13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-08, with 6,627 holding rows worth $346,098,411,000.
- Accession
- 0000072971-18-000242
- Filer
- CIK 72971
- Filed
- 2018-02-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 22,068 entries on the cover page, a total value of $346,098,411,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $346,098,411,000 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 Citigroup, Inc
- 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 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 |
|---|---|---|---|---|---|---|
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 36,000 | $184,000 | thousands by filing date | principal |
| UnitedHealth Group Inc | 91324P102 | COM | 50,000 | $183,000 | thousands by filing date | put |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 8,115 | $183,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 21,476 | $183,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 30,000 | $181,000 | thousands by filing date | call |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 23,574 | $181,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 22,500 | $180,000 | thousands by filing date | put |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 144,700 | $180,000 | thousands by filing date | put |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,088 | $180,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 207,300 | $180,000 | thousands by filing date | call |
| CUSHING RENAISSANCE FD | 231647108 | COM | 8,897 | $180,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 171,503 | $180,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 18,398 | $180,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 63,682 | $180,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 4,215 | $180,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 15,233 | $179,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 57,142 | $179,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 110,000 | $178,000 | thousands by filing date | principal |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 3,683 | $177,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 63,926 | $177,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 174,000 | $177,000 | thousands by filing date | principal |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 143,100 | $176,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 7,540 | $176,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 17,757 | $176,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 7,265 | $175,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 6,707 | $175,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 27,996 | $175,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 23,665 | $174,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 13,700 | $174,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 39,467 | $174,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,821 | $174,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 26,800 | $173,000 | thousands by filing date | call |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 35,374 | $173,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 2,539 | $172,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 73,374 | $172,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,215 | $172,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 29,876 | $172,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 5,349 | $172,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 144,162 | $172,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 73,550 | $171,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 66,971 | $171,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 26,806 | $171,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 46,514 | $171,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 9,102 | $170,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 11,368 | $170,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 15,228 | $170,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 404,600 | $169,000 | thousands by filing date | put |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 5,658 | $169,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,506 | $169,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 5,505 | $169,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,897 | $168,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 33,961 | $168,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 257,138 | $167,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,581 | $166,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 16,306 | $166,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 40,671 | $166,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 40,522 | $166,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 935 | $166,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 37,814 | $166,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 13,665 | $164,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 30,029 | $163,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 11,769 | $163,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 20,546 | $163,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 3,931 | $163,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 11,337 | $162,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 11,425 | $162,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 4,958 | $162,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 6,350 | $162,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 20,105 | $161,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 13,889 | $161,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 89,600 | $161,000 | thousands by filing date | put |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 8,784 | $161,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 10,577 | $160,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 5,671 | $160,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 130,000 | $159,000 | thousands by filing date | put |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 49,144 | $159,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 133,479 | $159,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 6,010 | $159,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 23,500 | $158,000 | thousands by filing date | put |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 11,835 | $158,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 46,548 | $158,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 22,340 | $158,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 6,574 | $158,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 86,000 | $158,000 | thousands by filing date | principal |
| RIMINI STR INC DEL | 76674Q107 | COM | 19,953 | $157,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 6,314 | $157,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 33,295 | $157,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 34,036 | $157,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 28,940 | $157,000 | thousands by filing date | |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 16,759 | $157,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 20,417 | $156,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 4,526 | $156,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,207 | $156,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 11,461 | $156,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 87,304 | $155,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,276 | $155,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 24,655 | $155,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 16,501 | $155,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 13,372 | $155,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 31,038 | $155,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 41,000 | $154,000 | thousands by filing date | put |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 39,415 | $154,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 5,238 | $154,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 11,599 | $154,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 9,596 | $153,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 8,450 | $153,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 198,100 | $152,000 | thousands by filing date | put |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 28,791 | $152,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 18,426 | $152,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 36,333 | $151,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 40,209 | $151,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 27,085 | $151,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,813 | $150,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 2,753 | $150,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 42,049 | $150,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 11,503 | $150,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 10,465 | $150,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 40,000 | $150,000 | thousands by filing date | principal |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 10,000 | $148,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 40,100 | $148,000 | thousands by filing date | call |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,405 | $148,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 78,887 | $148,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 92,742 | $148,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 57,800 | $147,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 4,279 | $147,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 120,546 | $147,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 19,473 | $147,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 4,589 | $147,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $146,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 10,366 | $146,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 11,232 | $146,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 9,272 | $146,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 83,200 | $145,000 | thousands by filing date | call |
| PCM FD INC | 69323T101 | COM | 12,513 | $145,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,982 | $145,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,641 | $145,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,859 | $145,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 14,900 | $144,000 | thousands by filing date | call |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,903 | $144,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 7,008 | $144,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 8,911 | $144,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 46,210 | $143,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 5,879 | $143,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 8,187 | $143,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 6,666 | $143,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 8,422 | $143,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 14,630 | $143,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 140,000 | $143,000 | thousands by filing date | principal |
| VALUE LINE INC | 920437100 | COMMON STOCK | 7,371 | $142,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 7,922 | $142,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 99,300 | $142,000 | thousands by filing date | call |
| MMA Capital Management LLC | 55315D105 | COM | 5,833 | $142,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 3,876 | $142,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 31,600 | $141,000 | thousands by filing date | call |
| VERASTEM INC | 92337C104 | COM | 45,987 | $141,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 37,441 | $141,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 65,225 | $140,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $140,000 | thousands by filing date | principal |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 11,000 | $140,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,105 | $140,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,341 | $139,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 8,546 | $138,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 943 | $138,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $138,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 26,720 | $138,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,139 | $137,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 160,093 | $137,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 26,816 | $137,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 42,300 | $136,000 | thousands by filing date | call |
| CYTOSORBENTS CORP | 23283X206 | CMN | 20,929 | $136,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 78,171 | $136,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 10,906 | $136,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 13,127 | $135,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 2,294 | $135,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 1,213,661 | $134,000 | thousands by filing date | put |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,604 | $134,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 9,140 | $134,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 8,909 | $134,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 2,614 | $133,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 18,600 | $133,000 | thousands by filing date | call |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 27,971 | $133,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 8,600 | $132,000 | thousands by filing date | call |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 93,249 | $132,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 5,632 | $132,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 97,805 | $131,000 | thousands by filing date | put |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 4,515 | $131,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,611 | $131,000 | thousands by filing date | |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 50,000 | $131,000 | thousands by filing date | principal |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,896 | $131,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $131,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 200,300 | $130,000 | thousands by filing date | call |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 19,886 | $130,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 48,662 | $130,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 140,000 | $129,000 | thousands by filing date | call |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 7,016 | $128,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 120,000 | $128,000 | thousands by filing date | principal |
| AC IMMUNE SA | H00263105 | SHS | 9,948 | $127,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 206,100 | $127,000 | thousands by filing date | call |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 6,358 | $127,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 20,471 | $127,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 8,368 | $127,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 31,362 | $127,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 18,010 | $127,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 91,300 | $127,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 37,234 | $127,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 11,493 | $127,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,395 | $126,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 32,044 | $126,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 5,695 | $126,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 121,000 | $126,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 1,175,700 | $125,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 4,049 | $125,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 68,000 | $125,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 40,618 | $125,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 4,567 | $124,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 22,921 | $124,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 28,182 | $124,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,831 | $123,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 25,808 | $123,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 131,000 | $123,000 | thousands by filing date | principal |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 7,789 | $123,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 16,636 | $122,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 37,626 | $122,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 715,300 | $122,000 | thousands by filing date | put |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 9,221 | $122,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 16,442 | $121,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,732 | $121,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 3,724 | $120,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 4,625 | $120,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 17,628 | $119,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 49,500 | $119,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 103,705 | $119,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 2,620 | $118,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 17,867 | $118,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 10,569 | $118,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 50,663 | $118,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 37,570 | $118,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 12,452 | $118,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,571 | $118,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 28,686 | $118,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 16,506 | $117,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,344 | $117,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 8,598 | $116,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 87,037 | $116,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 5,500 | $115,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 32,800 | $114,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,647 | $114,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 6,306 | $114,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 5,737 | $114,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,913 | $114,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,269 | $114,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 8,726 | $114,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 6,208 | $114,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 28,100 | $113,000 | thousands by filing date | call |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 15,690 | $113,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 232,000 | $112,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 39,200 | $112,000 | thousands by filing date | call |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 2,593 | $112,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 4,148 | $112,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 25,835 | $111,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 18,513 | $111,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 25,000 | $111,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 7,041 | $111,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 19,489 | $111,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 110,000 | $111,000 | thousands by filing date | principal |
| Stryker Corporation | 863667101 | COM | 47,200 | $110,000 | thousands by filing date | call |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,001 | $110,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 5,500 | $110,000 | thousands by filing date | call |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 7,356 | $110,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 15,766 | $110,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 34,290 | $109,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 24,775 | $109,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 24,900 | $108,000 | thousands by filing date | put |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 3,235 | $108,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 7,975 | $108,000 | thousands by filing date | |
| YANGTZE RIV DEV LTD | 984752105 | COM | 12,235 | $108,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 839 | $107,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,777 | $107,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 32,446 | $107,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 22,971 | $107,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 8,581 | $107,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 1,766 | $106,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,288 | $106,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,766 | $106,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 45,000 | $105,000 | thousands by filing date | put |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 10,450 | $105,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 23,514 | $105,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 48,700 | $104,000 | thousands by filing date | put |
| PFSWEB INC | 717098206 | COM | 14,041 | $104,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 21,290 | $104,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 17,568 | $103,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 15,609 | $103,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 23,837 | $103,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,259 | $103,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,508 | $103,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 33,160 | $103,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 100,000 | $103,000 | thousands by filing date | principal |
| BECTON DICKINSON & CO | 075887109 | COM | 15,000 | $102,000 | thousands by filing date | put |
| MVC CAPITAL INC | 553829102 | COM | 9,660 | $102,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,105 | $102,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 90 | $102,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 257,300 | $101,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 23,017 | $101,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 7,550 | $101,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 10,876 | $101,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 31,473 | $101,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 10,035 | $101,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 100,000 | $101,000 | thousands by filing date | principal |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 7,506 | $101,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 282,600 | $100,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 898 | $100,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 41,900 | $100,000 | thousands by filing date | call |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 2,407 | $100,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 19,832 | $99,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,520 | $99,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 24,513 | $99,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 77,900 | $98,000 | thousands by filing date | call |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 472,700 | $98,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 148,400 | $98,000 | thousands by filing date | call |
| MIMEDX GROUP INC | 602496101 | COM | 25,000 | $98,000 | thousands by filing date | call |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 14,065 | $98,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 12,175 | $98,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 26,565 | $98,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 9,656 | $97,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 2,990 | $97,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,101 | $97,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 16,888 | $97,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 112,300 | $96,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 220,300 | $96,000 | thousands by filing date | call |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,336 | $96,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 9,481 | $96,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 6,450 | $96,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 125,000 | $95,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,374 | $95,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 4,546 | $95,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,643 | $95,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 11,324 | $95,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 56,000 | $95,000 | thousands by filing date | principal |
| ECLIPSE RES CORP | 27890G100 | COM | 39,646 | $95,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 25,000 | $94,000 | thousands by filing date | call |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 10,450 | $94,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 10,083 | $94,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 8,939 | $93,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $93,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 5,842 | $93,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 10,234 | $93,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 9,500 | $92,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 25,379 | $92,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 71,100 | $92,000 | thousands by filing date | put |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 13,540 | $92,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 4,655 | $92,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 25,133 | $92,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 18,024 | $92,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 43,265 | $91,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 9,723 | $91,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 26,400 | $90,000 | thousands by filing date | call |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,792 | $90,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 77,753 | $90,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 270,000 | $89,000 | thousands by filing date | call |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 19,595 | $89,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 5,598 | $89,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 9,511 | $89,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 9,900 | $88,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 3,724 | $88,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 20,000 | $87,000 | thousands by filing date | put |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,526 | $87,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,653 | $86,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 60,000 | $86,000 | thousands by filing date | call |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 841 | $86,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 8,937 | $86,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 100,000 | $85,000 | thousands by filing date | call |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,509 | $85,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 9,454 | $84,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 54,500 | $83,000 | thousands by filing date | put |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,250 | $83,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 20,888 | $83,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 22,312 | $83,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 35,000 | $82,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 1,285,100 | $82,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 100,000 | $82,000 | thousands by filing date | put |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 9,208 | $82,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 2,988 | $82,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 34,536 | $82,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,370 | $81,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 9,261 | $81,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 12,968 | $81,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 7,007 | $81,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 8,071 | $81,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 29,521 | $81,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,917 | $80,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 7,370 | $80,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 14,435 | $80,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 61,234 | $80,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $80,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 8,394 | $80,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 4,435 | $80,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 92,000 | $80,000 | thousands by filing date | principal |
| D R HORTON INC COM | 23331A109 | Stock | 454,000 | $79,000 | thousands by filing date | put |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 13,102 | $79,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 225,200 | $79,000 | thousands by filing date | call |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 5,705 | $79,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 91,400 | $78,000 | thousands by filing date | call |
| RIOT PLATFORMS INC | 767292105 | COM | 2,736 | $78,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 46,400 | $78,000 | thousands by filing date | call |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 4,544 | $78,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 12,124 | $78,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 11,000 | $77,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 13,881 | $77,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 3,974 | $77,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 275,511 | $76,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 670,600 | $76,000 | thousands by filing date | put |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 3,088 | $76,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 8,754 | $76,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 4,655 | $76,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 5,900 | $76,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 107,411 | $75,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 9,903 | $75,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 28,032 | $75,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 58,377 | $75,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 2,856 | $74,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 17,451 | $74,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 11,816 | $74,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 245,900 | $73,000 | thousands by filing date | put |
| MACERICH CO | 554382101 | COM | 105,000 | $73,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,285 | $73,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 67,000 | $73,000 | thousands by filing date | principal |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 97,200 | $72,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 264,300 | $72,000 | thousands by filing date | call |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 28,976 | $72,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 4,716 | $72,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 89,400 | $71,000 | thousands by filing date | call |
| IRIDEX CORP | 462684101 | COM | 9,360 | $71,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,020 | $71,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 51,000 | $71,000 | thousands by filing date | principal |
| KEMPHARM INC COM NEW | 488445107 | Stock | 17,346 | $71,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 5,000 | $70,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 2,990 | $70,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 3,617 | $70,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 16,240 | $70,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,300 | $70,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,339 | $69,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 192,361 | $69,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,201 | $69,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 90,000 | $68,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 186,500 | $68,000 | thousands by filing date | call |
| AVIS BUDGET GROUP INC | 053774105 | COM | 50,000 | $68,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,696 | $68,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 20,800 | $68,000 | thousands by filing date | call |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4,514 | $68,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 5,508 | $68,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 62,500 | $68,000 | thousands by filing date | put |
| BOVIE MEDICAL CORP | 10211F100 | COM | 26,485 | $68,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 4,979 | $68,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 100,000 | $67,000 | thousands by filing date | put |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $67,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 80,000 | $66,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 50,000 | $66,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,500 | $66,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 5,660 | $66,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 12,613 | $66,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 83,226 | $66,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 12,500 | $66,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 420,000 | $65,000 | thousands by filing date | put |
| CNX RES CORP COM | 12653C108 | Stock | 79,900 | $65,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 28,406 | $65,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 18,524 | $65,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 863 | $64,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 2,823 | $64,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 22,800 | $64,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 10,362 | $64,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 2,678 | $64,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 62,000 | $64,000 | thousands by filing date | principal |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,106 | $64,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 17,474 | $63,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 7,053 | $63,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 599 | $63,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $63,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 28,052 | $63,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 2,000 | $63,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 296,300 | $62,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 10,568 | $62,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 35,000 | $62,000 | thousands by filing date | call |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,614 | $62,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 560,500 | $62,000 | thousands by filing date | call |
| BANKUNITED INC | 06652K103 | COM | 21,900 | $62,000 | thousands by filing date | call |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 6,550 | $62,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 662 | $62,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,545 | $62,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 8,953 | $62,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 30,495 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,924 | $62,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 591,600 | $61,000 | thousands by filing date | put |
| VERSARTIS INC | 92529L102 | COM | 27,635 | $61,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 4,402 | $60,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 159,169 | $60,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 1,778 | $60,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 131,200 | $59,000 | thousands by filing date | call |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 95,400 | $59,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,596 | $59,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 2,026 | $59,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-18-000242 | this filing | 2018-02-08 | acceptance time not in the bulk data set |