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 |
|---|---|---|---|---|---|---|
| SMART & FINAL STORES INC | 83190B101 | COM | 38,545 | $213,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 3,150 | $212,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 20,997 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 7,113 | $212,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 10,576 | $211,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 13,282 | $211,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 50,000 | $210,000 | thousands by filing date | put |
| ISHARES TR | 46429B408 | CMN | 6,885 | $208,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 27,687 | $208,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 13,708 | $207,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 7,830 | $207,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 404,200 | $206,000 | thousands by filing date | put |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 194,000 | $206,000 | thousands by filing date | call |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 5,982 | $206,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 16,040 | $206,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 13,649 | $206,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 7,717 | $206,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 19,999 | $206,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 14,975 | $205,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 16,359 | $204,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 42,017 | $204,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 1,840 | $204,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 3,629 | $203,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 87,710 | $203,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 18,216 | $203,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 40,641 | $203,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 183,000 | $203,000 | thousands by filing date | principal |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 50,000 | $202,000 | thousands by filing date | put |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 12,916 | $202,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 29,542 | $202,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 22,027 | $202,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 28,863 | $202,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 21,530 | $202,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 227,300 | $201,000 | thousands by filing date | call |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 12,888 | $201,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 8,551 | $201,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 9,725 | $200,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 31,302 | $200,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 3,593 | $200,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 48,620 | $200,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 15,389 | $199,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 14,077 | $198,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 19,832 | $198,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 7,195 | $198,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 56,990 | $198,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 11,613 | $197,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 202,850 | $197,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 15,922 | $197,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 36,641 | $196,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 58,152 | $196,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 3,051 | $196,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 162,800 | $195,000 | thousands by filing date | call |
| HIVE | 007786106 | Stock | 49,178 | $195,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 139,600 | $194,000 | thousands by filing date | call |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 182,000 | $194,000 | thousands by filing date | principal |
| VALE S A | 91912E105 | SPONSORED ADS | 150,200 | $193,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 46,122 | $192,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 11,019 | $192,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 126,000 | $191,000 | thousands by filing date | put |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 18,685 | $191,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 16,636 | $190,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 114,797 | $190,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 3,274 | $189,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 4,123 | $189,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 13,958 | $188,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 65,000 | $187,000 | thousands by filing date | put |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 16,977 | $187,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 85,000 | $187,000 | thousands by filing date | put |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 97,789 | $187,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 18,994 | $187,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 47,839 | $186,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 72,615 | $185,000 | thousands by filing date | put |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,836 | $185,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,831 | $184,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 49,822 | $184,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 10,251 | $184,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 38,661 | $184,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 108,000 | $183,000 | thousands by filing date | call |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 22,302 | $183,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 13,212 | $182,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 9,108 | $182,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 19,424 | $182,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 16,047 | $181,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 58,500 | $180,000 | thousands by filing date | put |
| CROWN CRAFTS INC | 228309100 | COM | 31,619 | $180,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 187,100 | $179,000 | thousands by filing date | put |
| AMYRIS INC | 03236M200 | COM NEW | 27,828 | $179,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 36,154 | $179,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,098 | $178,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 208,722 | $178,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 62,140 | $177,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 313,700 | $177,000 | thousands by filing date | call |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 14,604 | $177,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 10,258 | $177,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 5,394 | $176,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 12,391 | $176,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 103,600 | $176,000 | thousands by filing date | put |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 4,968 | $176,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 14,127 | $176,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 10,310 | $176,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 26,735 | $176,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 15,247 | $175,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 20,258 | $175,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 11,968 | $174,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 205,200 | $174,000 | thousands by filing date | call |
| CASA SYS INC | 14713L102 | COM | 10,698 | $174,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 245,000 | $173,000 | thousands by filing date | call |
| PARSLEY ENERGY INC | 701877102 | CL A | 145,800 | $173,000 | thousands by filing date | call |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 7,310 | $173,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 677,200 | $172,000 | thousands by filing date | call |
| BANDWIDTH INC | 05988J103 | COM CL A | 4,522 | $172,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 25,026 | $172,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 145,568 | $172,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 180,000 | $172,000 | thousands by filing date | principal |
| HP INC COM | 40434L105 | Stock | 49,600 | $171,000 | thousands by filing date | call |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 8,352 | $171,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 4,333 | $171,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 26,061 | $170,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 11,488 | $170,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 13,217 | $170,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 14,702 | $170,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 177,000 | $170,000 | thousands by filing date | principal |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 52,500 | $169,000 | thousands by filing date | call |
| LIBBEY INC | 529898108 | COM | 20,713 | $169,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 20,152 | $168,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 6,761 | $168,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 18,015 | $168,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 49,260 | $168,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 10,027 | $168,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 7,351 | $168,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 59,700 | $167,000 | thousands by filing date | call |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,455 | $167,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 19,798 | $167,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,415 | $166,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 7,985 | $165,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 6,386 | $165,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 36,904 | $165,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 2,744 | $165,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 136,000 | $163,000 | thousands by filing date | principal |
| PHI INC-NON VOTING | 69336T205 | COM | 15,992 | $163,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 23,323 | $163,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $162,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 13,747 | $162,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 11,986 | $162,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 12,100 | $162,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 34,001 | $162,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 13,891 | $160,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 7,380 | $159,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 81,400 | $159,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 20,174 | $159,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 16,381 | $159,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 24,500 | $159,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 43,900 | $158,000 | thousands by filing date | put |
| NEW YORK & CO INC | 649295102 | COM | 30,812 | $158,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 47,361 | $158,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 4,201 | $157,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 12,501 | $157,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 53,257 | $157,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 24,579 | $156,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 12,761 | $155,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 5,984 | $155,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 4,330 | $155,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 45,821 | $155,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 24,247 | $155,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 300,000 | $153,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 38,563 | $153,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 23,811 | $153,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,665 | $152,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,631 | $152,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 14,679 | $152,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 16,820 | $152,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 5,796 | $152,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 3,652 | $151,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 23,200 | $151,000 | thousands by filing date | call |
| CARRIZO OIL & GAS INC | 144577103 | COM | 175,600 | $151,000 | thousands by filing date | call |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,169 | $151,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 37,195 | $151,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 4,800 | $150,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 31,529 | $150,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 15,767 | $150,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 38,124 | $150,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 29,948 | $150,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,377 | $149,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 238,200 | $149,000 | thousands by filing date | call |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 5,604 | $148,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 4,652 | $148,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 6,935 | $148,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 245,000 | $147,000 | thousands by filing date | call |
| GNC HLDGS INC | 36191G107 | COM CL A | 41,780 | $147,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 7,679 | $147,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,374 | $146,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 151,000 | $146,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 150,000 | $146,000 | thousands by filing date | principal |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 30,179 | $145,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 10,752 | $145,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 130,662 | $145,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,940 | $144,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 11,565 | $144,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,898 | $144,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 17,075 | $144,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 15,500 | $142,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 35,701 | $142,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 8,201 | $142,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 77,711 | $142,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 5,034 | $141,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 50,000 | $141,000 | thousands by filing date | put |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 3,696 | $140,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 10,886 | $140,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 11,185 | $140,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 100,000 | $140,000 | thousands by filing date | put |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 45,959 | $140,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 50,000 | $139,000 | thousands by filing date | call |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 153,000 | $139,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 8,887 | $139,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,550 | $138,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 5,155 | $138,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 13,534 | $138,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 9,028 | $138,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 8,698 | $138,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 30,500 | $137,000 | thousands by filing date | call |
| NEWFIELD EXPL CO | 651290108 | COM | 128,300 | $137,000 | thousands by filing date | call |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,177 | $137,000 | thousands by filing date | |
| CARBONITE INC | 141337AB1 | NOTE 2.500% 4/0 | 93,000 | $137,000 | thousands by filing date | principal |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 142,000 | $136,000 | thousands by filing date | call |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 15,585 | $136,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 4,009 | $136,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 2,225 | $136,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,279 | $135,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 104,000 | $135,000 | thousands by filing date | call |
| PCM INC | 69323K100 | COM | 8,893 | $135,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $135,000 | thousands by filing date | principal |
| ConocoPhillips | 20825C104 | COM | 190,000 | $134,000 | thousands by filing date | put |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 12,512 | $133,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 12,739 | $133,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 101,100 | $133,000 | thousands by filing date | call |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 16,838 | $133,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,980 | $133,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 142,000 | $133,000 | thousands by filing date | principal |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 3,702 | $132,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 15,467 | $132,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 9,936 | $132,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 823 | $132,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 184,000 | $131,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 2,892 | $131,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 55,154 | $131,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 611,457 | $131,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 6,800 | $131,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 131,000 | $131,000 | thousands by filing date | principal |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 85,500 | $130,000 | thousands by filing date | put |
| SB FINL GROUP INC | 78408D105 | COM | 6,389 | $130,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 43,758 | $130,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 13,988 | $130,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 10,307 | $130,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V514 | RUSEL 2000 EQL | 2,806 | $130,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 72,150 | $129,000 | thousands by filing date | call |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 1,356,600 | $129,000 | thousands by filing date | call |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 49,342 | $129,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,874 | $129,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 34,007 | $129,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 18,455 | $129,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 10,348 | $129,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 10,581 | $129,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,152 | $128,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,004 | $128,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 901 | $127,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 11,678 | $127,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 23,343 | $127,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,341 | $127,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 77,749 | $126,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 15,238 | $126,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 4,720 | $126,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 11,791 | $126,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 68,664 | $126,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 40,115 | $125,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 16,583 | $125,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 115,000 | $125,000 | thousands by filing date | principal |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 10,100 | $125,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 18,177 | $125,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 5,028 | $125,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 15,261 | $124,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 9,396 | $124,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 8,141 | $124,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 51,400 | $123,000 | thousands by filing date | put |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 1,631 | $123,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 17,601 | $123,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 11,256 | $123,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 11,900 | $123,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 123,300 | $123,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 24,306 | $123,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 5,488 | $123,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 4,477 | $122,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 6,456 | $122,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 36,583 | $122,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,839 | $122,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 34,000 | $121,000 | thousands by filing date | call |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 22,655 | $121,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 34,720 | $121,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 22,451 | $121,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 120,000 | $121,000 | thousands by filing date | principal |
| SNAP INC | 83304A106 | CL A | 69,500 | $120,000 | thousands by filing date | call |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 9,810 | $120,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 11,772 | $120,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 25,306 | $120,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 37,290 | $120,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,948 | $119,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 2,276,500 | $119,000 | thousands by filing date | call |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 8,759 | $119,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 120,000 | $119,000 | thousands by filing date | principal |
| DNB Financial Corporation | 233237106 | Common Stock | 3,385 | $118,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 40,886 | $117,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 40,811 | $117,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 27,306 | $117,000 | thousands by filing date | |
| ISHARES TR | 46435U697 | IBONDS DEC | 4,584 | $116,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,250 | $115,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 100,000 | $115,000 | thousands by filing date | principal |
| NUVEEN GA DIVID | 67072B107 | COM | 10,135 | $115,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 8,892 | $114,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 9,538 | $114,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 20,042 | $113,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 33,078 | $113,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 9,078 | $113,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 1,330 | $112,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 41,556 | $112,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 113,000 | $112,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 113,000 | $112,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 86,000 | $112,000 | thousands by filing date | principal |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 7,640 | $111,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 78,345 | $111,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 42,693 | $111,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 35,500 | $110,000 | thousands by filing date | call |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 8,200 | $110,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 110,000 | $110,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,322 | $110,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 70,000 | $109,000 | thousands by filing date | call |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 7,662 | $109,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 49,635 | $109,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,295 | $109,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 3,799 | $109,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 19,260 | $108,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 11,698 | $108,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 12,083 | $108,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 19,082 | $108,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 6,047 | $108,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 9,601 | $108,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 153,800 | $107,000 | thousands by filing date | put |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 144,200 | $107,000 | thousands by filing date | call |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 5,122 | $107,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 7,706 | $107,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 3,728 | $106,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 5,890 | $106,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,782 | $106,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 29,411 | $106,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 51,714 | $106,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 251,200 | $106,000 | thousands by filing date | put |
| Pareteum Corporation | 69946T207 | COM | 42,389 | $106,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 27,083 | $106,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,296 | $105,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 97,500 | $105,000 | thousands by filing date | put |
| ASTRONOVA INC | 04638F108 | COM | 5,571 | $105,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,335 | $105,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 13,626 | $105,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 31,003 | $105,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 4,259 | $104,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 93,000 | $103,000 | thousands by filing date | principal |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 41,000 | $102,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 1,445 | $102,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,515 | $102,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,108 | $102,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 12,317 | $102,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,309 | $102,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 37,417 | $102,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 4,762 | $102,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 4,643 | $101,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,266 | $101,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 7,969 | $101,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 13,826 | $101,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 100,000 | $101,000 | thousands by filing date | principal |
| Caterpillar Inc. | 149123101 | COM | 10,500 | $100,000 | thousands by filing date | put |
| WAYFAIR INC | 94419L101 | CL A | 117,500 | $100,000 | thousands by filing date | put |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,186 | $99,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 2,901 | $99,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 7,601 | $99,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,350 | $99,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 15,862 | $99,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,751 | $99,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 235,600 | $98,000 | thousands by filing date | call |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 50,000 | $98,000 | thousands by filing date | put |
| MVC CAPITAL INC | 553829102 | COM | 10,361 | $98,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 7,712 | $98,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 31,804 | $98,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 5,684 | $98,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 16,060 | $98,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 11,158 | $98,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 45,000 | $98,000 | thousands by filing date | call |
| FUSION CONNECT INC | 36116X102 | COM | 25,001 | $98,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 16,130 | $97,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 7,538 | $97,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 73,697 | $97,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 19,716 | $96,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 27,493 | $96,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 15,564 | $96,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 10,039 | $96,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 127,900 | $95,000 | thousands by filing date | call |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 9,200 | $95,000 | thousands by filing date | call |
| AVON PRODS INC | 054303102 | COM | 58,561 | $95,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 7,911 | $95,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 190,000 | $94,000 | thousands by filing date | call |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 1,373 | $94,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,104 | $94,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 33,745 | $94,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 32,796 | $93,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 42,936 | $92,000 | thousands by filing date | put |
| HOME BANCSHARES INC COM | 436893200 | Stock | 250,000 | $92,000 | thousands by filing date | put |
| Veru Inc | 92536C103 | Common Stock | 45,501 | $92,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 25,819 | $92,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 78,670 | $91,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 24,745 | $91,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 3,750 | $91,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 78,932 | $90,000 | thousands by filing date | put |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 10,939 | $90,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 27,364 | $90,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 21,218 | $90,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 65,300 | $89,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 13,205 | $89,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 23,266 | $89,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 55,646 | $89,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 10,605 | $89,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 6,886 | $88,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 4,631 | $88,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 5,168 | $88,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 59,500 | $87,000 | thousands by filing date | call |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 7,135 | $87,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,241 | $87,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,106 | $87,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 60,176 | $87,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 25,380 | $86,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 2,758 | $86,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 3,634 | $86,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,482 | $86,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 1,025 | $85,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 28,673 | $85,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 13,652 | $85,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 151,947 | $85,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 6,600 | $85,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 28,532 | $85,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 227,700 | $84,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 25,183 | $84,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 9,666 | $84,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 3,257 | $83,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 24,620 | $83,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $83,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $83,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 5,651 | $82,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 9,985 | $82,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 3,609 | $82,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 65,178 | $82,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 19,800 | $80,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 66,500 | $80,000 | thousands by filing date | call |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 15,000 | $80,000 | thousands by filing date | call |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 10,700 | $80,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 38,416 | $80,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,775 | $80,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 56,000 | $80,000 | thousands by filing date | principal |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,631 | $80,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 682 | $79,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 159,320 | $79,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 10,657 | $79,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 4,722 | $79,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 22,500 | $78,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,516 | $78,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 23,800 | $78,000 | thousands by filing date | put |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 48,200 | $78,000 | thousands by filing date | call |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 5,807 | $78,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 9,191 | $77,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 60,000 | $77,000 | thousands by filing date | call |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 29,163 | $77,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 9,039 | $77,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 1,346 | $76,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 10,756 | $76,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 30,149 | $76,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 33,016 | $76,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 16,578 | $76,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 24,522 | $76,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,917 | $75,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 68,000 | $75,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 50,400 | $74,000 | thousands by filing date | call |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4,504 | $74,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 12,149 | $74,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 75,000 | $74,000 | thousands by filing date | call |
| MITCHAM INDS INC COM | 606501104 | COM | 18,501 | $74,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 75,000 | $74,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2,466 | $74,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 9,201 | $74,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 631 | $73,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 4,583 | $73,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 14,979 | $72,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 67,000 | $72,000 | thousands by filing date | principal |
| EP ENERGY CORP | 268785102 | CL A | 24,230 | $72,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 37,800 | $71,000 | thousands by filing date | put |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 4,369 | $71,000 | thousands by filing date |
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 |