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 |
|---|---|---|---|---|---|---|
| PC CONNECTION INC | 69318J100 | COM | 64,945 | $1,702,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 173,265 | $1,698,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 73,311 | $1,697,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 28,881 | $1,692,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 44,287 | $1,692,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,585,400 | $1,691,000 | thousands by filing date | call |
| COCA COLA CONS INC | 191098102 | COM | 7,841 | $1,688,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 109,561 | $1,683,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 102,578 | $1,682,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 65,642 | $1,681,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 56,302 | $1,680,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 111,378 | $1,678,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 134,874 | $1,676,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 181,002 | $1,670,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 288,581 | $1,665,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 64,872 | $1,660,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 67,445 | $1,656,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 83,797 | $1,653,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 152,966 | $1,652,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 38,502 | $1,651,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 128,352 | $1,647,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 103,915 | $1,645,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 45,999 | $1,644,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 70,372 | $1,642,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 62,448 | $1,641,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 117,531 | $1,639,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 111,849 | $1,636,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 44,967 | $1,636,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 90,768 | $1,633,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 52,474 | $1,630,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 40,555 | $1,627,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 97,500 | $1,626,000 | thousands by filing date | call |
| DENBURY RES INC | 247916208 | COM NEW | 736,148 | $1,626,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 76,988 | $1,622,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 103,401 | $1,622,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 117,261 | $1,620,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 61,632 | $1,615,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 42,885 | $1,614,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 367,500 | $1,613,000 | thousands by filing date | put |
| ARCHROCK INC | 03957W106 | COM | 153,381 | $1,611,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 12,105 | $1,611,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 104,701 | $1,611,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 102,077 | $1,611,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 48,286 | $1,610,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 72,886 | $1,604,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 53,271 | $1,603,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 506,819 | $1,596,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 164,710 | $1,593,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 14,097 | $1,593,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 33,508 | $1,590,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 72,247 | $1,590,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 123,184 | $1,590,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 200,000 | $1,589,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 15,833 | $1,589,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,442,963 | $1,587,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 94,058 | $1,585,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 359 | $1,583,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 8,266,907 | $1,572,000 | thousands by filing date | put |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 59,267 | $1,572,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 19,679 | $1,570,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 87,235 | $1,569,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 240,444 | $1,567,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 77,345 | $1,562,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 152,851 | $1,562,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 50,555 | $1,561,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 56,359 | $1,558,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 172,646 | $1,557,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 49,524 | $1,554,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 98,676 | $1,554,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 30,597 | $1,553,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 41,170 | $1,552,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 101,798 | $1,552,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 36,838 | $1,551,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 42,426 | $1,548,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 65,735 | $1,546,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 33,433 | $1,543,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 194,885 | $1,543,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 143,501 | $1,542,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 56,339 | $1,541,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 49,031 | $1,538,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 30,618 | $1,532,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 105,484 | $1,532,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 77,251 | $1,531,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 76,141 | $1,531,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 60,660 | $1,530,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 129,202 | $1,529,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 69,917 | $1,528,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 140,342 | $1,527,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 389,671 | $1,524,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 22,327 | $1,523,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 84,064 | $1,522,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 31,368 | $1,522,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 130,620 | $1,519,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 97,000 | $1,518,000 | thousands by filing date | call |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 33,803 | $1,518,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 32,847 | $1,518,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 25,563 | $1,513,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 13,378 | $1,508,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 48,791 | $1,500,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 47,636 | $1,499,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 129,404 | $1,498,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 296,127 | $1,498,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 63,408 | $1,497,000 | thousands by filing date | |
| TAL ED GROUP | 874080AB0 | NOTE 2.500 5/1 | 220,000 | $1,497,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 144,594 | $1,496,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 123,897 | $1,496,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 21,705 | $1,493,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 29,130 | $1,493,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 16,665 | $1,493,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 52,283 | $1,490,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 69,460 | $1,489,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 185,024 | $1,489,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 133,300 | $1,487,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 48,914 | $1,485,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 1,134,000 | $1,485,000 | thousands by filing date | principal |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 51,769 | $1,484,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 194,184 | $1,480,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 21,123 | $1,480,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 133,400 | $1,479,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 114,172 | $1,475,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 57,249 | $1,474,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 37,769 | $1,473,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 61,438 | $1,471,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 68,544 | $1,468,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 46,208 | $1,468,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 36,756 | $1,467,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 31,151 | $1,467,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 85,929 | $1,465,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 449,307 | $1,464,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 115,941 | $1,459,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 1,278,000 | $1,459,000 | thousands by filing date | principal |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 39,817 | $1,458,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 27,691 | $1,454,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 78,597 | $1,450,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 27,907 | $1,450,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 28,322 | $1,449,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 31,546 | $1,446,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 2,038,000 | $1,446,000 | thousands by filing date | principal |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 20,513 | $1,443,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 75,648 | $1,442,000 | thousands by filing date | |
| TRIP COM GROUP LTD | 22943FAM2 | DBCV 1.250% 9/1 | 1,419,000 | $1,440,000 | thousands by filing date | principal |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 11,810 | $1,438,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 140,000 | $1,437,000 | thousands by filing date | put |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 103,865 | $1,437,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 149,198 | $1,434,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 100,475 | $1,433,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 97,383 | $1,433,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 95,517 | $1,433,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 56,427 | $1,426,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 557,098 | $1,426,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 23,737 | $1,425,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 26,756 | $1,425,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 106,305 | $1,424,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 35,488 | $1,422,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 73,059 | $1,419,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 37,788 | $1,419,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 100,637 | $1,418,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 51,541 | $1,417,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 70,869 | $1,417,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 33,366 | $1,416,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 83,600 | $1,415,000 | thousands by filing date | call |
| INVESCO SR INCOME TR | 46131H107 | COM | 322,445 | $1,415,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 69,669 | $1,414,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 74,372 | $1,414,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 42,098 | $1,412,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 11,704 | $1,410,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 61,492 | $1,405,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 200,986 | $1,401,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 458,923 | $1,400,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 251,651 | $1,392,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 87,005 | $1,390,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 41,048 | $1,390,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 41,298 | $1,389,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 150,570 | $1,386,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 216,200 | $1,375,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 166,813 | $1,374,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 73,046 | $1,374,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 22,991 | $1,374,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 23,388 | $1,373,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 116,388 | $1,373,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 95,748 | $1,369,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 116,542 | $1,369,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 69,537 | $1,368,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 76,270 | $1,368,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 75,696 | $1,367,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 41,481 | $1,365,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 1,363,000 | $1,365,000 | thousands by filing date | principal |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 43,763 | $1,364,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 169,912 | $1,359,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 76,964 | $1,354,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 17,497 | $1,354,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,099,273 | $1,353,000 | thousands by filing date | put |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 17,282 | $1,352,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 89,500 | $1,351,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 92,318 | $1,350,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 43,077 | $1,345,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 78,181 | $1,344,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 46,283 | $1,344,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 91,584 | $1,341,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 33,965 | $1,340,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 77,904 | $1,339,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 92,469 | $1,338,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 1,173,400 | $1,337,000 | thousands by filing date | put |
| GLOBANT S A | L44385109 | COM | 28,753 | $1,336,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 55,770 | $1,336,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 95,947 | $1,333,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 125,727 | $1,332,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 67,561 | $1,331,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 65,849 | $1,330,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 18,121 | $1,329,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 78,783 | $1,328,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 39,196 | $1,328,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 39,945 | $1,327,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 284,336 | $1,325,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 104,803 | $1,325,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 33,126 | $1,324,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 106,430 | $1,324,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 445,300 | $1,323,000 | thousands by filing date | call |
| LOXO ONCOLOGY INC | 548862101 | COM | 15,710 | $1,323,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 52,005 | $1,322,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 88,979 | $1,321,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 214,194 | $1,320,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 23,105 | $1,317,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 46,467 | $1,317,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 67,670 | $1,316,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 3,321 | $1,315,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 95,526 | $1,315,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 59,074 | $1,312,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 68,448 | $1,309,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 46,756 | $1,309,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 69,213 | $1,308,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 50,195 | $1,308,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 76,328 | $1,304,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 66,920 | $1,304,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 54,430 | $1,299,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 63,285 | $1,298,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 92,388 | $1,295,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 54,682 | $1,295,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 22,293 | $1,294,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 74,048 | $1,290,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 105,658 | $1,289,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 222,600 | $1,287,000 | thousands by filing date | call |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 46,277 | $1,286,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 41,227 | $1,285,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 55,578 | $1,285,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 37,303 | $1,283,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 129,529 | $1,282,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 1,671,848 | $1,281,000 | thousands by filing date | put |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 40,228 | $1,281,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 55,253 | $1,279,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 214,623 | $1,277,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 110,733 | $1,276,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 153,578 | $1,275,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 125,025 | $1,274,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 156,345 | $1,274,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 49,963 | $1,273,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 37,173 | $1,271,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 76,157 | $1,271,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 60,051 | $1,269,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 25,612 | $1,268,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 71,915 | $1,263,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 110,379 | $1,259,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 74,602 | $1,256,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 57,711 | $1,255,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 791,000 | $1,254,000 | thousands by filing date | principal |
| CENOVUS ENERGY INC | 15135U109 | COM | 137,279 | $1,253,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 82,631 | $1,252,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 11,410 | $1,251,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 59,792 | $1,251,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 98,331 | $1,250,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 48,524 | $1,249,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 66,868 | $1,248,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 38,191 | $1,247,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 400,644 | $1,246,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 25,703 | $1,246,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 25,144 | $1,244,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 131,583 | $1,242,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 22,231 | $1,239,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 25,000 | $1,236,000 | thousands by filing date | call |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 13,327 | $1,234,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 189,518 | $1,234,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 159,209 | $1,234,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 93,968 | $1,231,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 365,000 | $1,223,000 | thousands by filing date | put |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 28,409 | $1,223,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 52,308 | $1,223,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 106,806 | $1,223,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 28,758 | $1,222,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 48,494 | $1,222,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 61,441 | $1,222,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 37,595 | $1,220,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 26,832 | $1,218,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 105,714 | $1,217,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 76,497 | $1,216,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 84,459 | $1,214,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 369,433 | $1,211,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 55,604 | $1,210,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 302,100 | $1,209,000 | thousands by filing date | call |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 66,226 | $1,209,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 652,756 | $1,208,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 67,889 | $1,206,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 144,522 | $1,205,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 55,224 | $1,201,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 33,968 | $1,200,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 229,241 | $1,199,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 271,503 | $1,198,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 209,587 | $1,196,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 323,960 | $1,195,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 117,540 | $1,193,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 34,312 | $1,190,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 48,099 | $1,188,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 20,020 | $1,188,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 27,527 | $1,187,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 13,925 | $1,186,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 54,889 | $1,184,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 51,040 | $1,183,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 116,525 | $1,182,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 81,321 | $1,182,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 87,711 | $1,178,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 35,356 | $1,176,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 32,151 | $1,176,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 131,944 | $1,174,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 59,754 | $1,173,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 43,304 | $1,170,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 65,658 | $1,169,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 90,844 | $1,169,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 193,443 | $1,169,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 407,900 | $1,167,000 | thousands by filing date | call |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 53,880 | $1,167,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 59,440 | $1,166,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 32,923 | $1,164,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 43,794 | $1,164,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 54,375 | $1,163,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 14,460 | $1,163,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 147,808 | $1,162,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 19,922 | $1,162,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 44,293 | $1,151,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 83,759 | $1,149,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 151,958 | $1,149,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 188,426 | $1,144,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 39,051 | $1,143,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 46,321 | $1,143,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 84,925 | $1,138,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 76,898 | $1,137,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 73,281 | $1,136,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 15,837 | $1,133,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 16,169 | $1,131,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 11,663 | $1,129,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 42,058 | $1,125,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 3,395 | $1,125,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 55,197 | $1,123,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 73,611 | $1,121,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 454,879 | $1,119,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 44,487 | $1,119,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 99,078 | $1,118,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 50,638 | $1,113,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 963,000 | $1,112,000 | thousands by filing date | principal |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 61,677 | $1,110,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 36,006 | $1,109,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 20,913 | $1,107,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 79,503 | $1,105,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 57,383 | $1,105,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 108,880 | $1,105,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 117,996 | $1,100,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 446,488 | $1,099,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 59,562 | $1,099,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 66,447 | $1,098,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 13,715 | $1,096,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 27,875 | $1,096,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 144,482 | $1,089,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 49,192 | $1,088,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 20,351 | $1,088,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 55,434 | $1,088,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 73,192 | $1,087,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 17,735 | $1,081,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 37,977 | $1,080,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 1,222,000 | $1,079,000 | thousands by filing date | principal |
| PDL BIOPHARMA INC | 69329Y104 | COM | 393,127 | $1,078,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 72,587 | $1,078,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 73,538 | $1,076,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 15,834 | $1,076,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 92,811 | $1,075,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 33,473 | $1,075,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 20,867 | $1,071,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 149,642 | $1,070,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 23,051 | $1,069,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 54,798 | $1,068,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 117,210 | $1,067,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 51,784 | $1,066,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 138,014 | $1,065,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 34,026 | $1,063,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 29,344 | $1,061,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 175,313 | $1,060,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 33,871 | $1,060,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 28,444 | $1,059,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 33,244 | $1,059,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 44,297 | $1,057,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 60,191 | $1,055,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 81,667 | $1,051,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 883,000 | $1,051,000 | thousands by filing date | principal |
| SUNRUN INC | 86771W105 | COM | 177,826 | $1,050,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 274,300 | $1,050,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 18,019 | $1,050,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 37,019 | $1,049,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 18,017 | $1,049,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 28,225 | $1,048,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 76,675 | $1,047,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 76,641 | $1,046,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 54,977 | $1,045,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 141,111 | $1,044,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 52,229 | $1,043,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 91,328 | $1,041,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 123,881 | $1,041,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 27,754 | $1,040,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 27,361 | $1,039,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 57,783 | $1,037,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 69,388 | $1,036,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 13,849 | $1,036,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 983,400 | $1,035,000 | thousands by filing date | call |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 29,893 | $1,028,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 46,671 | $1,027,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 92,290 | $1,024,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 70,871 | $1,023,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 52,565 | $1,021,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 53,054 | $1,019,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 33,902 | $1,019,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 23,790 | $1,019,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 26,306 | $1,014,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 74,106 | $1,007,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 40,777 | $1,006,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 104,019 | $1,005,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 35,583 | $1,005,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 34,760 | $1,005,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 25,000 | $1,004,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 69,608 | $999,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 254,108 | $999,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 14,237 | $998,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 54,078 | $996,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 47,161 | $995,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 80,189 | $994,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 112,039 | $992,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 127,665 | $991,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 112,821 | $989,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 102,700 | $985,000 | thousands by filing date | put |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 30,316 | $984,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 70,044 | $983,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 58,716 | $981,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 877,000 | $979,000 | thousands by filing date | principal |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 92,974 | $978,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 44,347 | $976,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 90,932 | $976,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 64,149 | $976,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 686,931 | $975,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 104,000 | $973,000 | thousands by filing date | call |
| BRIDGE BANCORP INC | 108035106 | COM | 27,784 | $973,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 50,770 | $972,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 144,310 | $972,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 59,889 | $972,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 77,879 | $972,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 10,448 | $970,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 55,065 | $968,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 1,923,500 | $967,000 | thousands by filing date | call |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 14,545 | $966,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 96,323 | $963,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 50,000 | $955,000 | thousands by filing date | call |
| STONE ENERGY CORP | 861642403 | COM PAR | 29,695 | $955,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 34,773 | $952,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 37,935 | $952,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 25,316 | $951,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 59,500 | $949,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 35,812 | $943,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 48,284 | $942,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 11,480 | $942,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 29,873 | $941,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 23,387 | $941,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 105,880 | $934,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 37,428 | $933,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 25,967 | $931,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 27,644 | $930,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 76,707 | $930,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 107,466 | $928,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 38,352 | $928,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 80,539 | $927,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 47,802 | $927,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 45,143 | $927,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 111,800 | $926,000 | thousands by filing date | call |
| AMERESCO INC | 02361E108 | CL A | 107,841 | $926,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 89,600 | $926,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 49,296 | $925,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 125,774 | $925,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 75,424 | $924,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 108,106 | $924,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 41,671 | $922,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 919,069 | $920,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 260,500 | $919,000 | thousands by filing date | put |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 64,177 | $919,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 77,990 | $919,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 16,621 | $918,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 35,751 | $915,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 17,638 | $914,000 | 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 |