13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-01, with 6,610 holding rows worth $337,536,395,000.
- Accession
- 0000072971-18-000404
- Filer
- CIK 72971
- Filed
- 2018-08-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 21,262 entries on the cover page, a total value of $337,536,395,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $337,536,395,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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, LLC028-04895
- 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, 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 |
|---|---|---|---|---|---|---|
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 17,680 | $469,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 117,549 | $469,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E107 | EQUAL WEGT 0-30 | 14,758 | $468,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 270,400 | $467,000 | thousands by filing date | put |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 6,042 | $467,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 14,726 | $466,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 29,064 | $466,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 27,286 | $465,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 16,785 | $465,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 74,472 | $464,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 123,100 | $463,000 | thousands by filing date | put |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 24,053 | $460,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 17,438 | $459,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 42,854 | $457,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 11,425 | $456,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 88,400 | $456,000 | thousands by filing date | put |
| AEGION CORP | 00770F104 | COMMON STOCK | 17,726 | $456,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 44,292 | $456,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 38,675 | $456,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 101,800 | $455,000 | thousands by filing date | put |
| SPOK HLDGS INC COM | 84863T106 | Stock | 30,226 | $455,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 310,000 | $454,000 | thousands by filing date | put |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 19,195 | $453,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 93,239 | $453,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 38,804 | $453,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,487 | $452,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 42,085 | $452,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 66,476 | $452,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 88,097 | $451,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 12,958 | $451,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 28,172 | $450,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 142,017 | $449,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 39,338 | $449,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 151,010 | $449,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 15,410 | $448,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 23,451 | $446,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 11,878 | $446,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 84,887 | $446,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 240,000 | $446,000 | thousands by filing date | principal |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 22,181 | $445,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 6,384 | $444,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 18,055 | $444,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 59,900 | $442,000 | thousands by filing date | call |
| SNAP INC | 83304A106 | CL A | 280,000 | $442,000 | thousands by filing date | put |
| BRIGHTCOVE INC | 10921T101 | COM | 45,782 | $442,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 87,371 | $442,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 7,834 | $441,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 34,278 | $441,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 219,672 | $441,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 8,815 | $441,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 232,400 | $440,000 | thousands by filing date | put |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 18,083 | $440,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 29,306 | $439,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 49,606 | $438,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 11,569 | $437,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 54,894 | $437,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 10,850 | $437,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 117,536 | $436,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 94,619 | $435,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 8,828 | $434,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 13,134 | $434,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 43,027 | $434,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 13,527 | $433,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 34,441 | $431,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 12,513 | $431,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 37,882 | $430,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 10,537 | $430,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 27,252 | $430,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 109,600 | $429,000 | thousands by filing date | call |
| LANDS END INC | 51509F105 | COMMON STOCK | 15,381 | $429,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 11,283 | $428,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 13,933 | $428,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 217,654 | $428,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 25,548 | $428,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 159,400 | $427,000 | thousands by filing date | call |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 24,096 | $427,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 12,203 | $426,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 12,837 | $426,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 98,700 | $426,000 | thousands by filing date | put |
| MBIA INC | 55262C100 | COMMON STOCK | 47,105 | $426,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 24,130 | $426,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 422,000 | $425,000 | thousands by filing date | principal |
| LIMONEIRA CO | 532746104 | COM | 17,202 | $424,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 24,716 | $424,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 78,530 | $423,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 72,192 | $422,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 43,695 | $422,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 28,475 | $422,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 392,000 | $422,000 | thousands by filing date | principal |
| BYLINE BANCORP INC | 124411109 | COM | 18,828 | $421,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 35,683 | $420,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 9,634 | $419,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 22,119 | $419,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 29,626 | $418,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 35,072 | $418,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 17,429 | $416,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 97,843 | $416,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 45,100 | $415,000 | thousands by filing date | put |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 443,000 | $414,000 | thousands by filing date | principal |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 57,001 | $413,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 240,000 | $411,000 | thousands by filing date | put |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 47,347 | $411,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 30,328 | $411,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 102,002 | $411,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 111,800 | $410,000 | thousands by filing date | call |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 28,747 | $410,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 13,565 | $410,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 25,658 | $410,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 431 | $409,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 55,736 | $409,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 312,000 | $408,000 | thousands by filing date | put |
| Automatic Data Processing,Inc. | 053015103 | COM | 137,143 | $408,000 | thousands by filing date | put |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 25,012 | $408,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 305,481 | $408,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 56,943 | $406,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 68,059 | $406,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 22,971 | $405,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 91,064 | $405,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 52,046 | $404,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 13,086 | $403,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 13,495 | $403,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 26,929 | $401,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 28,009 | $401,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 8,931 | $399,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 34,232 | $399,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 18,200 | $398,000 | thousands by filing date | call |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 27,341 | $398,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 14,482 | $398,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 11,071 | $398,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 10,164 | $397,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 26,137 | $396,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 34,988 | $396,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 21,925 | $395,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 25,452 | $394,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 15,701 | $393,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 38,587 | $393,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 33,131 | $392,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 139,500 | $392,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 12,609 | $391,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 26,424 | $391,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 62,434 | $391,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 24,866 | $390,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 8,704 | $390,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 11,447 | $389,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 13,337 | $389,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 28,300 | $387,000 | thousands by filing date | call |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 65,094 | $387,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 28,929 | $386,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 65,000 | $384,000 | thousands by filing date | call |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 11,922 | $384,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 38,814 | $383,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 23,201 | $382,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 32,827 | $382,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 4,285 | $381,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 6,866 | $380,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 10,370 | $380,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 15,923 | $379,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,160 | $378,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 23,031 | $378,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 42,271 | $377,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 43,456 | $377,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 10,628 | $376,000 | thousands by filing date | |
| AXA EQUITABLE HLDGS INC | 054561105 | COM | 18,256 | $376,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 2,346 | $374,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 27,096 | $374,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 265,700 | $374,000 | thousands by filing date | call |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 37,341 | $374,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 16,100 | $373,000 | thousands by filing date | call |
| READING INTL INC | 755408101 | CL A | 23,402 | $373,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 8,525 | $371,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 975,583 | $371,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 28,968 | $370,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 53,222 | $370,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 16,823 | $370,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 9,906 | $369,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 26,045 | $369,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 12,649 | $368,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 106,410 | $367,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 19,019 | $367,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 23,422 | $366,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 62,328 | $365,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 88,509 | $364,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 305,000 | $364,000 | thousands by filing date | principal |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 18,659 | $364,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 28,032 | $363,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 34,463 | $362,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 83,141 | $362,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 63,126 | $361,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 13,992 | $361,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 31,857 | $361,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 189,170 | $359,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 19,805 | $359,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 29,242 | $358,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 11,713 | $358,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 10,098 | $358,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 71,900 | $357,000 | thousands by filing date | put |
| TERRAFORM PWR INC | 88104R209 | COM CL A | 30,574 | $357,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 7,806 | $357,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 7,339 | $355,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 11,441 | $355,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 20,707 | $354,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 322,000 | $354,000 | thousands by filing date | principal |
| CORIUM INTL INC | 21887L107 | COM | 44,126 | $353,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 65,000 | $353,000 | thousands by filing date | principal |
| Lowes Companies,Inc. | 548661107 | COM | 228,670 | $352,000 | thousands by filing date | put |
| GERON CORP | 374163103 | COM | 102,612 | $352,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 149,877 | $352,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 56,462 | $351,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 22,500 | $350,000 | thousands by filing date | call |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 31,547 | $350,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 37,464 | $349,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 40,009 | $348,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 20,000 | $346,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 41,168 | $346,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 14,043 | $345,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 15,091 | $345,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 29,775 | $344,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 65,158 | $343,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 106,329 | $342,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 43,485 | $340,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 46,326 | $339,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 360,400 | $339,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 64,200 | $338,000 | thousands by filing date | put |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 106,775 | $338,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 47,396 | $338,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 41,138 | $338,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 44,228 | $337,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 119,111 | $337,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 10,405 | $335,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 25,274 | $335,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 20,377 | $334,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 17,902 | $334,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 14,089 | $333,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 13,321 | $332,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 47,308 | $332,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 18,904 | $332,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 16,371 | $331,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 85,474 | $331,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 76,032 | $331,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 68,687 | $330,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 107,858 | $330,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 65,792 | $329,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 231,700 | $327,000 | thousands by filing date | call |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 33,411 | $327,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,306 | $327,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 39,561 | $326,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 288,325 | $325,000 | thousands by filing date | put |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 50,000 | $324,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 479,000 | $323,000 | thousands by filing date | call |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 23,423 | $323,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 140,030 | $322,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 16,100 | $319,000 | thousands by filing date | call |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 23,026 | $319,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,536 | $319,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 13,922 | $319,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 362,000 | $319,000 | thousands by filing date | principal |
| PepsiCo,Inc. | 713448108 | COM | 128,900 | $318,000 | thousands by filing date | call |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 29,591 | $318,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 29,398 | $318,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 81,615 | $318,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 61,196 | $318,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 33,826 | $318,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 113,200 | $317,000 | thousands by filing date | put |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 14,336 | $317,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 20,134 | $317,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 139,300 | $316,000 | thousands by filing date | put |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 7,708 | $316,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 23,826 | $316,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 45,000 | $315,000 | thousands by filing date | put |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 28,236 | $315,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,380 | $315,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 21,755 | $315,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 310,000 | $315,000 | thousands by filing date | principal |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 21,507 | $314,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 38,425 | $313,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 12,411 | $312,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 66,693 | $311,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 13,465 | $311,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 21,710 | $310,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 310,000 | $310,000 | thousands by filing date | principal |
| UFP TECHNOLOGIES INC | 902673102 | COM | 10,024 | $309,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 13,079 | $307,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 8,407 | $306,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 15,000 | $306,000 | thousands by filing date | put |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 26,665 | $306,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 286,240 | $306,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 140,300 | $305,000 | thousands by filing date | put |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 2,723 | $305,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 53,956 | $305,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 77,352 | $305,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 40,329 | $305,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 29,209 | $305,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 10,505 | $304,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 29,353 | $304,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 25,000 | $304,000 | thousands by filing date | call |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 10,966 | $303,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 22,582 | $302,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,611 | $302,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 19,425 | $302,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 25,101 | $301,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 15,776 | $300,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 41,632 | $300,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 126,035 | $300,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 19,158 | $299,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 72,091 | $298,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 6,918 | $298,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 135,586 | $298,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 14,881 | $297,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 16,576 | $297,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 38,724 | $297,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 17,449 | $296,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 9,252 | $296,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 28,490 | $296,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 75,523 | $296,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 17,322 | $294,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 12,770 | $294,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 11,178 | $293,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 30,120 | $293,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 48,917 | $292,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 30,721 | $292,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 25,103 | $292,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 10,060 | $291,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 115,000 | $290,000 | thousands by filing date | call |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 22,611 | $290,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 8,783 | $290,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 19,213 | $290,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 74,202 | $290,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 136,623 | $290,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 96,286 | $289,000 | thousands by filing date | put |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 15,861 | $289,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 30,744 | $288,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 20,477 | $286,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 43,673 | $286,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 23,861 | $286,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 17,990 | $286,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 11,261 | $286,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 10,813 | $284,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 11,668 | $284,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 13,537 | $283,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,247 | $282,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 17,836 | $282,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 805,912 | $282,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 19,165 | $282,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 21,300 | $281,000 | thousands by filing date | call |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 15,083 | $281,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 16,615 | $281,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 124,465 | $281,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 11,941 | $281,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 11,819 | $281,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 13,300 | $280,000 | thousands by filing date | call |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 13,422 | $280,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 11,521 | $280,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 41,962 | $280,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 18,500 | $280,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $279,000 | thousands by filing date | put |
| AK STEEL HOLDING CORP | 001547108 | COM | 710,000 | $279,000 | thousands by filing date | call |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 250,000 | $279,000 | thousands by filing date | principal |
| PLUG PWR INC | 72919P202 | COM NEW | 138,044 | $278,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 12,762 | $278,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 28,323 | $276,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 7,157 | $275,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 33,163 | $275,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 12,406 | $275,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 9,372 | $275,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 100,000 | $274,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 40,220 | $273,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 8,182 | $272,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 13,832 | $271,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 273,000 | $271,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 17,903 | $269,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 8,156 | $269,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 269,000 | $269,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 45,963 | $268,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 5,098 | $268,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 32,240 | $268,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 221,600 | $266,000 | thousands by filing date | put |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 23,654 | $266,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 9,802 | $265,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 53,229 | $265,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 190,000 | $265,000 | thousands by filing date | principal |
| AVID TECHNOLOGY INC | 05367P100 | COM | 50,541 | $263,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 33,772 | $263,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 7,100 | $260,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 20,353 | $260,000 | thousands by filing date | |
| TORTOISE MLP FD INC | 89148B119 | RIGHT 07/18/2018 | 695,941 | $259,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 148,917 | $259,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 301,000 | $258,000 | thousands by filing date | put |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 15,972 | $258,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 50,120 | $258,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 6,398 | $258,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 117,500 | $257,000 | thousands by filing date | call |
| SHILOH INDUSTRIES INC | 824543102 | COM | 29,526 | $257,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 6,958 | $255,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 4,725 | $255,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 40,135 | $255,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,000 | $255,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 15,718 | $254,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 14,837 | $253,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 7,181 | $253,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 24,797 | $253,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 40,000 | $253,000 | thousands by filing date | put |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 42,221 | $253,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 27,326 | $251,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 48,814 | $251,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 16,612 | $251,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 7,420 | $251,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 275,000 | $250,000 | thousands by filing date | call |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 5,078 | $250,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 13,141 | $250,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 60,724 | $249,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 44,551 | $249,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 16,627 | $249,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 250,000 | $249,000 | thousands by filing date | principal |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 375,972 | $248,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 69,124 | $246,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 3,800 | $246,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 60,064 | $246,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 86,843 | $246,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 9,194 | $246,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 23,446 | $246,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 24,159 | $246,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 17,521 | $245,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 62,709 | $245,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 6,484 | $244,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 102,000 | $243,000 | thousands by filing date | put |
| KEYW HLDG CORP | 493723100 | COM | 27,762 | $243,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 9,349 | $243,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 645,200 | $242,000 | thousands by filing date | call |
| EHEALTH INC | 28238P109 | COM | 10,963 | $242,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 25,836 | $242,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 85,900 | $241,000 | thousands by filing date | put |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 27,264 | $241,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 24,636 | $241,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 5,646 | $241,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 20,172 | $241,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 161,800 | $239,000 | thousands by filing date | put |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 2,639 | $239,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 149,119 | $238,000 | thousands by filing date | put |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 16,304 | $237,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 310,000 | $236,000 | thousands by filing date | put |
| LEAF GROUP LTD | 52177G102 | COM | 21,825 | $236,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 12,423 | $236,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,732 | $235,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 15,963 | $235,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 170,000 | $235,000 | thousands by filing date | principal |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 22,721 | $234,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 47,034 | $234,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 17,683 | $233,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 35,625 | $233,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 13,100 | $232,000 | thousands by filing date | call |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 16,697 | $232,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 14,509 | $232,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 11,054 | $231,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 19,486 | $231,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 62,091 | $231,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 16,124 | $231,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 19,804 | $230,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 136,000 | $229,000 | thousands by filing date | call |
| CLARUS CORP NEW | 18270P109 | COM | 27,571 | $228,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 60,671 | $228,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 24,547 | $226,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,249 | $225,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 20,824 | $223,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 12,705 | $223,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 23,081 | $223,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,873 | $222,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 32,876 | $222,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 5,867 | $222,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 51,000 | $221,000 | thousands by filing date | call |
| CLIPPER REALTY INC | 18885T306 | COM | 25,872 | $221,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 12,477 | $221,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 153,800 | $220,000 | thousands by filing date | call |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 19,245 | $220,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 17,480 | $220,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 193,000 | $220,000 | thousands by filing date | principal |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 50,638 | $219,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 9,492 | $219,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 8,392 | $219,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 80,400 | $219,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 30,817 | $219,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 156,000 | $219,000 | thousands by filing date | principal |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 65,764 | $218,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 220,000 | $218,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 26,203 | $217,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 78,000 | $217,000 | thousands by filing date | put |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 11,700 | $217,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 8,884 | $216,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 68,507 | $216,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 30,886 | $216,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 17,481 | $215,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 378,600 | $215,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 82,600 | $214,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 143,500 | $214,000 | thousands by filing date | put |
| FS BANCORP INC | 30263Y104 | COM | 3,369 | $214,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 35,639 | $214,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 13,332 | $214,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 17,202 | $213,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 12,021 | $213,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 27,326 | $213,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 92,100 | $213,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-18-000404 | this filing | 2018-08-01 | acceptance time not in the bulk data set |