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 |
|---|---|---|---|---|---|---|
| Schlumberger Limited | 806857108 | COM | 367,500 | $1,545,000 | thousands by filing date | put |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 25,241 | $1,542,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 64,119 | $1,541,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 66,119 | $1,541,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 53,773 | $1,540,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 33,226 | $1,539,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 48,743 | $1,537,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 208,816 | $1,537,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 51,347 | $1,536,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 109,228 | $1,534,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 192,567 | $1,533,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 17,095 | $1,532,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 237,847 | $1,531,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 157,670 | $1,530,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 104,168 | $1,530,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 43,283 | $1,530,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 54,963 | $1,530,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 33,906 | $1,529,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 218,966 | $1,528,000 | thousands by filing date | put |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 230,520 | $1,526,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 37,179 | $1,526,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 145,000 | $1,523,000 | thousands by filing date | put |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 116,963 | $1,521,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 49,960 | $1,521,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 63,769 | $1,520,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 99,892 | $1,519,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 23,224 | $1,519,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 61,266 | $1,519,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 31,226 | $1,515,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 63,546 | $1,511,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 127,157 | $1,507,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 39,023 | $1,505,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 90,819 | $1,504,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 11,981 | $1,503,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 43,364 | $1,502,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 66,896 | $1,502,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 34,290 | $1,501,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 60,796 | $1,498,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 114,678 | $1,497,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 55,328 | $1,494,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 185,581 | $1,494,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 129,285 | $1,492,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 884,000 | $1,492,000 | thousands by filing date | principal |
| SUSSEX BANCORP | 869245100 | COMMON | 62,615 | $1,484,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 64,114 | $1,482,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 109,652 | $1,480,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 58,575 | $1,479,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 71,361 | $1,478,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 111,421 | $1,477,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 30,300 | $1,476,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 128,656 | $1,476,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 172,449 | $1,476,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 1,523,000 | $1,475,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 1,325,000 | $1,475,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 26,079 | $1,473,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 85,388 | $1,473,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 44,473 | $1,465,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 45,217 | $1,464,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 124,428 | $1,463,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 57,819 | $1,462,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 27,825 | $1,461,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 58,674 | $1,461,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 45,059 | $1,455,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 162,558 | $1,452,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 73,882 | $1,452,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 128,221 | $1,451,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 23,312 | $1,449,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 51,290 | $1,446,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 24,344 | $1,445,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 35,735 | $1,445,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 60,845 | $1,444,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 6,671 | $1,439,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 164,382 | $1,437,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 65,273 | $1,437,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 49,542 | $1,435,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 181,889 | $1,435,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 46,128 | $1,434,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 66,728 | $1,434,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 85,419 | $1,434,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 142,614 | $1,433,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 40,288 | $1,431,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 52,995 | $1,431,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 48,338 | $1,429,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 47,796 | $1,423,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 31,734 | $1,421,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 107,764 | $1,418,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 108,273 | $1,411,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 150,110 | $1,410,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 52,518 | $1,407,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 17,671 | $1,400,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 57,961 | $1,397,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 49,342 | $1,391,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 83,821 | $1,391,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 123,676 | $1,389,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 144,669 | $1,389,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 78,025 | $1,388,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 68,636 | $1,386,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 112,721 | $1,385,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 51,472 | $1,385,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 81,278 | $1,383,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 155,456 | $1,383,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 102,776 | $1,379,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 104,954 | $1,377,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 57,373 | $1,377,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 96,428 | $1,376,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 95,941 | $1,370,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 64,059 | $1,369,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 53,571 | $1,366,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 35,374 | $1,365,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 89,788 | $1,363,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 78,161 | $1,362,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 23,777 | $1,361,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 52,282 | $1,359,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 101,158 | $1,358,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 54,043 | $1,355,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 38,286 | $1,355,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 70,000 | $1,354,000 | thousands by filing date | call |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 128,451 | $1,353,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 20,582 | $1,353,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 150,459 | $1,353,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 23,807 | $1,351,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 69,387 | $1,350,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 39,894 | $1,348,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 63,648 | $1,347,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 54,482 | $1,346,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 42,881 | $1,346,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 1,237,000 | $1,345,000 | thousands by filing date | principal |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 218,173 | $1,340,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 35,807 | $1,339,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 97,702 | $1,338,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 114,946 | $1,338,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 48,133 | $1,337,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 11,436 | $1,333,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 15,301 | $1,332,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 26,236 | $1,330,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 47,253 | $1,330,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 198,308 | $1,327,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 62,097 | $1,324,000 | thousands by filing date | |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 38,689 | $1,322,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 168,296 | $1,320,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 175,547 | $1,316,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 476,171 | $1,314,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 66,058 | $1,312,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 105,233 | $1,312,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 27,749 | $1,311,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 26,898 | $1,308,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 66,231 | $1,303,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 81,314 | $1,301,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 91,019 | $1,297,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 25,531 | $1,296,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 36,076 | $1,295,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 125,384 | $1,292,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 60,448 | $1,289,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 75,484 | $1,288,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 50,520 | $1,288,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 49,524 | $1,288,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 83,338 | $1,287,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 90,239 | $1,287,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 25,321 | $1,285,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 21,506 | $1,283,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 77,060 | $1,283,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 33,899 | $1,281,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 28,874 | $1,279,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 40,745 | $1,278,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 36,155 | $1,276,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 42,866 | $1,274,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 33,506 | $1,273,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 53,151 | $1,270,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 87,171 | $1,268,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 1,336,000 | $1,265,000 | thousands by filing date | principal |
| RAMBUS INC DEL COM | 750917106 | Stock | 94,572 | $1,262,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 50,889 | $1,259,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 30,861 | $1,259,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 55,684 | $1,257,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 101,374 | $1,256,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 39,980 | $1,254,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 10,686 | $1,253,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 29,302 | $1,252,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 129,042 | $1,250,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 136,616 | $1,250,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 48,027 | $1,249,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 13,258 | $1,249,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 58,526 | $1,247,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 40,438 | $1,247,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 92,341 | $1,247,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 21,762 | $1,246,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 143,057 | $1,245,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 61,679 | $1,243,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 57,334 | $1,241,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 74,394 | $1,239,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 80,673 | $1,238,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 125,436 | $1,235,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 33,179 | $1,234,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 92,567 | $1,234,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 32,562 | $1,233,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 41,469 | $1,232,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 26,729 | $1,232,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 31,773 | $1,232,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 68,837 | $1,231,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 68,354 | $1,228,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 95,486 | $1,228,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 145,384 | $1,228,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 89,090 | $1,227,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 91,224 | $1,227,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 78,346 | $1,227,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 89,853 | $1,227,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 38,721 | $1,224,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 55,953 | $1,223,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 23,712 | $1,222,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 142,000 | $1,219,000 | thousands by filing date | put |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 120,754 | $1,213,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 106,900 | $1,213,000 | thousands by filing date | call |
| LIVEPERSON, INC. | 538146101 | COM | 89,325 | $1,210,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 80,094 | $1,209,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 185,900 | $1,208,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 70,129 | $1,208,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 23,839 | $1,207,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 44,065 | $1,205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 29,264 | $1,205,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 58,564 | $1,203,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 54,962 | $1,203,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 85,116 | $1,202,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 30,567 | $1,201,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 32,901 | $1,199,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,041,000 | $1,199,000 | thousands by filing date | principal |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 312,900 | $1,196,000 | thousands by filing date | call |
| SPROTT FOCUS TR INC | 85208J109 | COM | 154,502 | $1,194,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 35,355 | $1,193,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 37,149 | $1,191,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 64,015 | $1,186,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 28,463 | $1,184,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 35,415 | $1,183,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 246,982 | $1,181,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 159,660 | $1,179,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 346,057 | $1,173,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 200,000 | $1,171,000 | thousands by filing date | put |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 48,223 | $1,170,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 10,859 | $1,169,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 13,354 | $1,165,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 47,336 | $1,164,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 21,540 | $1,162,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 24,665 | $1,162,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 41,866 | $1,160,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 51,683 | $1,156,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 34,068 | $1,155,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 117,810 | $1,153,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 217,820 | $1,153,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 20,906 | $1,150,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 53,474 | $1,149,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 61,398 | $1,143,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 27,093 | $1,141,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 67,121 | $1,141,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 77,545 | $1,140,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 31,624 | $1,139,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 57,715 | $1,134,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 24,521 | $1,131,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 32,693 | $1,129,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 20,635 | $1,123,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 19,980 | $1,119,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 820,000 | $1,118,000 | thousands by filing date | put |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 44,025 | $1,113,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 53,198 | $1,110,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 484,000 | $1,110,000 | thousands by filing date | principal |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 28,438 | $1,109,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 111,570 | $1,109,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 40,206 | $1,107,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 49,314 | $1,107,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 116,992 | $1,107,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 61,981 | $1,105,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 60,739 | $1,104,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 134,175 | $1,104,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 161,793 | $1,101,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 62,532 | $1,100,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 18,193 | $1,099,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 35,372 | $1,099,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 119,247 | $1,098,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,098,518 | $1,097,000 | thousands by filing date | put |
| ALEXANDERS INC COM | 014752109 | REIT | 2,586 | $1,096,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 28,464 | $1,094,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 25,542 | $1,093,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 34,504 | $1,093,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 77,420 | $1,092,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 71,010 | $1,092,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 30,076 | $1,090,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 45,376 | $1,089,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 31,756 | $1,088,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 47,904 | $1,087,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 54,999 | $1,087,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 187,382 | $1,085,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 26,306 | $1,084,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 41,958 | $1,084,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 45,900 | $1,081,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 118,085 | $1,081,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 41,804 | $1,079,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 247,900 | $1,079,000 | thousands by filing date | call |
| TICC CAPITAL CORP | 87244T109 | COM | 157,674 | $1,079,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 178,031 | $1,077,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 10,363 | $1,077,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 326,400 | $1,076,000 | thousands by filing date | call |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 61,936 | $1,074,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 73,886 | $1,070,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 16,674 | $1,069,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 72,757 | $1,069,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 365,900 | $1,068,000 | thousands by filing date | call |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 173,658 | $1,068,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 1,100,000 | $1,068,000 | thousands by filing date | principal |
| NEWMONT CORP | 651639106 | COM | 857,700 | $1,067,000 | thousands by filing date | put |
| ISHARES TR | 464288430 | ASIA 50 ETF | 17,285 | $1,061,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 52,993 | $1,061,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 65,050 | $1,061,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 74,193 | $1,061,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 157,632 | $1,059,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 963,317 | $1,059,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 40,017 | $1,057,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 113,228 | $1,057,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 76,309 | $1,054,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 414,745 | $1,053,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 19,440 | $1,050,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 75,448 | $1,049,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 45,684 | $1,048,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 136,788 | $1,047,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 45,487 | $1,046,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 43,435 | $1,046,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 8,999 | $1,045,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 21,228 | $1,045,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 61,953 | $1,045,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 121,626 | $1,041,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 35,850 | $1,040,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 15,527 | $1,040,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 55,775 | $1,040,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 76,188 | $1,040,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 986,000 | $1,037,000 | thousands by filing date | principal |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 78,326 | $1,035,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 85,817 | $1,034,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 38,572 | $1,033,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 45,395 | $1,032,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 68,882 | $1,031,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 70,054 | $1,024,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 47,205 | $1,024,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 27,057 | $1,023,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 37,621 | $1,023,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 84,893 | $1,022,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 69,311 | $1,020,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 30,475 | $1,019,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 23,374 | $1,017,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 131,146 | $1,016,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 50,651 | $1,013,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 20,233 | $1,012,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 26,531 | $1,009,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 77,063 | $1,008,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 30,860 | $1,006,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 180,982 | $1,005,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 9,021 | $1,005,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 79,992 | $1,004,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 50,737 | $1,004,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 15,881 | $1,002,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 944,000 | $1,001,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 65,331 | $1,000,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 877,000 | $1,000,000 | thousands by filing date | principal |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 75,154 | $997,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 89,392 | $995,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 38,578 | $991,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 63,995 | $989,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 101,716 | $988,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 185,923 | $987,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 125,645 | $986,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 72,740 | $985,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 38,582 | $984,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 13,627 | $982,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 51,692 | $980,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 104,293 | $979,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 68,693 | $979,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 37,773 | $978,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 51,904 | $978,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 72,336 | $976,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 50,649 | $975,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 30,017 | $972,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 104,000 | $971,000 | thousands by filing date | call |
| COMMERCEHUB INC | 20084V306 | COM SER C | 45,507 | $971,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 67,242 | $969,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 1,010,000 | $967,000 | thousands by filing date | principal |
| FATE THERAPEUTICS INC | 31189P102 | COM | 243,754 | $965,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 35,584 | $964,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 50,993 | $958,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 20,587 | $957,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 54,435 | $955,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 16,875 | $953,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 68,958 | $953,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 106,818 | $952,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 980,000 | $952,000 | thousands by filing date | principal |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 61,269 | $949,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 13,839 | $948,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 68,019 | $947,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 24,802 | $946,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 33,435 | $945,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 10,272 | $945,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 18,857 | $942,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 20,314 | $941,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 51,002 | $941,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 65,880 | $940,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 118,144 | $938,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 56,333 | $934,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 69,836 | $933,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 62,379 | $931,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 45,772 | $931,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 1,354,000 | $930,000 | thousands by filing date | principal |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 10,380 | $929,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 80,615 | $923,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 2,632 | $920,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 84,562 | $919,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 30,450 | $917,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 45,121 | $913,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 120,685 | $913,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 66,967 | $912,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 55,151 | $912,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 42,144 | $911,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 77,220 | $911,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 700,000 | $911,000 | thousands by filing date | principal |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 19,921 | $907,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 12,082 | $907,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 61,623 | $905,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 100,000 | $904,000 | thousands by filing date | call |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 52,172 | $904,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 12,409 | $903,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 68,376 | $903,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 24,945 | $899,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 53,982 | $897,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 40,162 | $896,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 46,497 | $895,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 25,600 | $894,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 67,766 | $892,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 116,127 | $891,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 81,278 | $890,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 58,094 | $884,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 65,333 | $884,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 196,538 | $882,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 35,613 | $881,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 56,662 | $881,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 58,413 | $881,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 60,612 | $879,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 58,706 | $878,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 113,810 | $876,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 103,366 | $875,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 476,527 | $872,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 35,308 | $870,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 100,985 | $869,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 70,374 | $869,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 34,286 | $866,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 75,003 | $866,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 20,354 | $865,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 67,859 | $862,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 63,089 | $861,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 10,964 | $860,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 11,588 | $857,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 35,059 | $857,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 104,497 | $857,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 40,000 | $855,000 | thousands by filing date | call |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 18,197 | $852,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 33,585 | $852,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 70,803 | $852,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 20,559 | $851,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 62,451 | $851,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 48,856 | $850,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 11,072 | $846,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 66,928 | $846,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 23,031 | $845,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 63,700 | $844,000 | thousands by filing date | put |
| INSTEEL INDS INC | 45774W108 | COM | 32,337 | $844,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 37,947 | $843,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 41,542 | $843,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 218,247 | $841,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 33,356 | $839,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 49,515 | $839,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 34,564 | $838,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 27,547 | $834,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 24,979 | $830,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 596,500 | $825,000 | thousands by filing date | put |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 33,557 | $825,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,067,000 | $824,000 | thousands by filing date | principal |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 16,071 | $823,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 46,301 | $820,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 40,724 | $818,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 15,253 | $818,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 79,202 | $815,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 30,819 | $813,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 31,117 | $813,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 59,486 | $812,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 306,091 | $811,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 65,055 | $810,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 42,691 | $809,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 500,000 | $809,000 | thousands by filing date | call |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 28,419 | $807,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 11,928 | $807,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 22,637 | $806,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 63,637 | $806,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 23,479 | $801,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 103,528 | $801,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 37,328 | $801,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 69,603 | $800,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 1,000,000 | $800,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-17-000482 | this filing | 2017-11-09 | acceptance time not in the bulk data set |