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 |
|---|---|---|---|---|---|---|
| TREDEGAR CORP | 894650100 | COM | 49,707 | $893,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 17,148 | $892,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 83,471 | $885,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 87,940 | $884,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 75,746 | $883,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 44,608 | $883,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 65,000 | $882,000 | thousands by filing date | call |
| INSTEEL INDS INC | 45774W108 | COM | 31,883 | $881,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 49,109 | $881,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 85,726 | $880,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 45,005 | $880,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 64,858 | $878,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 16,015 | $876,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 49,273 | $873,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 28,903 | $872,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 27,851 | $871,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 85,213 | $869,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 45,964 | $867,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 27,483 | $866,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 54,245 | $865,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 217,656 | $863,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 31,235 | $861,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 8,162 | $859,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 181,875 | $857,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 22,001 | $857,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 77,886 | $856,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 20,192 | $856,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 36,823 | $856,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 46,041 | $852,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 62,172 | $852,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 62,331 | $852,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 33,033 | $850,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 67,239 | $849,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 33,422 | $848,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 58,689 | $848,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 77,616 | $846,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 76,832 | $846,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 50,082 | $845,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 17,399 | $844,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 37,596 | $840,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 15,834 | $839,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 118,875 | $838,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 216,444 | $835,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 127,318 | $834,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 38,398 | $834,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 26,690 | $831,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 62,209 | $831,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 500,000 | $827,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 74,066 | $827,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 29,884 | $827,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 136,200 | $826,000 | thousands by filing date | call |
| INNERWORKINGS INC | 45773Y105 | COM | 91,175 | $826,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 64,464 | $824,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 95,376 | $823,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RVY4 | MTNF 0.125 2/2 | 850,000 | $821,000 | thousands by filing date | principal |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 32,609 | $820,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 58,609 | $819,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 44,967 | $819,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 16,066 | $812,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 13,442 | $812,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 282,400 | $808,000 | thousands by filing date | call |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 12,240 | $807,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 484,000 | $807,000 | thousands by filing date | principal |
| BAR HBR BANKSHARES | 066849100 | COM | 29,053 | $806,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 76,906 | $806,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 45,625 | $804,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 28,283 | $804,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 50,048 | $803,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 25,907 | $803,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 132,702 | $802,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 34,726 | $802,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 262,500 | $802,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 27,087 | $801,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 13,774 | $801,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 26,612 | $801,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 57,552 | $801,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 34,250 | $801,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 50,265 | $800,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 47,264 | $799,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 58,549 | $795,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 131,401 | $792,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 30,606 | $791,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 25,635 | $789,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 154,532 | $788,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 37,690 | $786,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 109,922 | $785,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 35,319 | $785,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 26,234 | $783,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 102,674 | $782,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 18,313 | $781,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 100,000 | $780,000 | thousands by filing date | put |
| LIBERTY | 531229888 | COMMON STOCK | 34,206 | $780,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 230,700 | $779,000 | thousands by filing date | call |
| SUN HYDRAULICS CORP | 866942105 | COM | 14,526 | $778,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 31,854 | $778,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 82,447 | $771,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 31,101 | $770,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 52,511 | $767,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 24,505 | $766,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 125,224 | $765,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 29,366 | $763,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 34,716 | $763,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 13,026 | $761,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 73,500 | $761,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 139,300 | $760,000 | thousands by filing date | put |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 25,426 | $760,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 109,373 | $760,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 84,046 | $759,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 20,605 | $758,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 76,439 | $754,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 248,600 | $752,000 | thousands by filing date | call |
| GDL FD | 361570104 | COM SH BEN IT | 80,534 | $751,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 85,041 | $751,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 46,417 | $751,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 9,508 | $750,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 26,296 | $750,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 71,733 | $749,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 124,191 | $748,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 22,923 | $747,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 63,543 | $745,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 28,724 | $745,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 85,474 | $744,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 45,200 | $739,000 | thousands by filing date | call |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 38,987 | $738,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 56,587 | $735,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 16,437 | $734,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 10,489 | $733,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 45,930 | $732,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 55,997 | $731,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 33,053 | $729,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 69,324 | $729,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 22,560 | $728,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 53,903 | $727,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 110,521 | $726,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 39,236 | $725,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 97,902 | $725,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 27,525 | $724,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 124,556 | $722,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 15,985 | $722,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 170,000 | $721,000 | thousands by filing date | call |
| CHEMOCENTRYX INC | 16383L106 | COM | 52,971 | $720,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 68,216 | $720,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 45,125 | $719,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 50,914 | $719,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 23,563 | $716,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 29,913 | $715,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 23,138 | $710,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 31,062 | $710,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 32,839 | $710,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 17,024 | $709,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 23,958 | $709,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 230,628 | $708,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 24,304 | $707,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 14,349 | $707,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 138,931 | $706,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 790,000 | $706,000 | thousands by filing date | principal |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 60,034 | $705,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 33,700 | $704,000 | thousands by filing date | call |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 16,920 | $704,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 61,763 | $704,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 39,747 | $700,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 390,300 | $699,000 | thousands by filing date | call |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 262,823 | $699,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 52,417 | $698,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 29,677 | $698,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 33,289 | $698,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 66,404 | $697,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 66,379 | $697,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 104,000 | $696,000 | thousands by filing date | call |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 26,521 | $695,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 61,934 | $694,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 80,254 | $693,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 18,071 | $693,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 13,393 | $692,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 17,677 | $692,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 12,801 | $691,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 22,291 | $690,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 155,171 | $690,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 17,743 | $689,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 95,352 | $688,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 155,218 | $687,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 111,979 | $687,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BR3 | NOTE 3.720% 3/1 | 665,000 | $686,000 | thousands by filing date | principal |
| MBIA INC | 55262C100 | COMMON STOCK | 73,979 | $685,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 52,723 | $685,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 52,901 | $685,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 72,443 | $684,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 17,649 | $678,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 22,573 | $677,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 45,911 | $677,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 42,785 | $677,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 198,655 | $675,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 54,513 | $675,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 49,320 | $671,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 75,891 | $670,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 46,599 | $669,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 26,833 | $667,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 58,000 | $667,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 12,724 | $665,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 128,203 | $662,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 97,880 | $660,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 400,000 | $659,000 | thousands by filing date | put |
| QAD INC-A | 74727D306 | CL A | 15,837 | $659,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 117,813 | $656,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 49,561 | $656,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 25,185 | $656,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 36,251 | $656,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 11,678 | $654,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 15,241 | $654,000 | thousands by filing date | |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 70,012 | $653,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 97,202 | $652,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 16,170 | $650,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 24,704 | $649,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 20,663 | $648,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 294,000 | $647,000 | thousands by filing date | put |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 312,100 | $647,000 | thousands by filing date | put |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 171,138 | $645,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 220,166 | $644,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 37,477 | $642,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 20,752 | $641,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 47,278 | $641,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 205,000 | $640,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 32,295 | $640,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 17,157 | $639,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 459,300 | $636,000 | thousands by filing date | call |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 122,637 | $636,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 33,145 | $633,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 121,323 | $631,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 332,100 | $630,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 395,600 | $628,000 | thousands by filing date | call |
| CENTURY ALUM CO | 156431108 | COM | 37,985 | $628,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 9,651 | $628,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,044 | $627,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 21,001 | $627,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 55,638 | $626,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 45,575 | $625,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 39,934 | $625,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 16,315 | $623,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 124,531 | $622,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 30,292 | $622,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 35,074 | $622,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 213,684 | $622,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 11,804 | $621,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 22,184 | $620,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 118,325 | $617,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 15,440 | $616,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 13,100 | $615,000 | thousands by filing date | call |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 23,984 | $615,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 669,600 | $614,000 | thousands by filing date | put |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 63,343 | $614,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 45,500 | $613,000 | thousands by filing date | put |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 23,865 | $611,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 16,337 | $609,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 21,908 | $609,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 46,985 | $609,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 18,796 | $606,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 22,537 | $602,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 13,511 | $601,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 12,212 | $600,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 100,000 | $599,000 | thousands by filing date | call |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 52,707 | $599,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 43,225 | $599,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 4,574 | $597,000 | thousands by filing date | |
| AMERICOLD REALTY TRUST INC COM | 03064D108 | REIT | 31,248 | $596,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 45,798 | $596,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 22,413 | $596,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 20,000 | $593,000 | thousands by filing date | put |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 64,345 | $592,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 30,249 | $591,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 45,445 | $591,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 499,200 | $590,000 | thousands by filing date | put |
| MODEL N INC | 607525102 | COM | 32,664 | $590,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 16,747 | $589,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 19,585 | $589,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 19,421 | $589,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 16,825 | $588,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 354,210 | $584,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 21,602 | $584,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 20,606 | $584,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 11,554 | $583,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 917,626 | $583,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 141,725 | $582,000 | thousands by filing date | put |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 465,000 | $581,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 563,000 | $580,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 19,724 | $579,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 28,718 | $578,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 30,909 | $578,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 344,200 | $577,000 | thousands by filing date | put |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 30,801 | $576,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 19,712 | $575,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 95,300 | $574,000 | thousands by filing date | put |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 43,650 | $574,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 12,574 | $574,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 52,387 | $574,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 54,323 | $573,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 645,000 | $573,000 | thousands by filing date | principal |
| CULP INC | 230215105 | CMN | 18,718 | $572,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 31,935 | $571,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 42,748 | $570,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 225,000 | $569,000 | thousands by filing date | call |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 16,986 | $569,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 89,284 | $568,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 19,870 | $567,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 14,550 | $566,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 28,218 | $566,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 11,615 | $566,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 41,048 | $566,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 33,402 | $565,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 12,821 | $564,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 132,000 | $564,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 208,884 | $563,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 39,535 | $562,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 94,451 | $561,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 52,387 | $561,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 70,111 | $560,000 | thousands by filing date | put |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 17,618 | $560,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 18,035 | $560,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 28,014 | $558,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 73,340 | $558,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 14,658 | $556,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 15,332 | $555,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 60,265 | $555,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 545,000 | $555,000 | thousands by filing date | principal |
| Walt Disney Co | 254687106 | COM | 122,940 | $550,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 45,052 | $550,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 133,601 | $549,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 43,259 | $548,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 23,284 | $548,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 41,715 | $548,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 11,419 | $546,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 13,479 | $544,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 89,056 | $544,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 46,491 | $543,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 52,920 | $542,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 48,332 | $542,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 50,789 | $541,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 81,387 | $541,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 28,329 | $540,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 21,495 | $540,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 49,502 | $540,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 42,497 | $540,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 74,678 | $539,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 4,898 | $538,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 14,300 | $538,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 34,722 | $537,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 51,087 | $537,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 5,378 | $535,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 163,481 | $535,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 35,861 | $535,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 25,352 | $534,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 124,353 | $529,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 47,224 | $528,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 55,157 | $525,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 35,468 | $525,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 19,188 | $520,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 131,870 | $520,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 89,028 | $518,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 75,964 | $518,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 41,646 | $518,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 26,580 | $517,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 33,039 | $516,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 19,998 | $516,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 15,607 | $515,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 53,002 | $515,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,419,800 | $512,000 | thousands by filing date | call |
| CYTOKINETICS INC | 23282W605 | COM NEW | 71,156 | $512,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 13,442 | $512,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 70,658 | $512,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 19,081 | $509,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 26,847 | $509,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 15,413 | $509,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 439,100 | $508,000 | thousands by filing date | call |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 42,342 | $508,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 500,000 | $507,000 | thousands by filing date | principal |
| AK STEEL HOLDING CORP | 001547108 | COM | 710,000 | $506,000 | thousands by filing date | call |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 19,154 | $505,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 68,263 | $505,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 500,000 | $505,000 | thousands by filing date | principal |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 18,327 | $503,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 55,056 | $503,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 101,265 | $502,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 38,905 | $501,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 19,548 | $500,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 38,048 | $500,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 486,000 | $500,000 | thousands by filing date | principal |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 19,206 | $499,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 4,133 | $498,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 57,900 | $497,000 | thousands by filing date | put |
| Applied Materials,Inc. | 038222105 | COM | 75,000 | $496,000 | thousands by filing date | put |
| LENDINGCLUB CORP | 52603A109 | COM | 141,869 | $496,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 63,709 | $495,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 19,778 | $495,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 149,804 | $495,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 43,174 | $495,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 80,742 | $493,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 13,793 | $492,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 10,662 | $491,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 40,703 | $490,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 208,647 | $490,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 33,093 | $488,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 307,000 | $488,000 | thousands by filing date | put |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 6,210 | $487,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 25,693 | $487,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 33,867 | $487,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 15,231 | $486,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 41,579 | $484,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 45,001 | $484,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 36,036 | $483,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 28,104 | $482,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 4,836 | $482,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 57,700 | $481,000 | thousands by filing date | put |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 93,611 | $481,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 26,447 | $481,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 13,898 | $480,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 200,000 | $480,000 | thousands by filing date | call |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 18,425 | $480,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 14,974 | $480,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 87,883 | $478,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 6,806 | $478,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 12,793 | $477,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 112,176 | $477,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 18,577 | $476,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 26,826 | $475,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 95,920 | $475,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 31,653 | $474,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 44,688 | $474,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 16,154 | $474,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 48,085 | $474,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 17,828 | $473,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 24,530 | $473,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 18,565 | $473,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 60,561 | $473,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 11,262 | $472,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 10,433 | $472,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 31,924 | $472,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 18,406 | $470,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 12,668 | $469,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 50,436 | $468,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 13,772 | $468,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 44,676 | $468,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 29,825 | $467,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 43,480 | $467,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 39,427 | $466,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 15,137 | $465,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 20,440 | $465,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 145,156 | $464,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 53,990 | $464,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 29,950 | $463,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 34,258 | $462,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 8,791 | $462,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 27,323 | $462,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 19,300 | $461,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 282,925 | $460,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 32,104 | $460,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,455 | $460,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $458,000 | thousands by filing date | put |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 12,968 | $458,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 32,891 | $458,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 13,863 | $457,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 17,422 | $457,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 185,859 | $457,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 23,628 | $456,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 32,675 | $454,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 94,450 | $454,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 49,500 | $453,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 55,507 | $453,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 47,695 | $453,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,962 | $452,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 319,056 | $450,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 65,000 | $449,000 | thousands by filing date | put |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 11,724 | $449,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 39,274 | $449,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 43,335 | $448,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 9,100 | $447,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 26,476 | $447,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 27,254 | $447,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 166,000 | $446,000 | thousands by filing date | call |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 19,268 | $445,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 51,347 | $444,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 19,605 | $444,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 392,000 | $444,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,489 | $442,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 8,986 | $442,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 12,754 | $441,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 9,814 | $441,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 11,066 | $440,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 15,518 | $440,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 50,416 | $440,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 18,391 | $439,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 7,500 | $437,000 | thousands by filing date | call |
| CALIX INC | 13100M509 | COM | 63,780 | $437,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 10,104 | $437,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 27,364 | $436,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 18,312 | $435,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 117,142 | $435,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 17,071 | $434,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 35,778 | $434,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 9,436 | $433,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 36,401 | $433,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 11,200 | $433,000 | 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 |