13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-02, with 6,636 holding rows worth $337,898,854,000.
- Accession
- 0000072971-18-000322
- Filer
- CIK 72971
- Filed
- 2018-05-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 21,308 entries on the cover page, a total value of $337,898,854,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $337,898,854,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- 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 managerRock Creek Group, LP028-13780
- included managerAnalytic Investors, LLC reporting on behalf of 361 CAPITAL LLC
- included managerAnalytic Investors, LLC reporting on behalf of SEI INVESTMENTS CO
- included managerANALYTIC INVESTORS, LLC028-04895
- included managerAnalytic Investors, LLC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
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 |
|---|---|---|---|---|---|---|
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 70,005 | $193,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 31,995 | $193,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 39,303 | $192,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 212,400 | $192,000 | thousands by filing date | put |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 13,474 | $192,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 77,800 | $191,000 | thousands by filing date | put |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 3,810 | $190,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 6,101 | $190,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 4,865 | $190,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 26,260 | $189,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 13,579 | $189,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 27,428 | $189,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 16,245 | $189,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 172,183 | $188,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 34,518 | $188,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 22,874 | $188,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 168,000 | $188,000 | thousands by filing date | principal |
| VERACYTE INC COM | 92337F107 | Stock | 33,583 | $187,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 9,725 | $187,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 150,947 | $187,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 50,000 | $186,000 | thousands by filing date | put |
| RIMINI STR INC DEL | 76674Q107 | COM | 21,812 | $186,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,215 | $186,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 14,768 | $184,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 20,000 | $183,000 | thousands by filing date | call |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 20,078 | $183,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 14,146 | $182,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 6,629 | $182,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 46,138 | $182,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 20,689 | $181,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 15,905 | $180,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 35,871 | $180,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 13,864 | $180,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 14,965 | $179,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 181,000 | $179,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 5,958 | $178,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 25,066 | $178,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 48,592 | $178,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 11,941 | $177,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,149 | $177,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 7,182 | $176,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 19,777 | $176,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 34,235 | $176,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 40,011 | $176,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 146,000 | $175,000 | thousands by filing date | put |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 83,142 | $175,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,861 | $175,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 33,569 | $175,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 64,367 | $175,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 35,033 | $173,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 9,581 | $173,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 6,935 | $173,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 35,431 | $173,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 22,918 | $172,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 49,600 | $171,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 142,500 | $171,000 | thousands by filing date | put |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 13,307 | $171,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,137 | $170,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 6,321 | $170,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 49,921 | $170,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 22,304 | $169,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 28,945 | $169,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 53,386 | $169,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 41,847 | $169,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 11,487 | $169,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 5,409 | $168,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 12,325 | $168,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 43,554 | $168,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 26,607 | $168,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 8,271 | $167,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 9,736 | $167,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,504 | $166,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 110,800 | $166,000 | thousands by filing date | call |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 15,800 | $165,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 19,347 | $165,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 76,600 | $164,000 | thousands by filing date | put |
| POST HLDGS INC | 737446104 | COM | 33,000 | $164,000 | thousands by filing date | put |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 11,389 | $164,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 33,286 | $164,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 315,500 | $164,000 | thousands by filing date | put |
| American Tower Corporation | 03027X100 | COM | 31,600 | $163,000 | thousands by filing date | call |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,763 | $163,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 22,027 | $163,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 34,572 | $163,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 53,886 | $162,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 8,638 | $162,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 22,927 | $162,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 40,000 | $161,000 | thousands by filing date | call |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 12,460 | $161,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 15,000 | $160,000 | thousands by filing date | call |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 26,200 | $160,000 | thousands by filing date | put |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 12,269 | $160,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 5,375 | $160,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 19,327 | $159,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,155 | $159,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 323,700 | $159,000 | thousands by filing date | call |
| MMA Capital Management LLC | 55315D105 | COM | 5,832 | $159,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 44,363 | $159,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 20,793 | $158,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 55,456 | $158,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 52,889 | $158,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 3,754 | $158,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 156,000 | $158,000 | thousands by filing date | principal |
| Abbott Laboratories | 002824100 | COM | 62,300 | $157,000 | thousands by filing date | call |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 40,674 | $157,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 5,897 | $157,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $156,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 5,994 | $156,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 40,834 | $156,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 10,010 | $155,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 7,039 | $155,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 1,907 | $154,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 46,542 | $154,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 9,206 | $154,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 83,427 | $154,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 19,500 | $154,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 85,000 | $153,000 | thousands by filing date | put |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 13,887 | $153,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 16,500 | $152,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 15,200 | $152,000 | thousands by filing date | put |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 13,142 | $152,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 7,009 | $152,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 20,686 | $151,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 18,837 | $151,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 67,413 | $151,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 35,800 | $150,000 | thousands by filing date | call |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 41,000 | $150,000 | thousands by filing date | put |
| CARMAX INC COM | 143130102 | Stock | 24,600 | $150,000 | thousands by filing date | put |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 18,191 | $149,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 6,967 | $149,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 47,415 | $149,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 26,875 | $149,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,665 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 11,836 | $148,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 6,165 | $148,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 17,883 | $148,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 50,000 | $147,000 | thousands by filing date | put |
| CYTOSORBENTS CORP | 23283X206 | CMN | 20,849 | $147,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 132,900 | $146,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 71,140 | $146,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,130 | $146,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 10,300 | $146,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 2,709 | $145,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 10,329 | $145,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 5,521 | $145,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 150,000 | $145,000 | thousands by filing date | principal |
| IAMGOLD CORP COM | 450913108 | Stock | 27,833 | $144,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 348,600 | $144,000 | thousands by filing date | call |
| ALICO INC | 016230104 | COM | 5,274 | $144,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 3,845 | $144,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 13,102 | $144,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 150,000 | $143,000 | thousands by filing date | put |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 13,038 | $143,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 20,215 | $143,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 7,765 | $142,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 64,436 | $142,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 7,031 | $141,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 15,830 | $141,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 20,849 | $141,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,206 | $141,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,394 | $140,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,675 | $140,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 24,986 | $140,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $139,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 54,848 | $139,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,898 | $139,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 5,700 | $139,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 86,000 | $139,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,829 | $138,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 78,000 | $137,000 | thousands by filing date | put |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 18,201 | $137,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 10,374 | $137,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 151,000 | $137,000 | thousands by filing date | principal |
| CAREDX INC | 14167L103 | COM | 16,980 | $136,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 6,149 | $136,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 6,193 | $135,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $135,000 | thousands by filing date | principal |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,088 | $134,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 2,500 | $134,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 65,200 | $134,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 113,765 | $134,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 5,000 | $133,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 17,100 | $132,000 | thousands by filing date | put |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,568 | $131,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,231 | $131,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,147 | $131,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 16,698 | $131,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 9,808 | $131,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 18,711 | $131,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 483,400 | $130,000 | thousands by filing date | put |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 27,723 | $130,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 8,400 | $129,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 10,635 | $129,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 35,380 | $129,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 20,484 | $128,000 | thousands by filing date | put |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 8,035 | $128,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,541 | $128,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 7,983 | $128,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 17,583 | $127,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 5,303 | $127,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 42,305 | $127,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 1,459 | $127,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 15,962 | $126,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $126,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 24,217 | $126,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 168,400 | $126,000 | thousands by filing date | call |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 24,786 | $126,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 8,640 | $126,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 762 | $126,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 9,702 | $125,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 12,470 | $125,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 147,301 | $125,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 17,888 | $125,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 40,698 | $125,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 11,004 | $125,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 18,148 | $125,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 13,505 | $124,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 7,461 | $124,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 63,960 | $124,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 14,214 | $124,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 111 | $124,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 6,357 | $123,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 24,500 | $122,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 12,903 | $122,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 8,387 | $122,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 67,413 | $122,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 929 | $121,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 196,300 | $121,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,948 | $121,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 16,370 | $120,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,831 | $120,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 3,503 | $120,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 11,651 | $120,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 120,000 | $120,000 | thousands by filing date | principal |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 5,523 | $119,000 | thousands by filing date | |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 50,000 | $119,000 | thousands by filing date | principal |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,913 | $119,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 15,698 | $118,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 91,300 | $118,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 69,806 | $118,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 61,300 | $117,000 | thousands by filing date | call |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,896 | $117,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 76,663 | $117,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 5,132 | $117,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 1,660 | $116,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 6,371 | $116,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 37,626 | $116,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 16,113 | $116,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 87,671 | $115,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 7,469 | $115,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 43,126 | $114,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 39,300 | $113,000 | thousands by filing date | put |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 39,200 | $113,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 98,300 | $113,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 39,135 | $113,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 100,000 | $113,000 | thousands by filing date | principal |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 19,346 | $112,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 22,573 | $112,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 9,040 | $111,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 28,263 | $111,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 9,619 | $111,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 110,000 | $111,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,322 | $111,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 490,700 | $110,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 14,402 | $110,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 20,000 | $109,000 | thousands by filing date | put |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 14,531 | $109,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,294 | $109,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 9,900 | $108,000 | thousands by filing date | call |
| KOPIN CORP | 500600101 | COMMON STOCK | 34,817 | $108,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 28,396 | $108,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 3,387 | $107,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 26,920 | $107,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 3,728 | $106,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 26,100 | $106,000 | thousands by filing date | put |
| ISHARES TR | 46429B515 | CMN | 2,520 | $106,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 106,000 | $106,000 | thousands by filing date | principal |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 24,830 | $106,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,000 | $105,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 425,000 | $105,000 | thousands by filing date | call |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 16,924 | $104,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 85,000 | $104,000 | thousands by filing date | put |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 151,315 | $104,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 100,000 | $104,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 838 | $103,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 10,337 | $103,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 40,000 | $103,000 | thousands by filing date | put |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,777 | $103,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 8,301 | $103,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 110,000 | $103,000 | thousands by filing date | principal |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 9,336 | $103,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 42,601 | $102,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 50,300 | $102,000 | thousands by filing date | put |
| JAMBA INC | 47023A309 | COM NEW | 11,914 | $102,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,259 | $102,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 6,002 | $102,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 100,000 | $102,000 | thousands by filing date | principal |
| CELADON GROUP INC | 150838100 | COM | 27,328 | $101,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 8,580 | $101,000 | thousands by filing date | |
| COLONY NORTHSTAR CR REAL EST | 19626A101 | COM CL A | 5,339 | $101,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 186,500 | $100,000 | thousands by filing date | put |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 100,000 | $100,000 | thousands by filing date | principal |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 7,538 | $99,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 68,000 | $99,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 3,063 | $99,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 1,600 | $99,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 125,100 | $98,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,296 | $98,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 7,042 | $98,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 2,318 | $98,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 9,632 | $98,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 28,128 | $98,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 1,962 | $97,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 3,691 | $97,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 6,015 | $97,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,334 | $97,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 31,776 | $97,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,107 | $97,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 15,616 | $97,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 11,543 | $97,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 16,131 | $96,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 2,901 | $96,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 20,000 | $96,000 | thousands by filing date | put |
| OPHTHOTECH CORP | 683745103 | COM | 35,342 | $96,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 7,911 | $96,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 225,700 | $95,000 | thousands by filing date | call |
| YELP INC CL A | 985817105 | Stock | 165,000 | $95,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 100,000 | $95,000 | thousands by filing date | call |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 9,545 | $95,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 25,057 | $95,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 12,500 | $94,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 25,379 | $94,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 6,251 | $94,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 25,400 | $94,000 | thousands by filing date | call |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 4,700 | $94,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 45,128 | $94,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 52,086 | $94,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 12,722 | $94,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 9,876 | $94,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 2,834 | $93,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 57,425 | $93,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 4,381 | $93,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 22,500 | $92,000 | thousands by filing date | put |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 4,601 | $92,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 4,055 | $92,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 14,114 | $92,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 4,244 | $91,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 17,954 | $91,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 11,053 | $91,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 33,476 | $91,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 33,398 | $91,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,766 | $91,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 23,284 | $91,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 25,849 | $90,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 25,000 | $89,000 | thousands by filing date | put |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 6,336 | $89,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,186 | $89,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 24,614 | $89,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 63,300 | $88,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 6,901 | $88,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 5,598 | $88,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 10,993 | $88,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 85,106 | $88,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 7,601 | $88,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 27,649 | $88,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 125,000 | $87,000 | thousands by filing date | put |
| GOLDFIELD CORP | 381370105 | COM | 22,771 | $87,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 4,210 | $87,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 528,400 | $86,000 | thousands by filing date | call |
| GAIA INC NEW | 36269P104 | CL A | 5,530 | $86,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 14,638 | $86,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 4,189 | $85,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 24,725 | $85,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 852 | $85,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,227 | $85,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,495 | $85,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 58,678 | $85,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000,000 | $84,000 | thousands by filing date | call |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 11,519 | $84,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 21,500 | $83,000 | thousands by filing date | put |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,917 | $83,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 30,149 | $83,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $83,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 56,000 | $83,000 | thousands by filing date | principal |
| SYNLOGIC INC | 87166L100 | COM | 8,941 | $83,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 56,936 | $83,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 19,600 | $82,000 | thousands by filing date | put |
| NUCOR CORP COM | 670346105 | Stock | 33,000 | $82,000 | thousands by filing date | put |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 62,700 | $82,000 | thousands by filing date | call |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 11,000 | $82,000 | thousands by filing date | call |
| SECUREWORKS CORP | 81374A105 | CL A | 10,111 | $82,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 13,153 | $82,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 9,431 | $82,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 9,039 | $82,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,868 | $82,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 3,115 | $81,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 10,657 | $81,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,076 | $81,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 40,585 | $81,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 15,213 | $81,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 7,300 | $81,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 686 | $80,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 14,838 | $80,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 2,593 | $80,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 10,952 | $80,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $80,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 4,915 | $80,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,660 | $79,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 16,225 | $79,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 9,833 | $79,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,767 | $79,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 5,117 | $78,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,250 | $78,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2,466 | $78,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 7,301 | $78,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 47,000 | $78,000 | thousands by filing date | principal |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 20,467 | $77,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,199 | $77,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 3,837 | $77,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 2,628 | $77,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 255,500 | $76,000 | thousands by filing date | call |
| GARRISON CAP INC | 366554103 | COM | 9,320 | $76,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4,514 | $76,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,459 | $76,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 4,649 | $75,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 25,360 | $75,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 20,607 | $75,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 2,336 | $74,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 10,638 | $74,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 4,117 | $74,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 67,000 | $74,000 | thousands by filing date | principal |
| GENERAL ELEC CO | 369604103 | COM | 1,327,300 | $73,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 8,545 | $73,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 37,500 | $73,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 20,000 | $72,000 | thousands by filing date | put |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 194,300 | $72,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 100,000 | $72,000 | thousands by filing date | put |
| MBIA INC | 55262C100 | COMMON STOCK | 1,200,000 | $72,000 | thousands by filing date | put |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,448 | $72,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 31,784 | $72,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 5,094 | $72,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 5,901 | $72,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 17,854 | $72,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 2,321 | $71,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,962 | $71,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 17,671 | $71,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 3,102 | $71,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 9,903 | $71,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,557 | $71,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 24,459 | $71,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 35,000 | $70,000 | thousands by filing date | put |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,908 | $70,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 40,000 | $69,000 | thousands by filing date | put |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 31,200 | $69,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 30,000 | $69,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 95,411 | $69,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 4,435 | $69,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 3,487 | $69,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 17,429 | $68,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 2,350 | $68,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 180,000 | $68,000 | thousands by filing date | call |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 5,251 | $68,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 5,755 | $68,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 40,000 | $67,000 | thousands by filing date | put |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 17,600 | $67,000 | thousands by filing date | put |
| SANOFI | 80105N113 | COMMON STOCK-FO | 159,734 | $67,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 19,258 | $67,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 25,501 | $67,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 220,200 | $66,000 | thousands by filing date | put |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 36,000 | $66,000 | thousands by filing date | call |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 23,291 | $66,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 3,914 | $65,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 5,250 | $65,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 42,500 | $65,000 | thousands by filing date | call |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 11,803 | $65,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 102,930 | $65,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 178,465 | $65,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 17,753 | $65,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 11,599 | $65,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 26,016 | $65,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 10,300 | $64,000 | thousands by filing date | put |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 28,769 | $64,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 29,515 | $64,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 28,240 | $64,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 83,562 | $64,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,306 | $63,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 3,860 | $63,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 2,469 | $63,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 10,431 | $63,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,805 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 2,024 | $63,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 3,100 | $62,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 3,479 | $62,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 628 | $62,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 14,838 | $62,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 583 | $62,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 125,000 | $61,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 28,800 | $61,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 14,496 | $61,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 12,924 | $61,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-18-000322 | this filing | 2018-05-02 | acceptance time not in the bulk data set |