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 |
|---|---|---|---|---|---|---|
| FB FINL CORP | 30257X104 | COM | 75,923 | $2,864,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 951,200 | $2,860,000 | thousands by filing date | call |
| ST JOE CO | 790148100 | COM | 151,688 | $2,860,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 65,300 | $2,860,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 132,027 | $2,858,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 333,062 | $2,855,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 46,654 | $2,848,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 126,189 | $2,846,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 122,523 | $2,846,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 336,192 | $2,844,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 205,681 | $2,841,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 350,649 | $2,840,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 39,488 | $2,839,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 88,627 | $2,837,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 161,665 | $2,834,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 54,111 | $2,833,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 305,552 | $2,830,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 21,813 | $2,829,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 192,758 | $2,829,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,473,101 | $2,829,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 126,770 | $2,826,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 43,293 | $2,825,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 55,507 | $2,823,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 83,005 | $2,815,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 183,080 | $2,811,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 151,223 | $2,809,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 65,671 | $2,803,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 186,567 | $2,803,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 2,812,000 | $2,802,000 | thousands by filing date | principal |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 271,423 | $2,796,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 111,034 | $2,795,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 666,900 | $2,788,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 222,420 | $2,787,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 54,990 | $2,785,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 1,312,300 | $2,781,000 | thousands by filing date | call |
| FRESHPET INC COM | 358039105 | Stock | 177,505 | $2,778,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 171,727 | $2,777,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 248,077 | $2,766,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 263,850 | $2,763,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 167,385 | $2,762,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 166,239 | $2,762,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 2,098 | $2,759,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 41,727 | $2,755,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 378,068 | $2,747,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 9,790 | $2,744,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,240,000 | $2,742,000 | thousands by filing date | principal |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 16,153 | $2,741,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 105,941 | $2,739,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 216,702 | $2,737,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 86,594 | $2,727,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 118,556 | $2,726,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 2,180,000 | $2,723,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 53,161 | $2,722,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 151,693 | $2,715,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 161,178 | $2,714,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 125,071 | $2,714,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 95,180 | $2,712,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 23,733 | $2,708,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 397,998 | $2,706,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 271,917 | $2,703,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 110,039 | $2,702,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 56,551 | $2,700,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 1,290,000 | $2,694,000 | thousands by filing date | principal |
| Vaneck Long Muni ETF | 92189F536 | ETF | 134,804 | $2,692,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 118,882 | $2,688,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 34,277 | $2,687,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 84,984 | $2,687,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 53,036 | $2,675,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 246,515 | $2,674,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 72,102 | $2,672,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 80,298 | $2,667,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 61,242 | $2,665,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 99,616 | $2,665,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 80,446 | $2,661,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 41,030 | $2,659,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 167,821 | $2,658,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 52,483 | $2,655,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 67,206 | $2,654,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 47,368 | $2,653,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 337,608 | $2,650,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 62,251 | $2,649,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 69,053 | $2,646,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 55,610 | $2,645,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 67,412 | $2,645,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 37,364 | $2,639,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 83,759 | $2,638,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 389,083 | $2,638,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 78,323 | $2,637,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,441,000 | $2,634,000 | thousands by filing date | principal |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 63,864 | $2,626,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 29,737 | $2,624,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,337,079 | $2,621,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 107,125 | $2,620,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 165,943 | $2,618,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 86,338 | $2,615,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 73,860 | $2,611,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 56,499 | $2,607,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 119,111 | $2,605,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 320,918 | $2,603,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 30,199 | $2,602,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 390,797 | $2,599,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 189,136 | $2,597,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 73,619 | $2,594,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 411,000 | $2,581,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 15,485 | $2,581,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 177,532 | $2,574,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 66,177 | $2,570,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 299,562 | $2,567,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 79,514 | $2,566,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 192,062 | $2,563,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 74,961 | $2,560,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 34,908 | $2,559,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 2,288,000 | $2,553,000 | thousands by filing date | principal |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 220,501 | $2,551,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 485,885 | $2,541,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 155,872 | $2,536,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 76,907 | $2,534,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 31,545 | $2,533,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 44,365 | $2,533,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 99,543 | $2,533,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 98,747 | $2,532,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 26,170 | $2,531,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 46,793 | $2,529,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 226,837 | $2,522,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 111,940 | $2,509,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 113,982 | $2,508,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 558,279 | $2,507,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 46,069 | $2,506,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,866,589 | $2,506,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 143,232 | $2,505,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 86,496 | $2,503,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 85,053 | $2,496,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 46,844 | $2,494,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 38,393 | $2,487,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 538,600 | $2,486,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 200,000 | $2,485,000 | thousands by filing date | call |
| EASTERN CO | 276317104 | COM | 86,425 | $2,481,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 56,013 | $2,478,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 41,102 | $2,478,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 2,515,000 | $2,478,000 | thousands by filing date | principal |
| LANTHEUS HLDGS INC | 516544103 | COM | 138,994 | $2,474,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 113,748 | $2,474,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 91,429 | $2,468,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 51,114 | $2,465,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 47,034 | $2,461,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 41,872 | $2,460,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 59,735 | $2,460,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 119,978 | $2,456,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 161,065 | $2,454,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 137,467 | $2,447,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 33,899 | $2,440,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 23,888 | $2,432,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 67,717 | $2,426,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 466,524 | $2,426,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 41,349 | $2,420,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 284,420 | $2,418,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 67,196 | $2,418,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 91,580 | $2,415,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 90,580 | $2,410,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 2,404,000 | $2,407,000 | thousands by filing date | principal |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 51,884 | $2,402,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 248,017 | $2,399,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 74,578 | $2,385,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 166,145 | $2,381,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 74,332 | $2,373,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 515,270 | $2,370,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 32,534 | $2,357,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 156,484 | $2,357,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 139,246 | $2,357,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 149,208 | $2,356,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 136,520 | $2,355,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 61,281 | $2,348,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 15,947 | $2,346,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 114,126 | $2,345,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 61,708 | $2,343,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 42,408 | $2,343,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 103,228 | $2,341,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 151,554 | $2,337,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 112,796 | $2,328,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 56,307 | $2,326,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 115,717 | $2,325,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 388,703 | $2,320,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 96,666 | $2,320,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 35,346 | $2,316,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 524,747 | $2,314,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 37,586 | $2,310,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 31,839 | $2,297,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 476,000 | $2,295,000 | thousands by filing date | call |
| ALERE INC | 01449J105 | COM | 45,038 | $2,295,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 203,006 | $2,284,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 136,331 | $2,283,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 130,871 | $2,281,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 192,237 | $2,274,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 188,803 | $2,267,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 56,457 | $2,263,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 245,992 | $2,261,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 46,829 | $2,259,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 126,142 | $2,257,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 90,529 | $2,254,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 61,329 | $2,252,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 39,696 | $2,252,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 38,485 | $2,252,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 118,462 | $2,252,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 367,365 | $2,252,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 167,914 | $2,249,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 77,129 | $2,247,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 87,299 | $2,247,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 172,716 | $2,243,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 60,221 | $2,240,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 91,918 | $2,240,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 436,497 | $2,239,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 429,345 | $2,237,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 69,608 | $2,237,000 | thousands by filing date | |
| SCHNEIDER NATIONAL INC | 80689H102 | CL B | 88,383 | $2,236,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 149,664 | $2,236,000 | thousands by filing date | |
| PARKWAY INC COM | 70156Q107 | Stock | 97,040 | $2,235,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 62,941 | $2,234,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 90,040 | $2,234,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 213,674 | $2,229,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 16,909 | $2,227,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 88,825 | $2,225,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 174,802 | $2,222,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 145,900 | $2,220,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 59,872 | $2,214,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 3,191,500 | $2,213,000 | thousands by filing date | call |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 48,627 | $2,211,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 68,884 | $2,211,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 128,659 | $2,207,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 89,417 | $2,206,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 2,470,000 | $2,206,000 | thousands by filing date | principal |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 123,870 | $2,199,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 157,481 | $2,199,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 54,859 | $2,197,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 26,142 | $2,193,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 76,091 | $2,187,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 99,535 | $2,181,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 184,640 | $2,181,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 247,814 | $2,181,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 71,695 | $2,180,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 101,250 | $2,176,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 106,641 | $2,175,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 103,344 | $2,174,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 108,184 | $2,172,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 69,973 | $2,172,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 19,388 | $2,171,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 253,807 | $2,171,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 27,985 | $2,168,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 119,626 | $2,165,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 130,521 | $2,163,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 3,692 | $2,160,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 60,511 | $2,154,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 112,529 | $2,149,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 1,605,000 | $2,149,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 84,555 | $2,145,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 148,508 | $2,145,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 42,655 | $2,144,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 99,729 | $2,143,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 316,598 | $2,140,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 63,941 | $2,139,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 41,599 | $2,137,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 73,099 | $2,134,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 40,416 | $2,133,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 194,246 | $2,129,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 80,466 | $2,123,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 26,309 | $2,119,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 252,450 | $2,119,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 99,503 | $2,117,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 82,826 | $2,117,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 172,897 | $2,117,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 104,504 | $2,115,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 126,471 | $2,115,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 40,224 | $2,111,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 27,820 | $2,108,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 195,230 | $2,108,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 130,374 | $2,106,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 188,828 | $2,105,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 525,150 | $2,101,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 45,108 | $2,098,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 125,442 | $2,093,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 30,828 | $2,091,000 | thousands by filing date | |
| MARRIOTT VACATIONS WRLDWDE C | 57164YAA5 | NOTE 1.500% 9/1 | 2,000,000 | $2,091,000 | thousands by filing date | principal |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,040,300 | $2,090,000 | thousands by filing date | call |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 110,772 | $2,087,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 34,376 | $2,084,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 83,936 | $2,081,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 118,153 | $2,077,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 35,850 | $2,075,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 142,264 | $2,072,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 120,275 | $2,063,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 124,524 | $2,061,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 77,629 | $2,059,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 104,917 | $2,056,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 154,026 | $2,056,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 1,660,000 | $2,056,000 | thousands by filing date | principal |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 47,042 | $2,053,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 88,257 | $2,052,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 138,169 | $2,051,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 38,256 | $2,049,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 34,103 | $2,047,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 35,206 | $2,038,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 19,134 | $2,037,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 35,320 | $2,032,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 230,988 | $2,030,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 17,713 | $2,029,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 17,386 | $2,023,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 81,048 | $2,020,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 85,357 | $2,019,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 95,070 | $2,017,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 66,090 | $2,012,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 1,366,000 | $2,006,000 | thousands by filing date | principal |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 33,829 | $2,006,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 27,254 | $2,004,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,977,200 | $2,002,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 182,767 | $1,998,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 36,894 | $1,997,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 19,636 | $1,992,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 79,977 | $1,992,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 164,253 | $1,989,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 45,084 | $1,989,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 92,500 | $1,986,000 | thousands by filing date | put |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 129,315 | $1,986,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 90,484 | $1,982,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 92,573 | $1,981,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 143,637 | $1,981,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 157,745 | $1,980,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 576,751 | $1,978,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 111,284 | $1,977,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 46,415 | $1,975,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 101,061 | $1,970,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 121,617 | $1,970,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 140,410 | $1,969,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 25,395 | $1,968,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 49,754 | $1,967,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 132,623 | $1,966,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 1,967,000 | $1,960,000 | thousands by filing date | principal |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 148,245 | $1,955,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 30,593 | $1,954,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 2,040,000 | $1,953,000 | thousands by filing date | principal |
| MATSON INC COM | 57686G105 | Stock | 68,821 | $1,939,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 74,264 | $1,936,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 76,620 | $1,933,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 30,424 | $1,933,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 53,909 | $1,933,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 501,473 | $1,931,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 47,371 | $1,930,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 128,320 | $1,929,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 247,013 | $1,928,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 446,963 | $1,926,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 112,804 | $1,923,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 138,924 | $1,915,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 99,566 | $1,912,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 2,843 | $1,910,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 25,385 | $1,910,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 41,404 | $1,909,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 309,899 | $1,907,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 108,220 | $1,905,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 159,075 | $1,902,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 80,178 | $1,897,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 58,850 | $1,894,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 80,700 | $1,886,000 | thousands by filing date | call |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 6,500,000 | $1,885,000 | thousands by filing date | put |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 102,722 | $1,878,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 31,309 | $1,877,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 44,858 | $1,875,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 52,373 | $1,867,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 72,862 | $1,865,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 154,321 | $1,865,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 123,612 | $1,864,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 36,353 | $1,863,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 54,202 | $1,862,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 21,581 | $1,859,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 32,670 | $1,853,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 174,952 | $1,848,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 43,192 | $1,848,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 81,591 | $1,845,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 40,371 | $1,845,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 102,657 | $1,845,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 297,867 | $1,840,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 76,800 | $1,837,000 | thousands by filing date | call |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 252,482 | $1,836,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 53,370 | $1,836,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 83,505 | $1,832,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 120,067 | $1,832,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 88,787 | $1,830,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 211,905 | $1,830,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 111,279 | $1,827,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 193,140 | $1,822,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 86,330 | $1,821,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 29,546 | $1,820,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 16,936 | $1,818,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 127,201 | $1,815,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 42,876 | $1,810,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 174,891 | $1,810,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 230,474 | $1,809,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 128,135 | $1,805,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 45,416 | $1,798,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 81,322 | $1,797,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 85,529 | $1,796,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 50,467 | $1,790,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 80,961 | $1,780,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 42,316 | $1,780,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 168,314 | $1,776,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 26,780 | $1,773,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 148,355 | $1,773,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 110,569 | $1,768,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 17,336 | $1,766,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 13,554 | $1,760,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 119,282 | $1,760,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 71,259 | $1,759,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 178,367 | $1,758,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 89,188 | $1,754,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 172,327 | $1,752,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 304,373 | $1,751,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 32,495 | $1,745,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 82,643 | $1,743,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 127,836 | $1,740,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 1,073,500 | $1,735,000 | thousands by filing date | put |
| SCANSOURCE INC | 806037107 | COM | 39,688 | $1,733,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 163,422 | $1,731,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 64,964 | $1,728,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 102,814 | $1,723,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 64,304 | $1,720,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 38,943 | $1,719,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 259,797 | $1,717,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 36,468 | $1,717,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 80,544 | $1,716,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 104,335 | $1,715,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 65,705 | $1,714,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 40,470 | $1,713,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 128,063 | $1,712,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 38,975 | $1,710,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 152,726 | $1,708,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 58,314 | $1,701,000 | thousands by filing date | |
| TAL ED GROUP | 874080AB0 | NOTE 2.500 5/1 | 220,000 | $1,698,000 | thousands by filing date | principal |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 26,881 | $1,696,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 33,552 | $1,695,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 235,061 | $1,695,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 77,050 | $1,693,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 34,366 | $1,691,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 18,340 | $1,686,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 131,161 | $1,681,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 28,562 | $1,678,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 19,318 | $1,675,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 76,222 | $1,672,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 69,770 | $1,672,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 211,711 | $1,670,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 166,561 | $1,669,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 156,806 | $1,666,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 18,028 | $1,661,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1,756,700 | $1,660,000 | thousands by filing date | put |
| ZYNGA INC. | 98986T108 | CL A | 437,631 | $1,655,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 32,581 | $1,651,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 315,403 | $1,650,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 236,922 | $1,649,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 175,838 | $1,645,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 144,800 | $1,644,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 117,578 | $1,641,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 32,521 | $1,640,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 341,454 | $1,639,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 43,278 | $1,636,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 211,442 | $1,632,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 362 | $1,630,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 69,179 | $1,627,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 115,307 | $1,626,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 79,656 | $1,624,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 25,000 | $1,622,000 | thousands by filing date | call |
| RAVEN INDS INC COM | 754212108 | Stock | 49,965 | $1,619,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 111,684 | $1,618,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 43,244 | $1,614,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 256,975 | $1,604,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 51,476 | $1,604,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 41,655 | $1,604,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 15,859 | $1,603,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 50,963 | $1,599,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 1,670,000 | $1,597,000 | thousands by filing date | principal |
| UNIT CORP | 909218109 | COM | 77,514 | $1,595,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 25,954 | $1,592,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 70,478 | $1,590,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 28,356 | $1,589,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 86,869 | $1,589,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 260,552 | $1,587,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 364,703 | $1,586,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 78,065 | $1,584,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 119,784 | $1,580,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 73,823 | $1,580,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 64,666 | $1,574,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 26,044 | $1,572,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 56,131 | $1,572,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 108,021 | $1,571,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 109,570 | $1,569,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 98,908 | $1,568,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 131,107 | $1,567,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 49,940 | $1,558,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 1,499,000 | $1,558,000 | thousands by filing date | principal |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 44,598 | $1,557,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 160,338 | $1,555,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 42,629 | $1,554,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 12,524 | $1,553,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 78,979 | $1,553,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M126 | GUGGENHEM 2026 | 78,327 | $1,549,000 | 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 |