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 |
|---|---|---|---|---|---|---|
| CATHAY GEN BANCORP | 149150104 | COM | 127,564 | $5,128,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 197,872 | $5,122,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 115,589 | $5,121,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 126,351 | $5,121,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 32,736 | $5,118,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 279,338 | $5,112,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 5,500,000 | $5,107,000 | thousands by filing date | principal |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 2,503,000 | $5,106,000 | thousands by filing date | principal |
| URBAN EDGE PPTYS | 91704F104 | COM | 210,934 | $5,087,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 139,149 | $5,087,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 119,357 | $5,084,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 201,740 | $5,074,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 72,184 | $5,064,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 971,757 | $5,063,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 102,626 | $5,055,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 282,533 | $5,052,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 917,798 | $5,047,000 | thousands by filing date | put |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 552,012 | $5,047,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 235,739 | $5,045,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 244,466 | $5,041,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 161,715 | $5,037,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 335,587 | $5,034,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 268,417 | $5,033,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 134,482 | $5,032,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 5,029,000 | $5,029,000 | thousands by filing date | principal |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 519,411 | $5,027,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 100,947 | $5,027,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 142,260 | $5,022,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 494,171 | $5,020,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 263,496 | $5,015,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 61,256 | $5,012,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 259,356 | $5,006,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 64,513 | $4,988,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 3,241,000 | $4,987,000 | thousands by filing date | principal |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 395,181 | $4,983,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 55,242 | $4,976,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 129,842 | $4,967,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 337,090 | $4,956,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 172,078 | $4,948,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 127,101 | $4,948,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 616,400 | $4,935,000 | thousands by filing date | call |
| NEVSUN RES LTD | 64156L101 | COM | 2,262,362 | $4,932,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 2,360,000 | $4,912,000 | thousands by filing date | call |
| TUTOR PERINI CORP | 901109108 | COM | 172,637 | $4,904,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 541,388 | $4,894,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 39,925 | $4,894,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 95,916 | $4,892,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 483,263 | $4,890,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,094,664 | $4,882,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 563,229 | $4,861,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 271,390 | $4,858,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 179,697 | $4,850,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 146,102 | $4,848,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 965,203 | $4,846,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 231,569 | $4,840,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 243,652 | $4,839,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 147,386 | $4,837,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 64,551 | $4,835,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 4,829,000 | $4,829,000 | thousands by filing date | principal |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 75,593 | $4,826,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 859,977 | $4,824,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 209,803 | $4,815,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 65,755 | $4,804,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 178,280 | $4,795,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 36,443 | $4,785,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 176,674 | $4,778,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 1,375,900 | $4,777,000 | thousands by filing date | put |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 25,189 | $4,777,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 258,095 | $4,774,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 105,582 | $4,771,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 719,479 | $4,770,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 319,488 | $4,760,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 340,910 | $4,759,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 118,242 | $4,754,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 136,220 | $4,754,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 119,247 | $4,749,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 69,407 | $4,748,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 322,748 | $4,745,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 4,066,000 | $4,745,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 4,487,000 | $4,740,000 | thousands by filing date | principal |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 372,132 | $4,726,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 142,455 | $4,722,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 355,500 | $4,722,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 117,451 | $4,716,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 552,999 | $4,702,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 714,000 | $4,687,000 | thousands by filing date | put |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 4,740,000 | $4,687,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 4,535,000 | $4,671,000 | thousands by filing date | principal |
| RH | 74967X103 | COM | 66,381 | $4,668,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 4,422,000 | $4,665,000 | thousands by filing date | principal |
| KLX INC | 482539103 | COM | 88,007 | $4,659,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 205,707 | $4,647,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 523,768 | $4,630,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 330,364 | $4,624,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 674,954 | $4,623,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 71,484 | $4,622,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 62,523 | $4,621,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 129,241 | $4,614,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 184,931 | $4,608,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 133,898 | $4,608,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 426,215 | $4,599,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 490,073 | $4,597,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 481,685 | $4,571,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 123,384 | $4,571,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 200,089 | $4,569,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 121,585 | $4,565,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 293,704 | $4,552,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 84,853 | $4,551,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 174,616 | $4,549,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 3,388,000 | $4,542,000 | thousands by filing date | principal |
| UNITI GROUP INC | 91325V108 | COM | 309,148 | $4,532,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 172,207 | $4,523,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 658,924 | $4,521,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 73,542 | $4,519,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 36,903 | $4,505,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 54,968 | $4,504,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 155,581 | $4,484,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 218,133 | $4,483,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 1,087,946 | $4,482,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 81,102 | $4,481,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 321,985 | $4,481,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 478,453 | $4,465,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 664,988 | $4,462,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 180,741 | $4,456,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 208,224 | $4,456,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 72,312 | $4,447,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 123,862 | $4,442,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 473,919 | $4,431,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 4,043,000 | $4,414,000 | thousands by filing date | principal |
| VAREX IMAGING CORP | 92214X106 | COMMON STOCK | 130,392 | $4,412,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 151,936 | $4,408,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 232,261 | $4,406,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 368,652 | $4,406,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 100,596 | $4,403,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 65,035 | $4,402,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 135,974 | $4,398,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 2,892,000 | $4,398,000 | thousands by filing date | principal |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 58,813 | $4,391,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 352,220 | $4,389,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 290,751 | $4,384,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 232,063 | $4,384,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 4,937,000 | $4,382,000 | thousands by filing date | principal |
| PARK STERLING CORP | 70086Y105 | COM | 352,544 | $4,380,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 190,304 | $4,379,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 56,459 | $4,373,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 268,746 | $4,367,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 48,184 | $4,352,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 260,580 | $4,351,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 129,332 | $4,349,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 263,671 | $4,349,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 88,411 | $4,340,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 1,335,906 | $4,328,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 104,097 | $4,326,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 193,898 | $4,324,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 270,181 | $4,320,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 56,589 | $4,318,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 163,585 | $4,318,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 132,204 | $4,313,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 276,284 | $4,312,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 165,145 | $4,309,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 64,439 | $4,304,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 469,913 | $4,300,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 138,899 | $4,299,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 356,086 | $4,294,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 74,430 | $4,291,000 | thousands by filing date | |
| BLACKHAWK NETWORK HLDGS INC | 09238EAB0 | NOTE 1.500% 1/1 | 3,842,000 | $4,289,000 | thousands by filing date | principal |
| ENDO INTL PLC | G30401106 | SHS | 499,628 | $4,279,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 46,053 | $4,274,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 82,201 | $4,273,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 87,676 | $4,271,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 163,606 | $4,255,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 175,399 | $4,251,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 169,015 | $4,241,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 294,993 | $4,231,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 60,773 | $4,230,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 280,619 | $4,223,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 68,406 | $4,217,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 289,620 | $4,211,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 226,883 | $4,209,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 185,639 | $4,204,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 723,692 | $4,197,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 409,483 | $4,197,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 255,189 | $4,193,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 102,565 | $4,191,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 42,795 | $4,179,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 295,058 | $4,170,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 693,645 | $4,170,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 131,696 | $4,166,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 190,149 | $4,162,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 44,978 | $4,160,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 84,016 | $4,157,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 79,712 | $4,153,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 127,994 | $4,141,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 192,603 | $4,137,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 104,732 | $4,129,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 261,684 | $4,127,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 294,565 | $4,118,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 142,666 | $4,116,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 240,290 | $4,116,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 91,931 | $4,113,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 281,943 | $4,105,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 128,784 | $4,099,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,370,980 | $4,089,000 | thousands by filing date | put |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 386,129 | $4,081,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 2,612,515 | $4,077,000 | thousands by filing date | put |
| CINER RES LP | 172464109 | COM UNIT LTD | 162,184 | $4,063,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 219,520 | $4,062,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 80,515 | $4,057,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 2,807,000 | $4,051,000 | thousands by filing date | principal |
| SUNOPTA INC | 8676EP108 | COM | 465,564 | $4,050,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,061,000 | $4,048,000 | thousands by filing date | principal |
| VANECK RUSSIA ETF | 92189F403 | ETF | 181,089 | $4,037,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 1,322,828 | $4,035,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 146,650 | $4,032,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 300,923 | $4,032,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 72,343 | $4,028,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 398,097 | $4,024,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 223,716 | $4,024,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 58,792 | $4,018,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 379,000 | $4,017,000 | thousands by filing date | put |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 117,079 | $4,009,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 92,855 | $4,007,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 45,027 | $4,003,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 168,225 | $4,003,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 81,778 | $4,002,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 306,528 | $4,000,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 211,839 | $4,000,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 478,364 | $3,994,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 59,253 | $3,989,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 79,798 | $3,984,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 18,586 | $3,980,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 151,871 | $3,971,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 296,211 | $3,969,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 149,675 | $3,966,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 235,304 | $3,964,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 30,355 | $3,957,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 250,340 | $3,951,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 267,741 | $3,949,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 123,079 | $3,944,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 359,754 | $3,940,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 1,790,810 | $3,939,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 375,530 | $3,939,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 250,133 | $3,936,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 206,262 | $3,927,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 98,344 | $3,908,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 67,701 | $3,907,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 58,600 | $3,898,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 49,803 | $3,897,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 119,608 | $3,896,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 364,565 | $3,893,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 226,292 | $3,887,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 229,284 | $3,885,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 206,543 | $3,884,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 229,950 | $3,879,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 259,051 | $3,876,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 64,395 | $3,866,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 120,784 | $3,865,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 18,739 | $3,864,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 474,112 | $3,859,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 623,323 | $3,858,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 64,767 | $3,857,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 247,252 | $3,857,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 159,847 | $3,856,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 134,579 | $3,855,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 144,694 | $3,853,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 146,332 | $3,848,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 297,173 | $3,844,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 589,540 | $3,832,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 165,350 | $3,829,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 102,386 | $3,825,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 77,203 | $3,821,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 94,619 | $3,818,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 111,102 | $3,814,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 77,946 | $3,800,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 279,008 | $3,800,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 67,579 | $3,798,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,294,600 | $3,796,000 | thousands by filing date | put |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 128,549 | $3,792,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 126,891 | $3,775,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 76,310 | $3,768,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 59,201 | $3,754,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 164,269 | $3,752,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 224,816 | $3,748,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 186,379 | $3,742,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 99,741 | $3,740,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 416,824 | $3,736,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 6,749,400 | $3,723,000 | thousands by filing date | put |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 162,136 | $3,713,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 25,167 | $3,711,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 66,450 | $3,698,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 91,136 | $3,688,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 207,148 | $3,687,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 156,875 | $3,682,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 66,824 | $3,679,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 3,049,000 | $3,678,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 151,849 | $3,672,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 109,134 | $3,656,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 235,184 | $3,655,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 2,273,000 | $3,649,000 | thousands by filing date | principal |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 265,906 | $3,643,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 208,682 | $3,642,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 308,418 | $3,636,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 50,755 | $3,635,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 282,944 | $3,630,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 116,450 | $3,628,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 435,450 | $3,628,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 215,744 | $3,616,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 243,496 | $3,613,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 55,279 | $3,612,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 74,424 | $3,608,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 35,172 | $3,605,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 34,181 | $3,603,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 393,243 | $3,602,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 100,210 | $3,600,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 109,045 | $3,597,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 234,629 | $3,595,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 154,642 | $3,595,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 126,871 | $3,585,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 60,327 | $3,581,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 159,173 | $3,578,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 638,621 | $3,569,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 235,723 | $3,567,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 186,405 | $3,563,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 239,459 | $3,554,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 113,415 | $3,547,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 77,003 | $3,537,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 78,683 | $3,529,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 123,151 | $3,524,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 61,222 | $3,520,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 110,598 | $3,512,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 46,514 | $3,511,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 186,811 | $3,501,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 65,200 | $3,497,000 | thousands by filing date | call |
| FULLER H B CO COM | 359694106 | Stock | 60,037 | $3,485,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 179,964 | $3,483,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 90,205 | $3,481,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 46,715 | $3,481,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 39,884 | $3,479,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 70,859 | $3,473,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 314,925 | $3,468,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 106,917 | $3,463,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 276,918 | $3,451,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 69,994 | $3,448,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 310,341 | $3,445,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,827,000 | $3,442,000 | thousands by filing date | principal |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 207,229 | $3,436,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 69,567 | $3,435,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 121,541 | $3,435,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 32,300 | $3,430,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 128,330 | $3,423,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 92,326 | $3,421,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 262,328 | $3,421,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 262,325 | $3,412,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 56,699 | $3,406,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 104,157 | $3,404,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 216,585 | $3,400,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 143,359 | $3,390,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 216,056 | $3,381,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 47,089 | $3,379,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 80,583 | $3,377,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 42,653 | $3,373,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 329,969 | $3,366,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 979,134 | $3,348,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 328,440 | $3,343,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 318,756 | $3,335,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 79,622 | $3,332,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 194,222 | $3,331,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 331,761 | $3,330,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 279,697 | $3,328,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 161,947 | $3,326,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 26,910 | $3,326,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 144,656 | $3,321,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 38,833 | $3,315,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 34,354 | $3,306,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 481,085 | $3,300,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 222,832 | $3,300,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 82,983 | $3,299,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 49,447 | $3,299,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 47,669 | $3,290,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 99,035 | $3,288,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 61,953 | $3,283,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 130,236 | $3,280,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 242,084 | $3,268,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 210,781 | $3,267,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 469,348 | $3,257,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 142,384 | $3,248,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 90,494 | $3,247,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 2,851,000 | $3,241,000 | thousands by filing date | principal |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 37,430 | $3,236,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 89,744 | $3,225,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 29,845 | $3,224,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 103,850 | $3,224,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 251,908 | $3,224,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 152,103 | $3,222,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 73,053 | $3,219,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 339,503 | $3,212,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 104,418 | $3,211,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 32,852 | $3,209,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 109,804 | $3,205,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 234,396 | $3,200,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 33,008 | $3,199,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 60,686 | $3,198,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 85,915 | $3,196,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 73,686 | $3,194,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 131,959 | $3,189,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 92,836 | $3,186,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 230,410 | $3,183,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 76,917 | $3,181,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 158,442 | $3,180,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 63,694 | $3,166,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 302,072 | $3,163,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 49,730 | $3,154,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 58,500 | $3,148,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 110,585 | $3,148,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 50,241 | $3,147,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 217,831 | $3,145,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 476,091 | $3,128,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 58,243 | $3,123,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 237,256 | $3,115,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 85,150 | $3,112,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 71,396 | $3,109,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 78,837 | $3,108,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 90,160 | $3,106,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 413,346 | $3,105,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 239,551 | $3,102,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 79,290 | $3,097,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 96,926 | $3,095,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 131,352 | $3,083,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 64,450 | $3,082,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 197,408 | $3,080,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 177,937 | $3,079,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 247,279 | $3,079,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 230,907 | $3,078,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 168,054 | $3,075,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 514,384 | $3,072,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 1,435,587 | $3,072,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 501,793 | $3,065,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 105,815 | $3,064,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 565,435 | $3,056,000 | thousands by filing date | call |
| PLEXUS CORP COM | 729132100 | Stock | 54,479 | $3,054,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 339,495 | $3,048,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 569,292 | $3,040,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 272,208 | $3,038,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 133,014 | $3,033,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 2,874,000 | $3,024,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 3,009,000 | $3,024,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,497,000 | $3,021,000 | thousands by filing date | principal |
| TELETECH HOLDINGS INC | 879939106 | COM | 72,254 | $3,016,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 67,383 | $3,012,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 114,776 | $3,010,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 40,784 | $3,008,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 94,947 | $3,008,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 111,240 | $3,003,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 121,859 | $3,000,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 804,877 | $2,986,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 197,804 | $2,983,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 895,970 | $2,983,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 98,273 | $2,979,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 128,040 | $2,975,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 217,118 | $2,975,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 250,741 | $2,969,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 1,598,468 | $2,957,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 658,266 | $2,956,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 136,488 | $2,955,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 71,244 | $2,953,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 52,151 | $2,952,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 218,437 | $2,951,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 56,889 | $2,951,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 117,793 | $2,951,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 78,172 | $2,950,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 43,737 | $2,947,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 2,042,000 | $2,946,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 3,241,000 | $2,941,000 | thousands by filing date | principal |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 113,980 | $2,939,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 177,005 | $2,938,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 139,970 | $2,938,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 96,113 | $2,934,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 24,323 | $2,932,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 170,756 | $2,932,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 148,949 | $2,927,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 52,467 | $2,926,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 97,716 | $2,924,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 242,683 | $2,919,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 2,983,000 | $2,917,000 | thousands by filing date | principal |
| International Business Machines Corporation | 459200101 | COM | 302,400 | $2,912,000 | thousands by filing date | put |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 168,557 | $2,912,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 128,563 | $2,912,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 153,352 | $2,910,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 113,288 | $2,909,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 41,638 | $2,901,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 118,493 | $2,898,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 481,566 | $2,894,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 154,844 | $2,892,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 121,747 | $2,887,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 66,230 | $2,873,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 217,545 | $2,871,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 78,925 | $2,871,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 186,710 | $2,870,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 97,784 | $2,866,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 41,400 | $2,864,000 | 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 |