | $10,000 | thousands by filing date | put |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 151 | $10,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 621 | $10,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 20,200 | $10,000 | thousands by filing date | call |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 615 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $10,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $10,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $10,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 4,001 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,300 | $10,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 600 | $10,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 250 | $10,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $10,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 750 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $10,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 246 | $10,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 2,456 | $10,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 1,393 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| RENREN INC | 759892201 | SPON ADR A NEW | 1,149 | $10,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,502 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 40,600 | $9,000 | thousands by filing date | call |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 300 | $9,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 5,900 | $9,000 | thousands by filing date | call |
| TARGA RES CORP COM | 87612G101 | Stock | 41,000 | $9,000 | thousands by filing date | put |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 252,000 | $9,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $9,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 1,000 | $9,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 6,000 | $9,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 409 | $9,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 199 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $9,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 52,700 | $9,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 2,706 | $9,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 2,000 | $9,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 505 | $9,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 306 | $9,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,863 | $9,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,363 | $9,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 3,155 | $9,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 1,001 | $9,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 7,099 | $9,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 12,841 | $9,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 110,300 | $8,000 | thousands by filing date | put |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 88 | $8,000 | thousands by filing date | put |
| F5 INC COM | 315616102 | Stock | 1,900 | $8,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 6,969 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 218 | $8,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 27,628 | $8,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 700 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 1,500 | $8,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 288 | $8,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,302 | $8,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 307 | $8,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,020 | $8,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 75,000 | $8,000 | thousands by filing date | put |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 10,000 | $8,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,400 | $8,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 7,000 | $8,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 344 | $8,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 15,312 | $8,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 431 | $8,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,500 | $8,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,676 | $8,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 8,001 | $8,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 351 | $8,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 969 | $8,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 111,900 | $7,000 | thousands by filing date | call |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,464 | $7,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 2,300 | $7,000 | thousands by filing date | put |
| PACCAR INC COM | 693718108 | Stock | 25,000 | $7,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 160 | $7,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 55,000 | $7,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 1,212 | $7,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 446 | $7,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 513 | $7,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,501 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 3,358 | $7,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 24,000 | $7,000 | thousands by filing date | call |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 412 | $7,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 361 | $7,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 7,802 | $7,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $7,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 501 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $7,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 126 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,100 | $7,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 5,171 | $7,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,500 | $7,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,296 | $7,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 1,000 | $7,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 543 | $7,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 7,000 | $7,000 | thousands by filing date | principal |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 19,729 | $7,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195124 | COM | 700 | $7,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 300 | $6,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 100,000 | $6,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 3,800 | $6,000 | thousands by filing date | put |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 646 | $6,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 86,800 | $6,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 3,500 | $6,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,000 | $6,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 264 | $6,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 536 | $6,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $6,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,535 | $6,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,115 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 117 | $6,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 188 | $6,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 352 | $6,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 10,342 | $6,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 1,511 | $6,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 1,240 | $6,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 14,756 | $6,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,000 | $6,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 321 | $6,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $6,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,004 | $6,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 825 | $6,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 7,789 | $6,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 253 | $6,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 6,000 | $6,000 | thousands by filing date | principal |
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 |