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 |
|---|---|---|---|---|---|---|
| VSE CORP COM | 918284100 | Stock | 14,078 | $799,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 10,763 | $799,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 12,555 | $797,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 54,530 | $796,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 247,235 | $796,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 61,551 | $795,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 73,819 | $795,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 17,715 | $793,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 592,124 | $793,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 150,000 | $792,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 90,979 | $792,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 36,769 | $790,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 75,962 | $789,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 617,000 | $788,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 31,635 | $787,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 74,164 | $787,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 70,831 | $787,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 40,828 | $786,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 95,800 | $784,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 352,800 | $783,000 | thousands by filing date | call |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 12,509 | $783,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 102,909 | $783,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 80,604 | $782,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 646,800 | $782,000 | thousands by filing date | put |
| OWENS RLTY MTG INC | 690828108 | COM | 43,002 | $782,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 148,531 | $781,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 37,227 | $779,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 16,278 | $778,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 58,310 | $778,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 48,300 | $777,000 | thousands by filing date | call |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 34,165 | $777,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 14,347 | $776,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 72,854 | $776,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 26,871 | $773,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 53,248 | $773,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 49,952 | $772,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 27,858 | $771,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 281,300 | $767,000 | thousands by filing date | put |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 61,750 | $767,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 41,567 | $767,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 53,696 | $765,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 117,363 | $764,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 79,995 | $761,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 21,945 | $761,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 35,122 | $758,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 262,863 | $757,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 32,362 | $756,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 11,216 | $755,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 24,484 | $754,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 29,581 | $754,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 25,273 | $753,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 40,186 | $753,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 22,575 | $751,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 52,259 | $751,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 32,762 | $750,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 61,444 | $750,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 30,857 | $745,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 33,750 | $744,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 24,971 | $743,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 21,504 | $742,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 27,738 | $741,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 419,012 | $741,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 50,000 | $737,000 | thousands by filing date | call |
| PEOPLES BANCORP INC | 709789101 | COM | 21,954 | $737,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 78,621 | $737,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 113,100 | $736,000 | thousands by filing date | put |
| BRIDGE BANCORP INC | 108035106 | COM | 21,674 | $736,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 47,100 | $734,000 | thousands by filing date | call |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 299,808 | $734,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 50,523 | $733,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 44,223 | $732,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 33,590 | $731,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 14,519 | $728,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 14,107 | $727,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 25,892 | $726,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 23,401 | $726,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 18,047 | $724,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 17,647 | $721,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 41,061 | $721,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 140,525 | $719,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 29,438 | $719,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 26,878 | $718,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 47,998 | $717,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 20,056 | $715,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 97,808 | $715,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 85,054 | $714,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 93,832 | $714,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 39,575 | $713,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 46,353 | $712,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 30,568 | $712,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 14,005 | $710,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 46,679 | $709,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 93,245 | $708,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 25,331 | $707,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 50,635 | $706,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 48,335 | $704,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 29,971 | $703,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 31,967 | $703,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 143,610 | $702,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 14,977 | $700,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 50,300 | $699,000 | thousands by filing date | put |
| Delek Logistics Partners LP | 24664T103 | Com | 22,364 | $699,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 370,662 | $697,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 36,131 | $696,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 56,991 | $696,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 41,203 | $695,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 36,473 | $695,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 563,000 | $693,000 | thousands by filing date | principal |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 41,100 | $693,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 35,910 | $691,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 387,000 | $691,000 | thousands by filing date | principal |
| NEWMONT CORP | 651639106 | COM | 225,000 | $689,000 | thousands by filing date | call |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 30,695 | $689,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 52,921 | $686,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 13,033 | $686,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 12,597 | $685,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 26,000 | $684,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 17,017 | $684,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 90,381 | $683,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 599,000 | $683,000 | thousands by filing date | principal |
| HURON CONSULTING GROUP INC | 447462102 | COM | 19,847 | $681,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 60,560 | $681,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 35,831 | $680,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 45,106 | $678,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 71,287 | $677,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 28,515 | $675,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 26,239 | $674,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 10,414 | $674,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 62,836 | $673,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 42,705 | $673,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 34,646 | $670,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 185,364 | $669,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 27,769 | $668,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 22,670 | $668,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 36,978 | $667,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 4,960 | $665,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 52,372 | $664,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 32,276 | $663,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 27,097 | $661,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 27,857 | $660,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 61,763 | $660,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 14,445 | $658,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 71,038 | $657,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 103,680 | $657,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 266,300 | $655,000 | thousands by filing date | call |
| ENTEGRA FINL CORP | 29363J108 | COM | 26,279 | $655,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 475,000 | $655,000 | thousands by filing date | principal |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 37,587 | $654,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 4,371 | $653,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 46,824 | $652,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 20,048 | $651,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 38,720 | $651,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 54,152 | $650,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 310,000 | $650,000 | thousands by filing date | principal |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 20,122 | $649,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 252,900 | $648,000 | thousands by filing date | put |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 9,758 | $648,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 73,014 | $646,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 16,125 | $644,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 13,029 | $644,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 48,955 | $643,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 12,648 | $642,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 54,141 | $642,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 47,373 | $642,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 57,622 | $640,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 1,550,000 | $639,000 | thousands by filing date | put |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 32,463 | $639,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 219,676 | $638,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 30,526 | $638,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 98,022 | $637,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 16,678 | $635,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 280,300 | $634,000 | thousands by filing date | put |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 39,823 | $633,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 18,075 | $633,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 37,879 | $631,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 53,721 | $629,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 92,975 | $628,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 385,188 | $628,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 60,698 | $628,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 592,700 | $627,000 | thousands by filing date | put |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 48,602 | $626,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 121,887 | $625,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 23,182 | $625,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 273,130 | $625,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 21,113 | $624,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 620,000 | $624,000 | thousands by filing date | principal |
| EHEALTH INC | 28238P109 | COM | 26,103 | $623,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 694,000 | $623,000 | thousands by filing date | principal |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 20,489 | $622,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 11,500 | $622,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 73,912 | $621,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 121,661 | $621,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 55,139 | $618,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 90,052 | $616,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 42,124 | $615,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 492,191 | $615,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 477,893 | $614,000 | thousands by filing date | put |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 42,475 | $613,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 50,428 | $611,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 146,700 | $610,000 | thousands by filing date | call |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 25,971 | $610,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 50,400 | $608,000 | thousands by filing date | put |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 29,778 | $608,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 52,551 | $607,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 106,498 | $607,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 246,700 | $604,000 | thousands by filing date | put |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 15,481 | $602,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 51,227 | $602,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 61,122 | $602,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 17,818 | $601,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 35,218 | $600,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 85,997 | $599,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 35,708 | $598,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 32,108 | $597,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 92,344 | $595,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 62,377 | $593,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 17,056 | $593,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 53,673 | $593,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 19,341 | $591,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 22,522 | $589,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 11,215 | $588,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 82,816 | $588,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 396 | $586,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 16,432 | $586,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 60,993 | $585,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 3,897 | $585,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 83,400 | $584,000 | thousands by filing date | put |
| MOVADO GROUP INC COM | 624580106 | Stock | 20,840 | $583,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 35,842 | $583,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 22,474 | $582,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 23,825 | $581,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 193,000 | $580,000 | thousands by filing date | put |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 26,586 | $580,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 218,200 | $579,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,501 | $578,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 132,000 | $575,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 34,659 | $572,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 102,513 | $569,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 17,216 | $569,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 10,816 | $567,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 48,078 | $567,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 207,684 | $566,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 15,834 | $566,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 206,300 | $565,000 | thousands by filing date | call |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 80,600 | $565,000 | thousands by filing date | call |
| GLOBANT S A | L44385109 | COM | 14,079 | $564,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 256,907 | $563,000 | thousands by filing date | put |
| J JILL INC | 46620W102 | COM | 51,591 | $563,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 57,754 | $562,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 76,344 | $562,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 36,770 | $562,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 237,500 | $561,000 | thousands by filing date | put |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 11,787 | $561,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 42,619 | $561,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 24,432 | $560,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 130,000 | $557,000 | thousands by filing date | put |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 51,020 | $556,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 96,000 | $555,000 | thousands by filing date | call |
| Rithm Property Trust Inc | 38983D300 | REIT | 39,370 | $555,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 16,115 | $554,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 20,131 | $554,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 24,987 | $553,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 6,638 | $550,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 37,540 | $549,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 21,805 | $549,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 28,400 | $549,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 59,142 | $548,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 34,756 | $548,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 46,135 | $547,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 28,491 | $547,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 336,234 | $545,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 47,273 | $544,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 51,970 | $544,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 542,000 | $544,000 | thousands by filing date | principal |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 576,800 | $543,000 | thousands by filing date | put |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 31,339 | $542,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 49,805 | $542,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 170,400 | $541,000 | thousands by filing date | call |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 40,880 | $541,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 212,175 | $540,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 37,619 | $539,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 200,000 | $537,000 | thousands by filing date | put |
| FLOTEK INDS INC DEL | 343389102 | COM | 114,691 | $533,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 144,001 | $533,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 13,662 | $532,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 90,000 | $531,000 | thousands by filing date | call |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 33,742 | $531,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 33,213 | $530,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 119,736 | $529,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 132,634 | $528,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 10,147 | $527,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 33,815 | $526,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 13,692 | $524,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 33,759 | $523,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 1,703,400 | $523,000 | thousands by filing date | call |
| TRECORA RES | 894648104 | COM | 39,319 | $523,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 660,800 | $522,000 | thousands by filing date | put |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 18,957 | $522,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 37,259 | $522,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 32,350 | $521,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 45,800 | $520,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 51,310 | $520,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 142,889 | $520,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 13,576 | $519,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 50,988 | $518,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 190,500 | $517,000 | thousands by filing date | call |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 49,371 | $517,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 92,012 | $517,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 283,700 | $516,000 | thousands by filing date | call |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 35,230 | $515,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 144,800 | $515,000 | thousands by filing date | call |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 13,345 | $515,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 286,900 | $514,000 | thousands by filing date | call |
| MIMECAST LIMITED | G14838109 | ORD SHS | 18,088 | $514,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 27,714 | $513,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 84,787 | $512,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 18,188 | $512,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 126,786 | $512,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 22,954 | $511,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 53,494 | $510,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 446,831 | $509,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 23,684 | $509,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 100,783 | $509,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 67,693 | $508,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 13,456 | $508,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 16,453 | $508,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 96,671 | $507,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 17,392 | $506,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 15,458 | $506,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 193,651 | $505,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 53,979 | $505,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 19,509 | $504,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 480,000 | $504,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 1,051,800 | $501,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 690370101 | COM | 16,873 | $501,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 11,021 | $501,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 297,000 | $501,000 | thousands by filing date | principal |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 32,767 | $499,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 68,404 | $498,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 10,000 | $497,000 | thousands by filing date | call |
| COMMUNITY USD0.01 | 20369C106 | COM | 18,426 | $497,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 68,338 | $497,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,270 | $496,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 9,994 | $495,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 110,900 | $495,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 581,000 | $495,000 | thousands by filing date | principal |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 20,500 | $494,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 48,442 | $494,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 41,640 | $493,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 18,204 | $491,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 198,069 | $491,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 6,839 | $491,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 17,961 | $490,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 35,142 | $490,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 35,147 | $489,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 10,759 | $489,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 10,308 | $488,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 198,100 | $486,000 | thousands by filing date | call |
| CELLECTIS ADS | 15117K103 | COM | 16,983 | $483,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 29,303 | $482,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 268,000 | $481,000 | thousands by filing date | put |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 15,500 | $480,000 | thousands by filing date | put |
| PLY GEM HLDGS INC | 72941W100 | COM | 28,134 | $480,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 46,247 | $479,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 53,814 | $479,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 30,680 | $478,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 41,455 | $477,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 96,303 | $477,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 45,254 | $475,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 46,544 | $475,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 76,250 | $473,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 15,454 | $472,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 20,700 | $470,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 9,797 | $468,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 17,103 | $468,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 85,530 | $467,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642403 | COM PAR | 16,078 | $467,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 263,124 | $466,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 75,001 | $463,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 19,622 | $463,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 8,467 | $463,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 21,995 | $463,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 43,520 | $461,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 30,367 | $460,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 105,505 | $460,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 26,093 | $460,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 28,419 | $459,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 107,024 | $459,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 32,155 | $459,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 6,748 | $458,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 47,331 | $456,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 97,043 | $456,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 30,227 | $455,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 84,169 | $455,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 49,593 | $454,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 44,027 | $454,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 185,138 | $454,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 44,576 | $454,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 5,563 | $451,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 14,889 | $451,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $450,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,561 | $449,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 54,849 | $449,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 22,617 | $449,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 7,376 | $449,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 13,670 | $449,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 28,575 | $448,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 886,000 | $445,000 | thousands by filing date | put |
| BIOSCRIP INC | 09069N108 | COM | 161,814 | $445,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 46,827 | $445,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 332,300 | $444,000 | thousands by filing date | put |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 17,378 | $444,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 21,019 | $444,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 17,261 | $444,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 106,188 | $444,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 2,360 | $443,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 23,626 | $443,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 10,664 | $440,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 10,766 | $439,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,600 | $439,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 6,258 | $439,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 48,995 | $438,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 52,889 | $434,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 18,285 | $433,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 12,873 | $432,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 15,074 | $432,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 11,753 | $432,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 14,979 | $431,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 20,918 | $428,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 22,172 | $427,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 50,000 | $427,000 | thousands by filing date | put |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,034 | $423,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 13,532 | $422,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 33,989 | $422,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 16,825 | $422,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,592 | $421,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 19,997 | $419,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 23,224 | $416,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 35,366 | $416,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 24,216 | $415,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 16,717 | $415,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,760 | $415,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 20,788 | $415,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 290,207 | $414,000 | thousands by filing date | call |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 26,446 | $414,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 20,216 | $413,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 4,811 | $413,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 30,983 | $412,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 26,162 | $412,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 109,665 | $412,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 246,543 | $411,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,063 | $411,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 21,762 | $410,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 43,128 | $409,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 565,500 | $408,000 | thousands by filing date | put |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 16,728 | $408,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 16,582 | $408,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 14,917 | $408,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 13,188 | $407,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 22,009 | $406,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 109,067 | $405,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 43,600 | $404,000 | thousands by filing date | call |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 7,645 | $404,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 31,728 | $404,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 117,498 | $404,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 23,872 | $404,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 14,414 | $404,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 939,300 | $403,000 | thousands by filing date | call |
| QAD INC-A | 74727D306 | CL A | 11,704 | $403,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 39,386 | $402,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 32,664 | $402,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 16,384 | $402,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 85,000 | $401,000 | thousands by filing date | call |
| AMERICAS CAR-MART INC | 03062T105 | COM | 9,725 | $400,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 32,675 | $399,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 36,431 | $399,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 12,864 | $399,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 25,402 | $398,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 91,411 | $397,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 9,597 | $396,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 113,196 | $396,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 164,205 | $395,000 | thousands by filing date | put |
| OKTAINCCLASSA | 679295105 | STOK | 14,013 | $395,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 24,255 | $395,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 19,527 | $394,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 30,504 | $393,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 237,800 | $393,000 | thousands by filing date | call |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 113,700 | $393,000 | thousands by filing date | call |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 15,181 | $393,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 28,839 | $393,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 24,470 | $391,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 92,994 | $391,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 7,299 | $389,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 46,786 | $389,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 29,088 | $389,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 54,718 | $389,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 35,603 | $388,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 10,703 | $388,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 21,382 | $388,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 33,722 | $388,000 | 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 |