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 |
|---|---|---|---|---|---|---|
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 28,903 | $61,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,202 | $61,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 9,004 | $60,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 8,029 | $60,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 2,625 | $60,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 60,000 | $60,000 | thousands by filing date | principal |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 10,004 | $59,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,930 | $59,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,966 | $59,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,500 | $59,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 7,587 | $59,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,795 | $59,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 20,999 | $59,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $59,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 28,532 | $59,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 1,734 | $59,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 34,600 | $58,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 5,739 | $58,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 8,032 | $58,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,545 | $58,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 39,702 | $58,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 35,238 | $58,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 23,700 | $57,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 2,294 | $57,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 20,000 | $57,000 | thousands by filing date | put |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,965 | $57,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 100,000 | $57,000 | thousands by filing date | call |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 170,000 | $57,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 2,741 | $57,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 25,500 | $56,000 | thousands by filing date | call |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 6,550 | $56,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 9,801 | $56,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 9,048 | $56,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 2,279 | $55,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,103 | $55,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 3,554 | $55,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 52,900 | $55,000 | thousands by filing date | call |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 7,565 | $55,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 7,736 | $55,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $54,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 3,109 | $54,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $54,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 12,300 | $53,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 134,000 | $53,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 316 | $53,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 2,200 | $53,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 8,100 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $53,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,264 | $53,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 45,043 | $53,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 30,000 | $52,000 | thousands by filing date | call |
| CVD EQUIP CORP | 126601103 | COM | 5,660 | $52,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 1,499 | $52,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 200,000 | $52,000 | thousands by filing date | put |
| ATYR PHARMA INC | 002120103 | COM | 19,760 | $52,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 3,670 | $52,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 4,126 | $51,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 404,200 | $51,000 | thousands by filing date | call |
| QIWI PLC | 74735M108 | SPON ADR REP B | 2,670 | $51,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,501 | $51,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 33,208 | $51,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 13,400 | $50,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,582 | $50,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 688 | $50,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 59,165 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 5,725 | $50,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,860 | $49,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 590 | $49,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 990 | $49,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 75,000 | $49,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 30,803 | $49,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 35,476 | $49,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 41,579 | $49,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 750 | $48,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 6,838 | $48,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,116 | $48,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 25,440 | $48,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 28,600 | $47,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 2,000 | $47,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 26,600 | $47,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 954 | $47,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,298 | $47,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,048 | $47,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 37,300 | $47,000 | thousands by filing date | put |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 5,831 | $47,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 11,511 | $47,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 288 | $47,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 50,000 | $47,000 | thousands by filing date | principal |
| American Tower Corporation | 03027X100 | COM | 31,600 | $46,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 96,100 | $46,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,620 | $46,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 25,555 | $46,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 70,822 | $46,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $46,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 75,000 | $46,000 | thousands by filing date | put |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 47,059 | $46,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 39,000 | $46,000 | thousands by filing date | principal |
| TERADYNE INC COM | 880770102 | Stock | 35,500 | $45,000 | thousands by filing date | put |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 920 | $45,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 29,100 | $45,000 | thousands by filing date | call |
| VERITONE INC | 92347M100 | COM | 3,237 | $45,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 99,200 | $45,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 5,151 | $45,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 10,296 | $45,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 14,345 | $45,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 43,000 | $45,000 | thousands by filing date | principal |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 5,979 | $45,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 21,501 | $45,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 34,000 | $44,000 | thousands by filing date | call |
| AQUA METALS INC | 03837J101 | COM | 16,956 | $44,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $44,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 17,900 | $43,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 1,257 | $43,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 1,855 | $43,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,000 | $43,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 10,000 | $42,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,933 | $42,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,284 | $42,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 66,500 | $42,000 | thousands by filing date | call |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,090 | $42,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 1,673 | $42,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,827 | $42,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 104,755 | $42,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $42,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 30,700 | $41,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 134,000 | $41,000 | thousands by filing date | put |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 35,000 | $41,000 | thousands by filing date | put |
| MIMECAST LIMITED | G14838109 | ORD SHS | 1,132 | $40,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 5,291 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 450 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,284 | $40,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,504 | $40,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 11,164 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,680 | $40,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 8,500 | $39,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 34,932 | $39,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 500 | $38,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 1,040 | $38,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 209,500 | $38,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 964 | $38,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,683 | $38,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 42,300 | $38,000 | thousands by filing date | call |
| SEADRILL ORD | G7945E105 | COM | 194,955 | $38,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 3,400 | $38,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 105,675 | $38,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,400 | $38,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 535 | $38,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,900 | $38,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 1,004 | $38,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AU7 | COM | 8,000 | $38,000 | thousands by filing date | principal |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,182 | $37,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 95,400 | $37,000 | thousands by filing date | put |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 2,209 | $37,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 2,754 | $37,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,751 | $37,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 3,086 | $37,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $37,000 | thousands by filing date | principal |
| STATE STR CORP COM | 857477103 | Stock | 5,900 | $36,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 514 | $36,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,260 | $36,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 17,321 | $36,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 6,000 | $36,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 9,912 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,200 | $36,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 18,200 | $35,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 2,500 | $35,000 | thousands by filing date | put |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 156,700 | $35,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $35,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,090 | $35,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 22,000 | $35,000 | thousands by filing date | call |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 6,000 | $35,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 2,872 | $35,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 174,000 | $34,000 | thousands by filing date | call |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $34,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,624 | $34,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,000 | $34,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,751 | $34,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 326 | $34,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,416 | $34,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 11,402 | $34,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 35,000 | $34,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 898 | $33,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 469 | $33,000 | thousands by filing date | |
| BANKUNITED INC | 06652K103 | COM | 21,900 | $33,000 | thousands by filing date | call |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 620 | $33,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,937 | $33,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 6,885 | $33,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,536 | $33,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 40,000 | $33,000 | thousands by filing date | principal |
| iShares MSCI Japan ETF | 46434G822 | SHS | 100,000 | $32,000 | thousands by filing date | call |
| CLOROX CO DEL | 189054109 | COM | 3,600 | $32,000 | thousands by filing date | put |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,082 | $32,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 103,600 | $32,000 | thousands by filing date | call |
| SYMANTEC CORP | 871503108 | COM | 156,100 | $32,000 | thousands by filing date | call |
| UNITED GUARDIAN INC | 910571108 | COM | 1,801 | $32,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 1,061 | $32,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,407 | $32,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,850 | $32,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,600 | $32,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 851 | $32,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 38,783 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $32,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,380 | $32,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 23,385 | $32,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,134 | $32,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 16,600 | $31,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 45,000 | $31,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,373 | $31,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 1,260 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 850 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 568 | $31,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 753 | $31,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 190 | $31,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,067 | $31,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 17,000 | $31,000 | thousands by filing date | principal |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 9,042 | $31,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 41,600 | $30,000 | thousands by filing date | put |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 38,700 | $30,000 | thousands by filing date | put |
| ARCONIC INC | 03965L100 | COM | 85,000 | $30,000 | thousands by filing date | call |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,224 | $30,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 10,983 | $30,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,304 | $30,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $30,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 68,700 | $29,000 | thousands by filing date | call |
| RH | 74967X103 | COM | 22,500 | $29,000 | thousands by filing date | put |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,560 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 233 | $29,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 6,000 | $29,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 28,001 | $29,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 2,900 | $29,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,520 | $28,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 4,715 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 774 | $28,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,136 | $28,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 21,196 | $28,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 3,734 | $28,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 4,200 | $28,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,196 | $28,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 16,800 | $28,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 1,900 | $28,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 19,500 | $27,000 | thousands by filing date | call |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,271 | $27,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,000 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $27,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,942 | $27,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 30,000 | $26,000 | thousands by filing date | put |
| Waste Management, Inc. | 94106L109 | COM | 25,000 | $26,000 | thousands by filing date | put |
| SYSCOCORP | 871829107 | COM | 42,500 | $26,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 905 | $26,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 25 | $26,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 278,100 | $26,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 719 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 486 | $26,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,689 | $26,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,769 | $26,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 2,197 | $26,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 30,000 | $26,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 13,000 | $26,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $26,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,500 | $25,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 2,435 | $25,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 501 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06744M836 | NT LKD SER B26 | 170 | $25,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 1,001 | $25,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 37,000 | $24,000 | thousands by filing date | put |
| NOBLE ENERGY INC | 655044105 | COM | 36,000 | $24,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $24,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,500 | $24,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,032 | $24,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $24,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,301 | $24,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 4,230 | $24,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 3,750 | $24,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 8,000 | $24,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 22,670 | $24,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 108,916 | $23,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 175,000 | $23,000 | thousands by filing date | put |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 400 | $23,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 60,000 | $23,000 | thousands by filing date | call |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,500 | $23,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 24,000 | $23,000 | thousands by filing date | principal |
| COMERICAINC | 200340107 | COM | 9,000 | $22,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 3,119 | $22,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 20,000 | $22,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $22,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 1,090 | $22,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 3,526 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $22,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 6,000 | $22,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,125 | $22,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 965 | $22,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,060 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 10,718 | $22,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 19,000 | $22,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 457 | $22,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 10,000 | $22,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 26,400 | $21,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 73,600 | $21,000 | thousands by filing date | call |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 9,200 | $21,000 | thousands by filing date | call |
| PAMT CORP | 693149106 | COMMON STOCK | 568 | $21,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,477 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 855 | $21,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 7,600 | $21,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 15,000 | $20,000 | thousands by filing date | call |
| TEREX CORP NEW COM | 880779103 | Stock | 20,000 | $20,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 7,767 | $20,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 77,628 | $20,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 29,300 | $20,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,500 | $20,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,435 | $20,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,732 | $20,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 4,522 | $20,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 10,000 | $20,000 | thousands by filing date | put |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,000 | $20,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $20,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 15,075 | $20,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 4,000 | $19,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 45,200 | $19,000 | thousands by filing date | put |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $19,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 2,880 | $19,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 25,000 | $19,000 | thousands by filing date | principal |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,501 | $19,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,544 | $19,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 74,200 | $18,000 | thousands by filing date | call |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 8,500 | $18,000 | thousands by filing date | put |
| FOOT LOCKER INC | 344849104 | COM | 22,600 | $18,000 | thousands by filing date | put |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 915 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $18,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 16,900 | $18,000 | thousands by filing date | put |
| RADISYS CORP | 750459109 | COM | 28,596 | $18,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 9,350 | $18,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 7,226 | $18,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 5,112 | $18,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 2,001 | $18,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,700 | $17,000 | thousands by filing date | put |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 516 | $17,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 245,000 | $17,000 | thousands by filing date | call |
| TEREX CORP NEW COM | 880779103 | Stock | 154,400 | $17,000 | thousands by filing date | call |
| BIOGEN INC COM | 09062X103 | Stock | 600 | $17,000 | thousands by filing date | put |
| BXP INC COM | 101121101 | REIT | 50,000 | $17,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 44,700 | $17,000 | thousands by filing date | put |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,044 | $17,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 100,000 | $17,000 | thousands by filing date | call |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,050 | $17,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,701 | $17,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 8,511 | $17,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 18,000 | $17,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,106 | $17,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,502 | $17,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 5,049 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 560 | $17,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 54,400 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 10,500 | $16,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 2,350 | $16,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 22,800 | $16,000 | thousands by filing date | call |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 39,700 | $16,000 | thousands by filing date | put |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 152 | $16,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 8,000 | $16,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 56,300 | $16,000 | thousands by filing date | put |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 473 | $16,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 5,000 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 676 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 674 | $16,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 400 | $16,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,001 | $15,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 100,000 | $15,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 751 | $15,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 308 | $15,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 18,100 | $15,000 | thousands by filing date | put |
| COMPUGEN LTD | M25722105 | ORD | 3,435 | $15,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,053 | $15,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 500 | $15,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,305 | $15,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,000 | $15,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 500 | $15,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 16,284 | $15,000 | thousands by filing date | principal |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 7,025 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 472 | $15,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 90,000 | $14,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,782 | $14,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 3,400 | $14,000 | thousands by filing date | put |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,000 | $14,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 750 | $14,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $14,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,000 | $14,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,197 | $14,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $14,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 4,400 | $14,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 514 | $14,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 15,100 | $13,000 | thousands by filing date | call |
| MIMEDX GROUP INC | 602496101 | COM | 25,000 | $13,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 22,100 | $13,000 | thousands by filing date | put |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 213 | $13,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 4,190 | $13,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 564 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $13,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 33,900 | $13,000 | thousands by filing date | call |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $13,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 876 | $13,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $13,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 530 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $13,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 4,270 | $13,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 3,240 | $13,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,500 | $13,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 200 | $12,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 3,713 | $12,000 | thousands by filing date | put |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 40 | $12,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,225 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 100 | $12,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 2,510 | $12,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 60,000 | $12,000 | thousands by filing date | call |
| SB FINL GROUP INC | 78408D105 | COM | 673 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $12,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 973 | $12,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 3,089 | $12,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 5,600 | $12,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $12,000 | thousands by filing date | principal |
| Lockheed Martin Corporation | 539830109 | COM | 21 | $11,000 | thousands by filing date | put |
| LGI HOMES INC COM | 50187T106 | Stock | 9,800 | $11,000 | thousands by filing date | put |
| LGI HOMES INC COM | 50187T106 | Stock | 9,800 | $11,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 2,000 | $11,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 4,130 | $11,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 266 | $11,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 733 | $11,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 755 | $11,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $11,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $11,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,395 | $11,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,367 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 185 | $11,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $11,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,535 | $11,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 436 | $11,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 5,100 | $11,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 7,093 | $11,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,134 | $11,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 1,000 | $11,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 10,200 | $10,000 | thousands by filing date | call |
| Caterpillar Inc. | 149123101 | COM | 24,400 | $10,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 4,200 | $10,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 22,500 | $10,000 | thousands by filing date | call |
| HP INC COM | 40434L105 | Stock | 94 | $10,000 | thousands by filing date | put |
| DANA INC | 235825205 | COM | 12,200 | $10,000 | thousands by filing date | call |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 56 | $10,000 | thousands by filing date | put |
| UNITI GROUP INC | 91325V108 | COM | 77,700 | $10,000 | thousands by filing date | call |
| PROOFPOINT INC | 743424103 | COM | 16,000 | $10,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 375 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $10,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $10,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 250 | $10,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,503 | $10,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 169 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $10,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 404 | $10,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 4,150 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| RESTORBIO INC | 76133L103 | COM | 1,041 | $10,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 3,155 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 3,000 | $9,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 5,900 | $9,000 | thousands by filing date | put |
| AMETEK INC COM | 031100100 | Stock | 33,500 | $9,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $9,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 20,000 | $9,000 | thousands by filing date | call |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $9,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 140,000 | $9,000 | thousands by filing date | call |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,000 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 159 | $9,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 346 | $9,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,091 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 307 | $9,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 8,630 | $9,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 5,000 | $9,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 1,123 | $9,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 967 | $9,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 132 | $8,000 | thousands by filing date | put |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1,500 | $8,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 25,000 | $8,000 | thousands by filing date | put |
| WILLIAMS COS INC COM | 969457100 | Stock | 22,000 | $8,000 | thousands by filing date | put |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 39,000 | $8,000 | thousands by filing date | call |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 228 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,066 | $8,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 7,012 | $8,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 49,137 | $8,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 8,450 | $8,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 2,000 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 851 | $8,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $8,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 88 | $8,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,000 | $8,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,000 | $8,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 1,150 | $8,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 100,000 | $7,000 | thousands by filing date | call |
| EVOLUS INC | 30052C107 | COM | 790 | $7,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 10,000 | $7,000 | thousands by filing date | put |
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 |