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 |
|---|---|---|---|---|---|---|
| NATHANS FAMOUS INC NEW | 632347100 | COM | 12,090 | $913,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 189,630 | $913,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 47,514 | $913,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 65,594 | $912,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 90,987 | $912,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 17,177 | $910,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 484,000 | $910,000 | thousands by filing date | principal |
| THE BANK OF PRINCETON | 064520109 | COMMON | 26,415 | $907,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 929,000 | $907,000 | thousands by filing date | principal |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 63,264 | $906,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 20,755 | $903,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 36,142 | $901,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 249,507 | $897,000 | thousands by filing date | call |
| SUN HYDRAULICS CORP | 866942105 | COM | 13,851 | $896,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 103,109 | $895,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 75,233 | $895,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 48,283 | $890,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 7,111 | $887,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 43,600 | $886,000 | thousands by filing date | call |
| COMMUNITY USD0.01 | 20369C106 | COM | 31,439 | $884,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 74,175 | $884,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 792,000 | $884,000 | thousands by filing date | principal |
| TELLURIAN INC NEW | 87968A104 | COM | 90,641 | $883,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 27,767 | $883,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 43,947 | $881,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 26,970 | $880,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 17,146 | $880,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 44,377 | $877,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 13,588 | $876,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 17,952 | $874,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 31,742 | $870,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 62,536 | $862,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 96,445 | $862,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 49,574 | $861,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 24,549 | $860,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 41,049 | $858,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 34,084 | $857,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 42,203 | $857,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 33,760 | $853,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 99,916 | $852,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 33,046 | $852,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 873,000 | $852,000 | thousands by filing date | principal |
| EOG RES INC COM | 26875P101 | Stock | 255,000 | $847,000 | thousands by filing date | put |
| STELLUS CAP INVT CORP | 858568108 | COM | 64,137 | $843,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 29,155 | $837,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 15,795 | $836,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 880,000 | $831,000 | thousands by filing date | principal |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 199,569 | $826,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 1,073,500 | $825,000 | thousands by filing date | put |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 84,947 | $825,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 47,807 | $825,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 30,197 | $825,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 45,606 | $825,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 29,000 | $822,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 20,996 | $821,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 85,098 | $821,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 25,470 | $820,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 40,978 | $817,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 61,684 | $817,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 61,555 | $816,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 23,307 | $814,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 11,662 | $814,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 158,439 | $813,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 118,471 | $813,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 63,296 | $811,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 32,443 | $811,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 50,597 | $811,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 10,369 | $809,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,016,000 | $808,000 | thousands by filing date | principal |
| J JILL INC | 46620W102 | COM | 103,489 | $808,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 29,811 | $805,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 48,211 | $805,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 1,000,000 | $803,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 65,835 | $801,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 82,047 | $799,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 63,169 | $799,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 11,154 | $797,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 17,339 | $797,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 186,665 | $796,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 54,391 | $794,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 20,783 | $791,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 28,649 | $790,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 59,199 | $790,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 28,209 | $789,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 55,799 | $787,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 39,987 | $786,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 387,078 | $786,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 45,407 | $784,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 72,643 | $784,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 33,897 | $781,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 41,682 | $779,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 15,248 | $776,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 51,764 | $774,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 27,562 | $774,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 127,110 | $773,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 273,300 | $772,000 | thousands by filing date | call |
| MOBILEIRON INC | 60739U204 | COM NEW | 197,994 | $772,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 30,904 | $769,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 59,003 | $768,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 15,525 | $768,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 68,306 | $767,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 195,904 | $760,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 63,779 | $760,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 51,750 | $759,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 56,878 | $756,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 47,119 | $755,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 230,100 | $754,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 857,700 | $752,000 | thousands by filing date | put |
| PRESIDIO INC | 74102M103 | COM | 39,200 | $751,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 109,400 | $750,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 325,000 | $749,000 | thousands by filing date | put |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 262,863 | $747,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 100,771 | $746,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 22,818 | $745,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 54,942 | $743,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 32,346 | $742,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 34,309 | $741,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 179,008 | $739,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 32,123 | $739,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 46,529 | $738,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 36,838 | $736,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 5,902 | $734,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 150,000 | $733,000 | thousands by filing date | call |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 117,760 | $733,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 84,549 | $731,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 51,268 | $731,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 706,000 | $730,000 | thousands by filing date | principal |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 69,873 | $729,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 60,033 | $729,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 19,943 | $728,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 7,901 | $726,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 21,264 | $725,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 79,308 | $724,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 123,697 | $720,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 38,938 | $718,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 19,703 | $714,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 55,259 | $713,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 10,251 | $713,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 14,309 | $711,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 32,955 | $709,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 45,475 | $709,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 83,593 | $706,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 31,310 | $705,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 42,899 | $702,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 15,520 | $702,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 42,331 | $702,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 45,289 | $700,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 129,481 | $700,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 19,742 | $699,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 210,000 | $699,000 | thousands by filing date | call |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 13,845 | $699,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 26,200 | $698,000 | thousands by filing date | call |
| ZIX CORP | 98974P100 | COM | 159,398 | $698,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 32,795 | $697,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 21,985 | $697,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 49,397 | $697,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 17,614 | $696,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 76,508 | $696,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 29,661 | $696,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 18,338 | $695,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 65,196 | $694,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 37,481 | $692,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 22,108 | $692,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 103,178 | $692,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 9,853 | $692,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 24,848 | $691,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 28,359 | $691,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 90,748 | $689,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 18,442 | $687,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 20,606 | $687,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 92,561 | $685,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 190,775 | $685,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 56,343 | $685,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 125,250 | $683,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 34,537 | $682,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 73,211 | $681,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 63,609 | $681,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 77,200 | $679,000 | thousands by filing date | call |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 24,938 | $678,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 14,565 | $678,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 30,788 | $678,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 21,765 | $677,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 58,089 | $676,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 45,553 | $673,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 15,030 | $670,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 37,529 | $670,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 34,767 | $668,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 23,259 | $668,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 23,476 | $668,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 41,951 | $668,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 35,181 | $668,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 10,096 | $664,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 131,500 | $663,000 | thousands by filing date | call |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 50,421 | $663,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 17,649 | $663,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 563,000 | $663,000 | thousands by filing date | principal |
| Rithm Property Trust Inc | 38983D300 | REIT | 47,682 | $659,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 23,986 | $659,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 27,259 | $657,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 39,694 | $656,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 64,717 | $654,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 67,347 | $654,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 11,768 | $652,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 89,039 | $652,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 630,000 | $650,000 | thousands by filing date | principal |
| GREEN BANCORP INC | 39260X100 | COM | 31,848 | $647,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 53,163 | $646,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 78,750 | $646,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 28,448 | $644,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 132,000 | $644,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 34,759 | $642,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 67,295 | $639,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 64,176 | $638,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 642,000 | $638,000 | thousands by filing date | principal |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 5,535 | $637,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 124,989 | $637,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 110,813 | $637,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 31,713 | $636,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 11,754 | $636,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 82,515 | $636,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 18,926 | $635,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 18,562 | $635,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 217,450 | $634,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 13,076 | $633,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 19,171 | $633,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 193,000 | $633,000 | thousands by filing date | put |
| WORLD ACCEP CORPORATION | 981419104 | COM | 7,812 | $631,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 12,608 | $630,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 47,300 | $629,000 | thousands by filing date | call |
| PLY GEM HLDGS INC | 72941W100 | COM | 33,998 | $629,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,028 | $627,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 20,718 | $627,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 69,977 | $625,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 21,001 | $624,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 68,620 | $623,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 26,527 | $623,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 82,603 | $623,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 42,806 | $623,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 39,700 | $621,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 650,000 | $621,000 | thousands by filing date | principal |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 35,286 | $621,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 21,943 | $619,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 52,946 | $617,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 107,066 | $617,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 24,528 | $615,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 43,563 | $614,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 44,004 | $614,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 67,355 | $610,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 38,831 | $610,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 66,654 | $609,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 16,142 | $608,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 30,095 | $608,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 20,282 | $607,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 31,912 | $607,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 29,522 | $607,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 16,717 | $606,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 20,473 | $605,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 72,398 | $604,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 15,531 | $604,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 22,762 | $602,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 21,623 | $601,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 15,966 | $601,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 47,220 | $600,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 90,500 | $598,000 | thousands by filing date | call |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 22,799 | $598,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 44,270 | $598,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 85,025 | $596,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 50,683 | $594,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 3,763 | $593,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 21,434 | $592,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 72,247 | $589,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 50,437 | $589,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 991,418 | $587,000 | thousands by filing date | put |
| HERON THERAPEUTICS INC | 427746102 | COM | 32,450 | $587,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 39,783 | $587,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 63,330 | $587,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 47,661 | $586,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 31,172 | $586,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 23,100 | $585,000 | thousands by filing date | call |
| LENDINGCLUB CORP | 52603A109 | COM | 141,869 | $585,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 54,058 | $584,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 97,101 | $584,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 28,014 | $583,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 142,500 | $583,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 93,200 | $582,000 | thousands by filing date | put |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 310,000 | $582,000 | thousands by filing date | principal |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 130,000 | $581,000 | thousands by filing date | put |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 15,074 | $581,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 37,791 | $580,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 466,234 | $578,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 54,559 | $577,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 205,758 | $577,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 50,152 | $573,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 61,864 | $572,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 26,959 | $570,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 32,354 | $570,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 550,000 | $570,000 | thousands by filing date | principal |
| WILLDAN GROUP INC | 96924N100 | COM | 23,764 | $569,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 86,072 | $569,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 27,844 | $569,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 56,212 | $568,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 34,457 | $567,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 7,758 | $567,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 22,491 | $566,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 498,200 | $565,000 | thousands by filing date | put |
| ATRICURE INC | 04963C209 | COM | 30,949 | $565,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 22,492 | $564,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 15,880 | $563,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 100,000 | $563,000 | thousands by filing date | put |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 32,396 | $563,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 143,967 | $562,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 21,216 | $561,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 123,454 | $561,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 46,696 | $561,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 165,208 | $558,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 4,305 | $557,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 78,366 | $556,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 94,758 | $555,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 49,465 | $555,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 151,862 | $553,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 41,929 | $553,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 92,750 | $552,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 57,020 | $549,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 19,503 | $548,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 13,496 | $546,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 13,391 | $546,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 36,419 | $546,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 50,683 | $545,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 47,779 | $544,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 25,928 | $542,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 13,039 | $541,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 13,255 | $541,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 20,002 | $541,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 530,500 | $541,000 | thousands by filing date | call |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 64,230 | $541,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 64,351 | $540,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 14,071 | $539,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 36,352 | $538,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 12,802 | $538,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 35,105 | $537,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 716,800 | $537,000 | thousands by filing date | put |
| EHEALTH INC | 28238P109 | COM | 30,907 | $537,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 20,331 | $536,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 54,156 | $535,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 15,893 | $535,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 129,099 | $535,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 17,287 | $534,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 10,689 | $534,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 41,908 | $534,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 15,579 | $534,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 12,055 | $533,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 57,571 | $533,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 36,071 | $533,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 1,260,070 | $532,000 | thousands by filing date | put |
| TERADYNE INC | 880770AG7 | NOTE | 372,000 | $532,000 | thousands by filing date | principal |
| LIBERTY | 531229888 | COMMON STOCK | 23,750 | $528,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 89,847 | $528,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 33,962 | $527,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 77,994 | $526,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 117,615 | $524,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 97,554 | $522,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 11,575 | $521,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 481,400 | $521,000 | thousands by filing date | call |
| ACCURAY INC DEL | 004397105 | COM | 121,054 | $520,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 19,201 | $520,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 52,152 | $520,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 16,172 | $520,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 6,639 | $519,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 62,077 | $519,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 36,491 | $518,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 127,400 | $518,000 | thousands by filing date | put |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 163,683 | $518,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 47,451 | $517,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 219,928 | $517,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 600,000 | $517,000 | thousands by filing date | principal |
| FARO TECHNOLOGIES INC | 311642102 | COM | 10,977 | $516,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 32,663 | $514,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 12,610 | $514,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 14,578 | $513,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 12,415 | $512,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 352,900 | $511,000 | thousands by filing date | call |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 32,730 | $511,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 390,300 | $510,000 | thousands by filing date | call |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 30,892 | $510,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 32,767 | $509,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 47,718 | $509,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 14,314 | $507,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 69,343 | $507,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 486,000 | $507,000 | thousands by filing date | principal |
| AMERICAS CAR-MART INC | 03062T105 | COM | 11,317 | $506,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 21,517 | $505,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 18,162 | $502,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 5,891 | $502,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 10,845 | $502,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 37,468 | $501,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 40,631 | $501,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 19,036 | $499,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 13,940 | $499,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 51,180 | $499,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 27,704 | $497,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 480,000 | $497,000 | thousands by filing date | principal |
| GP STRATEGIES CORP | 36225V104 | COM | 21,402 | $496,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 29,757 | $495,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 12,871 | $495,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 8,082 | $494,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 6,909 | $494,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 20,257 | $494,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 61,926 | $493,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 40,878 | $492,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 11,631 | $492,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 15,996 | $491,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 630,044 | $490,000 | thousands by filing date | put |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 36,055 | $490,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 159,500 | $490,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 9,490 | $489,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 13,742 | $489,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 52,848 | $489,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 19,515 | $489,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 30,506 | $489,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 23,831 | $488,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 29,963 | $488,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 18,426 | $487,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 48,686 | $487,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 22,173 | $486,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 77,200 | $485,000 | thousands by filing date | call |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 32,830 | $485,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 51,955 | $484,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 89,404 | $484,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 27,499 | $484,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 18,041 | $482,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 242,200 | $482,000 | thousands by filing date | call |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 7,586 | $482,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 30,666 | $482,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 17,191 | $481,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 117,745 | $480,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 29,800 | $480,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 668,400 | $478,000 | thousands by filing date | put |
| SPOK HLDGS INC COM | 84863T106 | Stock | 30,408 | $476,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 645,025 | $475,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 590,400 | $473,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,531 | $473,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 14,684 | $473,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 18,614 | $472,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 70,317 | $472,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 27,069 | $471,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 15,614 | $471,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 33,258 | $470,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 15,713 | $469,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 55,487 | $468,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,882 | $467,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 27,875 | $467,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 200,000 | $466,000 | thousands by filing date | call |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 19,639 | $466,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 22,483 | $465,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 105,431 | $465,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 5,778 | $464,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 51,644 | $464,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 19,312 | $464,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 7,210 | $464,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 39,936 | $462,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,971 | $461,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 30,909 | $461,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 66,500 | $460,000 | thousands by filing date | call |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 392,000 | $460,000 | thousands by filing date | principal |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 16,858 | $458,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 30,000 | $457,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 55,466 | $457,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 146,615 | $457,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 17,094 | $455,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 30,937 | $455,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 60,600 | $455,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 45,953 | $455,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 19,815 | $454,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 15,777 | $452,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 16,100 | $452,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 20,712 | $452,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,500 | $450,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 101,189 | $450,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 13,289 | $449,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 40,779 | $448,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 32,039 | $446,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 10,651 | $446,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,042,800 | $444,000 | thousands by filing date | put |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 16,961 | $444,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 29,245 | $444,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 14,327 | $443,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 12,658 | $442,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 133,100 | $441,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 38,017 | $441,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 11,540 | $440,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 428,000 | $440,000 | thousands by filing date | principal |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 12,879 | $439,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 721,900 | $438,000 | thousands by filing date | call |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 39,128 | $436,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 472,248 | $435,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 15,500 | $434,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 34,632 | $434,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 43,366 | $434,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 40,390 | $433,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 15,734 | $433,000 | 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 |