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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 4,201 | $59,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 32,070 | $59,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 583 | $59,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 2,294 | $58,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 2,500 | $58,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 56,400 | $58,000 | thousands by filing date | put |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,103 | $58,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 6,872 | $58,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,551 | $58,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 15,200 | $57,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,256 | $57,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 100,000 | $57,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 46,115 | $57,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $57,000 | thousands by filing date | principal |
| NUCOR CORP COM | 670346105 | Stock | 35,900 | $56,000 | thousands by filing date | call |
| WESTERN UN CO COM | 959802109 | Stock | 212,000 | $56,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 2,419 | $56,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 617 | $56,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 1,393,600 | $56,000 | thousands by filing date | put |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 9,101 | $56,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 35,300 | $56,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 290,500 | $55,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,218 | $55,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,817 | $55,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 3,487 | $55,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 23,285 | $55,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $54,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 22,500 | $54,000 | thousands by filing date | put |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 5,815 | $54,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,000 | $54,000 | thousands by filing date | put |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,877 | $54,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 681 | $54,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,516 | $54,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 3,100 | $54,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 54,300 | $53,000 | thousands by filing date | call |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 5,000 | $53,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,933 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $53,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 1,089 | $53,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 812 | $53,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 445 | $52,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 24,700 | $52,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 2,500 | $52,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 2,093 | $52,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 103,301 | $52,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 59,165 | $52,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,501 | $52,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,928 | $52,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 2,336 | $52,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 5,000 | $52,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 37,600 | $51,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 59,500 | $51,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,669 | $51,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 100,000 | $51,000 | thousands by filing date | call |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 5,252 | $51,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,000 | $51,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 378 | $50,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 125,000 | $50,000 | thousands by filing date | call |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,148 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 5,725 | $50,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 3,670 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 350 | $49,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 104,800 | $49,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 999 | $49,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 2,311 | $49,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 5,981 | $49,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 590 | $49,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,529 | $49,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 5,542 | $49,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 3,600 | $49,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 70,341 | $49,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 23,000 | $49,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,106 | $49,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 23,680 | $49,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 12,087 | $49,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 100,000 | $48,000 | thousands by filing date | call |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 10,000 | $48,000 | thousands by filing date | call |
| PARSLEY ENERGY INC | 701877102 | CL A | 114,600 | $48,000 | thousands by filing date | put |
| APPIAN CORP | 03782L101 | CL A | 1,540 | $48,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 31,600 | $47,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 1,256 | $47,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,078 | $47,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 60,600 | $47,000 | thousands by filing date | put |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 12,900 | $47,000 | thousands by filing date | call |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 39,000 | $47,000 | thousands by filing date | principal |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 570 | $47,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,292 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 650 | $46,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 198,375 | $46,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,350 | $46,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 3,859 | $46,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 188,200 | $45,000 | thousands by filing date | call |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 51,200 | $45,000 | thousands by filing date | put |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 7,900 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 1,101 | $45,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,231 | $45,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 104,755 | $45,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,345 | $44,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 1,683 | $44,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,445 | $44,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 184,813 | $43,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 96,041 | $43,000 | thousands by filing date | put |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,936 | $43,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 10,787 | $42,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 50,000 | $42,000 | thousands by filing date | call |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 38,522 | $42,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,901 | $42,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,416 | $42,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,300,000 | $41,000 | thousands by filing date | call |
| AUTONATION INC COM | 05329W102 | Stock | 52,300 | $41,000 | thousands by filing date | call |
| AFLAC INC COM | 001055102 | Stock | 511 | $41,000 | thousands by filing date | put |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 540,000 | $41,000 | thousands by filing date | call |
| Automatic Data Processing,Inc. | 053015103 | COM | 50,000 | $40,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,900 | $40,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 13,279 | $40,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 1,286 | $39,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,000 | $39,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 108,000 | $39,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 59,430 | $39,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,285 | $39,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 17,114 | $39,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 56,700 | $38,000 | thousands by filing date | put |
| INNOVIVA INC | 45781M101 | COM | 28,100 | $38,000 | thousands by filing date | put |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 4,722 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 325 | $38,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,400 | $38,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,000 | $38,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 21,395 | $38,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 168,800 | $37,000 | thousands by filing date | put |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 147,200 | $37,000 | thousands by filing date | call |
| L BRANDS INC | 501797104 | COM | 287,500 | $37,000 | thousands by filing date | put |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 577 | $37,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $37,000 | thousands by filing date | principal |
| URBAN OUTFITTERS INC | 917047102 | COM | 18,000 | $36,000 | thousands by filing date | put |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,851 | $36,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,882 | $36,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,000 | $36,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,420 | $36,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 122,400 | $36,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,160 | $36,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 339 | $36,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 18,323 | $36,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 3,924 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,200 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $35,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,644 | $35,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 1,596 | $35,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 14,687 | $35,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $35,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 317,800 | $35,000 | thousands by filing date | put |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 35,000 | $35,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,000 | $35,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 35,065 | $35,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 6,000 | $35,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 6,485 | $35,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 8,600 | $34,000 | thousands by filing date | call |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,000 | $34,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 200,000 | $34,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,779 | $34,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,681 | $34,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $34,000 | thousands by filing date | principal |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 40,000 | $34,000 | thousands by filing date | principal |
| TANGER INC | 875465106 | COM | 30,000 | $33,000 | thousands by filing date | put |
| MIMEDX GROUP INC | 602496101 | COM | 25,000 | $33,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,163 | $33,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 1,427 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 568 | $33,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 15,482 | $33,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 1,363 | $33,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 190 | $33,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 2,790 | $33,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 5,022 | $33,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,134 | $33,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 10,000 | $32,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,426 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $32,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 14,000 | $32,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 933 | $31,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 7,500 | $31,000 | thousands by filing date | put |
| UNITI GROUP INC | 91325V108 | COM | 61,000 | $31,000 | thousands by filing date | call |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 620 | $31,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,142 | $31,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 10,000 | $31,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 46,333 | $30,000 | thousands by filing date | put |
| FIVE BELOW INC COM | 33829M101 | Stock | 48,900 | $30,000 | thousands by filing date | put |
| LIMBACH HLDGS INC | 53263P105 | COM | 2,158 | $30,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 400,000 | $30,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,769 | $30,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 731 | $30,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,601 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 850 | $30,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 9,303 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 233 | $30,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 3,967 | $30,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 211,600 | $29,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 40,000 | $29,000 | thousands by filing date | call |
| Veru Inc | 92536C103 | Common Stock | 25,555 | $29,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,792 | $29,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 18,382 | $29,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 28,498 | $29,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 3,900 | $29,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 10,000 | $28,000 | thousands by filing date | put |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 951 | $28,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 35,600 | $28,000 | thousands by filing date | call |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,689 | $28,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,224 | $28,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 27,400 | $28,000 | thousands by filing date | call |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 752 | $28,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 1,217 | $28,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 500 | $28,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 8,000 | $28,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 9,003 | $28,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 97,500 | $27,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 381 | $27,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 30,000 | $27,000 | thousands by filing date | put |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,001 | $27,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 5,972 | $27,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 3,600 | $27,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 31,000 | $27,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 237 | $27,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 14,200 | $27,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 2,695 | $27,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 16,500 | $27,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 132,900 | $26,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 120,900 | $26,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 39,200 | $26,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 905 | $26,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 293,600 | $26,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 144 | $26,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,790 | $26,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $26,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,520 | $26,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 575 | $26,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 20,129 | $26,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 35,900 | $25,000 | thousands by filing date | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 77,628 | $25,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,031 | $25,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 20,422 | $25,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,301 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $25,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 33,334 | $25,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 30,000 | $25,000 | thousands by filing date | principal |
| iShares Silver Trust | 46428Q109 | COM | 200,000 | $24,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 28,100 | $24,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 30,200 | $24,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 99,616 | $24,000 | thousands by filing date | put |
| CUBESMART COM | 229663109 | REIT | 50,000 | $24,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 4,200 | $24,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 681 | $24,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,046 | $24,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 1,500 | $24,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 1,900 | $24,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 2,700 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,000 | $24,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 15,000 | $23,000 | thousands by filing date | call |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 55,000 | $23,000 | thousands by filing date | put |
| ALCOA CORP COM | 013872106 | Stock | 146,200 | $23,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,220 | $23,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 909 | $23,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,440 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $23,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $23,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,501 | $23,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 7,687 | $23,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 568 | $23,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 1,000 | $23,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 9,576 | $23,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 1,411 | $23,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 48,837 | $22,000 | thousands by filing date | put |
| MOSAIC CO COM | 61945C103 | Stock | 344,300 | $22,000 | thousands by filing date | put |
| DOLLAR TREE INC COM | 256746108 | Stock | 37,200 | $22,000 | thousands by filing date | put |
| ADMA BIOLOGICS INC | 000899104 | COM | 7,000 | $22,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 340,100 | $22,000 | thousands by filing date | put |
| U S SILICA HLDGS INC | 90346E103 | COM | 130,600 | $22,000 | thousands by filing date | call |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,460 | $22,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,636 | $22,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 5,266 | $22,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 855 | $22,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 457 | $22,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 11,375 | $22,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 57,300 | $21,000 | thousands by filing date | put |
| NORDSTROM INC | 655664100 | COM | 79,100 | $21,000 | thousands by filing date | put |
| DOWDUPONT INC | 26078J100 | COM | 40,000 | $21,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $21,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,511 | $21,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,151 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $21,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 2,242 | $20,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 9,600 | $20,000 | thousands by filing date | call |
| PAMT CORP | 693149106 | COMMON STOCK | 568 | $20,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $20,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 30,000 | $20,000 | thousands by filing date | call |
| CM FIN INC COM | 12574Q103 | COM | 2,501 | $20,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 695 | $20,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,305 | $20,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,350 | $19,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 716 | $19,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 36,000 | $19,000 | thousands by filing date | put |
| ATHENE HOLDING LTD | G0684D107 | CL A | 30,000 | $19,000 | thousands by filing date | put |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 641 | $19,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 1,650 | $19,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $19,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 284,400 | $19,000 | thousands by filing date | put |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 49,598 | $19,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $19,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,888 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 1,206 | $19,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 100,000 | $18,000 | thousands by filing date | put |
| Merck & Co.,Inc. | 58933Y105 | COM | 68,300 | $18,000 | thousands by filing date | call |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 516 | $18,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 186 | $18,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 4,697 | $18,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 32,400 | $18,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $18,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 12,700 | $18,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 500 | $18,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 8,511 | $18,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,401 | $17,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 3,016 | $17,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 886 | $17,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,044 | $17,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 4,579 | $17,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,037 | $17,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 2,000 | $17,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,001 | $17,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 14,173 | $17,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 10,000 | $17,000 | thousands by filing date | principal |
| LINE CORP | 53567X101 | SPONSORED ADR | 425 | $17,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 952 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 560 | $17,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 7,728 | $16,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 3,000 | $16,000 | thousands by filing date | put |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 308 | $16,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,500 | $16,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 62,900 | $16,000 | thousands by filing date | put |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,100 | $16,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,535 | $16,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 991 | $16,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,674 | $15,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 4,000 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 247 | $15,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,007 | $15,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,708 | $15,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 585 | $15,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,197 | $15,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,500 | $15,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $15,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 16,284 | $15,000 | thousands by filing date | principal |
| NANTHEALTH INC | 630104107 | CMN | 5,245 | $15,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 538 | $15,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 15,720 | $14,000 | thousands by filing date | put |
| PPG INDS INC COM | 693506107 | Stock | 17,400 | $14,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,226 | $14,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,349 | $14,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 60,300 | $14,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,798 | $14,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 5,000 | $14,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 1,703,400 | $14,000 | thousands by filing date | call |
| CHARLES + COLVARD LTD | 159765106 | COM | 10,001 | $14,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 8,587 | $14,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 513 | $14,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,000 | $13,000 | thousands by filing date | put |
| EQT CORP COM | 26884L109 | Stock | 28,900 | $13,000 | thousands by filing date | put |
| SEMPRA COM | 816851109 | Stock | 99,000 | $13,000 | thousands by filing date | call |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 700 | $13,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 686 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 548 | $13,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,002 | $13,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $13,000 | thousands by filing date | principal |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,418 | $13,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,851 | $13,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 348 | $13,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,001 | $13,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 530 | $13,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 1,300 | $13,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $13,000 | thousands by filing date | principal |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,502 | $13,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 40,600 | $12,000 | thousands by filing date | call |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 8,600 | $12,000 | thousands by filing date | call |
| AVIS BUDGET GROUP INC | 053774105 | COM | 20,000 | $12,000 | thousands by filing date | call |
| CANADIAN SOLAR INC | 136635109 | COM | 682 | $12,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 697 | $12,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 672 | $12,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $12,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 4,453 | $12,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,900 | $12,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 646 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $12,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 411 | $12,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 3,268 | $12,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 650 | $12,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 7,522 | $12,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 1,149 | $12,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 3,155 | $12,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 125,100 | $11,000 | thousands by filing date | put |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 65,600 | $11,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 385 | $11,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 116 | $11,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 100,000 | $11,000 | thousands by filing date | put |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 1,400 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $11,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 990 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 398 | $11,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 4,000 | $11,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,915 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $11,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 10,000 | $11,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 185 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 8,001 | $11,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 8,000 | $11,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 16,900 | $10,000 | thousands by filing date | call |
| Caterpillar Inc. | 149123101 | COM | 26,900 | $10,000 | thousands by filing date | put |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 26,500 | $10,000 | thousands by filing date | put |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 56 | $10,000 | thousands by filing date | put |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 800 | $10,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 300 | $10,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,552 | $10,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 758 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 293 | $10,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $10,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 2,500 | $10,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 600 | $10,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 79,400 | $10,000 | thousands by filing date | call |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 251 | $10,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,565 | $10,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $10,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 876 | $10,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 7,750 | $10,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 169 | $10,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $10,000 | thousands by filing date | |
| ILG INC | 44967H101 | COM | 17,500 | $10,000 | thousands by filing date | put |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 32,300 | $9,000 | thousands by filing date | put |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 4,900 | $9,000 | thousands by filing date | put |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 305,000 | $9,000 | thousands by filing date | put |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 10,000 | $9,000 | thousands by filing date | put |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 287 | $9,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 3,435 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $9,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,125 | $9,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 346 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 3,657 | $9,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,302 | $9,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 16,500 | $9,000 | thousands by filing date | put |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 308 | $9,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 9,000 | $9,000 | thousands by filing date | principal |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 307 | $9,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 848 | $9,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,539 | $9,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,501 | $9,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 13,724 | $9,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 139,500 | $8,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 94,700 | $8,000 | thousands by filing date | call |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 56,300 | $8,000 | thousands by filing date | call |
| NextEra Energy,Inc. | 65339F101 | COM | 36 | $8,000 | thousands by filing date | put |
| PHILLIPS 66 COM | 718546104 | Stock | 5,900 | $8,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,001 | $8,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 7,969 | $8,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 13,300 | $8,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 199 | $8,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 166,300 | $8,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 396 | $8,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 785 | $8,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,061 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 288 | $8,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 4,070 | $8,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 438 | $8,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 344 | $8,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 15,312 | $8,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $8,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 8,630 | $8,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 88 | $8,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 8,000 | $8,000 | thousands by filing date | principal |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 544 | $8,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| TINTRI INC | 88770Q105 | COM | 1,476 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 226 | $8,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,464 | $7,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,000 | $7,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 881 | $7,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 66,800 | $7,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 75,000 | $7,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 16,300 | $7,000 | thousands by filing date | call |
| GENERAL MILLS INC COM | 370334104 | Stock | 20,000 | $7,000 | thousands by filing date | put |
| HANESBRANDS INC | 410345102 | COM | 2,000 | $7,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,000 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 160 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 107 | $7,000 | 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 |