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 |
|---|---|---|---|---|---|---|
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 3,487 | $71,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 179,400 | $70,000 | thousands by filing date | put |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 5,070 | $70,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 3,978 | $70,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 1,173 | $70,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 6,000 | $70,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,209 | $70,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 4,240 | $69,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 15,900 | $69,000 | thousands by filing date | put |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $69,000 | thousands by filing date | principal |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,069 | $68,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 38,700 | $68,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 5,251 | $68,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 29,399 | $68,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,925 | $67,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,301 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,111 | $67,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 10,600 | $67,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 12,668 | $67,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 64,000 | $67,000 | thousands by filing date | principal |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 60,000 | $67,000 | thousands by filing date | principal |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 981,200 | $66,000 | thousands by filing date | call |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 65,700 | $66,000 | thousands by filing date | put |
| INTEST CORP | 461147100 | COMMON STOCK | 9,033 | $66,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 95,411 | $66,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 9,903 | $66,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 258 | $66,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 31,600 | $65,000 | thousands by filing date | call |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 2,098 | $65,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 3,992 | $65,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,001 | $65,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 59,165 | $65,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 1,005 | $63,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,786 | $63,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,794 | $63,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 24,700 | $63,000 | thousands by filing date | call |
| COMSCORE INC | 20564W105 | COM | 2,845 | $63,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 62,300 | $62,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,835 | $62,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,200 | $62,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 3,341 | $62,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 5,400 | $62,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 67,000 | $62,000 | thousands by filing date | principal |
| MIDDLEBYCORP | 596278101 | STOK | 15,000 | $61,000 | thousands by filing date | put |
| KINROSS GOLD CORP | 496902404 | COM | 16,080 | $60,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 68,500 | $60,000 | thousands by filing date | put |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,726 | $60,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,795 | $60,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 1,721 | $60,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 2,481 | $60,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,665 | $60,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 21,500 | $59,000 | thousands by filing date | put |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 3,560 | $59,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 24,218 | $59,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V126 | WILDERHL PRGRS | 2,268 | $59,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,500 | $58,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,338 | $58,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 8,900 | $58,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,546 | $58,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 7,140 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,924 | $57,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 11,360 | $57,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,965 | $56,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,914 | $56,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 1,721 | $56,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 14,345 | $56,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 23,291 | $56,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 50,212 | $56,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 29,318 | $55,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 83,400 | $54,000 | thousands by filing date | put |
| CM FIN INC COM | 12574Q103 | COM | 6,111 | $54,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 2,800 | $54,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 10,298 | $54,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 27,743 | $54,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 16,137 | $53,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 55,000 | $53,000 | thousands by filing date | principal |
| PepsiCo,Inc. | 713448108 | COM | 30,800 | $52,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 25,000 | $52,000 | thousands by filing date | call |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 110,000 | $52,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,048 | $52,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,800 | $52,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 1,714 | $52,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $52,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 9,560 | $52,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 46,000 | $52,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $51,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 65,200 | $51,000 | thousands by filing date | put |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 6,514 | $51,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $51,000 | thousands by filing date | principal |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 49,900 | $50,000 | thousands by filing date | call |
| BJS RESTAURANTS INC | 09180C106 | COM | 53,100 | $50,000 | thousands by filing date | put |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,502 | $50,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 750 | $49,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 10,000 | $49,000 | thousands by filing date | put |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 37,500 | $49,000 | thousands by filing date | put |
| ROSETTA RES INC COM | 777385105 | Stock | 6,027 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $49,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 4,200 | $49,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 33,926 | $49,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $49,000 | thousands by filing date | principal |
| COMERICAINC | 200340107 | COM | 15,000 | $48,000 | thousands by filing date | put |
| ADMA BIOLOGICS INC | 000899104 | COM | 10,816 | $48,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 5,075 | $48,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 1,570 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $48,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 6,000 | $48,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 39,000 | $48,000 | thousands by filing date | principal |
| AVIS BUDGET GROUP INC | 053774105 | COM | 185,200 | $47,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 5,337 | $47,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 20,000 | $47,000 | thousands by filing date | put |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 48,000 | $47,000 | thousands by filing date | principal |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 14,567 | $46,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 2,281 | $46,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,401 | $46,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 26,673 | $46,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,751 | $46,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 62,900 | $46,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 14,200 | $45,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 63,200 | $45,000 | thousands by filing date | call |
| WESTERN UN CO COM | 959802109 | Stock | 75,000 | $45,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $45,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 15,000 | $45,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 50,000 | $45,000 | thousands by filing date | call |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 53,100 | $45,000 | thousands by filing date | call |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 48,000 | $45,000 | thousands by filing date | principal |
| BOX INC CL A | 10316T104 | Stock | 12,500 | $44,000 | thousands by filing date | put |
| ONESPAN INC | 68287N100 | COM | 30,000 | $44,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 1,795 | $44,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,220 | $44,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,683 | $44,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,519 | $44,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,419 | $44,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 50,000 | $43,000 | thousands by filing date | put |
| DOWDUPONT INC | 26078J100 | COM | 25,200 | $43,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 450 | $43,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 11,000 | $43,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,155 | $43,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $43,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 1,223 | $43,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 10,000 | $43,000 | thousands by filing date | put |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $43,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $43,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,620 | $42,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,503 | $42,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 28,900 | $42,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 6,500 | $41,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 97,600 | $41,000 | thousands by filing date | call |
| IF BANCORP INC | 44951J105 | COM | 1,700 | $41,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 45,144 | $41,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 12,900 | $40,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 840 | $40,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 400 | $40,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1,126 | $40,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 6,689 | $40,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,173 | $40,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 11,864 | $40,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 548 | $40,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 1,869,400 | $39,000 | thousands by filing date | call |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 2,990 | $39,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 65,000 | $39,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 964 | $39,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,552 | $39,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 1,680 | $39,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 1,827 | $39,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,607 | $39,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 15,841 | $39,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 972 | $38,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 17,300 | $38,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 2,034 | $38,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 5,660 | $38,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 5,187 | $38,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E685 | GLOBAL AGRCLTR | 1,400 | $38,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 31,201 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 469 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $37,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 77,628 | $37,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,100 | $37,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 7,058 | $37,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $37,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 12,533 | $36,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,000 | $36,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 1,779 | $36,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 104,755 | $36,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 294 | $36,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,200 | $36,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 26,301 | $36,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,831 | $36,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 1,500 | $36,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,636 | $36,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,225 | $35,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,624 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,284 | $35,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 6,098 | $35,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 3,004 | $35,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 8,800 | $34,000 | thousands by filing date | put |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 22,500 | $34,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 45,000 | $34,000 | thousands by filing date | call |
| YELP INC CL A | 985817105 | Stock | 4,600 | $34,000 | thousands by filing date | put |
| VUZIX CORP | 92921W300 | COM NEW | 4,596 | $34,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 45,500 | $34,000 | thousands by filing date | put |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 1,188 | $34,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 8,520 | $34,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 24,700 | $34,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 10,000 | $33,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 1,041 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 598 | $33,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 10,000 | $33,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 3,144 | $33,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 40,000 | $33,000 | thousands by filing date | principal |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 8,707 | $33,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 401,100 | $32,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 700 | $32,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 8,300 | $32,000 | thousands by filing date | put |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,271 | $32,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 10,296 | $32,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,018 | $32,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,332 | $32,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 4,458 | $32,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,416 | $32,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 32,000 | $32,000 | thousands by filing date | principal |
| American Express Company | 025816109 | COM | 46,800 | $31,000 | thousands by filing date | put |
| American Express Company | 025816109 | COM | 157,500 | $31,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 80,000 | $31,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 287,300 | $31,000 | thousands by filing date | put |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 1,253 | $31,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $31,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,501 | $31,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 753 | $31,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,371 | $31,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,854 | $31,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 4,398 | $31,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 31,000 | $31,000 | thousands by filing date | principal |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 1,194 | $30,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 14,792 | $30,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,133 | $30,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,705 | $30,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 3,400 | $30,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 74,700 | $29,000 | thousands by filing date | put |
| POST HLDGS INC | 737446104 | COM | 33,000 | $29,000 | thousands by filing date | put |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 2,037 | $29,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 97,000 | $29,000 | thousands by filing date | call |
| RYB ED INC | 74979W101 | ADR | 1,500 | $29,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 2,796 | $29,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E792 | EMRNG MKT INFR | 851 | $29,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 65,500 | $28,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 17 | $28,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 1,400 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 316 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 850 | $28,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 2,777 | $28,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 7,055 | $28,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $28,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,000 | $28,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 50,000 | $27,000 | thousands by filing date | call |
| LINE CORP | 53567X101 | SPONSORED ADR | 669 | $27,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 11,856 | $27,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 40,000 | $26,000 | thousands by filing date | call |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 401 | $26,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,101 | $26,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 4,701 | $26,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 520 | $26,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 5,000 | $26,000 | thousands by filing date | principal |
| CARBON BLACK INC | 14081R103 | COM | 988 | $26,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 10,000 | $26,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 713 | $25,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,689 | $25,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $25,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,001 | $25,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,060 | $25,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 3,600 | $25,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,560 | $25,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 800 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $25,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $25,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,001 | $25,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 2,500 | $25,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 14,900 | $24,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,319 | $24,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 835 | $24,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $24,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 25,000 | $23,000 | thousands by filing date | call |
| United Parcel Service,Inc. Class B | 911312106 | COM | 31,900 | $23,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 2,484 | $23,000 | thousands by filing date | put |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 69,000 | $23,000 | thousands by filing date | call |
| ISHARES TR | 464288752 | US HOME CONS ETF | 60,000 | $23,000 | thousands by filing date | put |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 120,000 | $23,000 | thousands by filing date | call |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,654 | $23,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 23,000 | $23,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,106 | $23,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 25,000 | $22,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 4,000 | $22,000 | thousands by filing date | call |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 850 | $22,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 32,200 | $22,000 | thousands by filing date | call |
| ATOMERA INC | 04965B100 | COMMON STOCK | 3,650 | $22,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 27,001 | $22,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 5,060 | $22,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,532 | $22,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 96,125 | $22,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 720 | $22,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 5,369 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 8,800 | $21,000 | thousands by filing date | call |
| TAPESTRY INC COM | 876030107 | Stock | 38,400 | $21,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,430 | $21,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 343 | $21,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 855 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,001 | $21,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 1,993 | $21,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,701 | $21,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 8,511 | $21,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,100 | $21,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 40,000 | $20,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 8,968 | $20,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 110,300 | $20,000 | thousands by filing date | call |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 577 | $20,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 22,500 | $20,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 20,000 | $20,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $20,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,000 | $20,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $20,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 2,099 | $20,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 2,404 | $20,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643202 | UNIT 05/31/2024 | 2,000 | $20,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,500 | $20,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 516 | $19,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 133,220 | $19,000 | thousands by filing date | put |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,521 | $19,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 929 | $19,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 390 | $19,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 9,494 | $19,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 6,600 | $19,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,000 | $19,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,627 | $19,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 1,996 | $19,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,536 | $19,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 21 | $18,000 | thousands by filing date | put |
| MIDDLEBYCORP | 596278101 | STOK | 10,000 | $18,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 100,000 | $18,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $18,000 | thousands by filing date | put |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 39,000 | $18,000 | thousands by filing date | put |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,582 | $18,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,131 | $18,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,501 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 560 | $18,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 31,600 | $17,000 | thousands by filing date | put |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 9,700 | $17,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 525 | $17,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 9,000 | $17,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 176 | $17,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 619 | $17,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,044 | $17,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 700 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 560 | $17,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,076 | $17,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 6,901 | $17,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 12,679 | $17,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 16,909 | $17,000 | thousands by filing date | principal |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,316 | $17,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 11,145 | $17,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 9,000 | $16,000 | thousands by filing date | call |
| Morgan Stanley | 617446448 | COM | 5,600 | $16,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 1,234,800 | $16,000 | thousands by filing date | call |
| ADECOAGRO S A | L00849106 | COM | 2,010 | $16,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 300 | $16,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 3,782 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $16,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 1,292 | $16,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 4,453 | $16,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 9,346 | $16,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 828 | $16,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 514 | $16,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 109,900 | $15,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 264 | $15,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 31,200 | $15,000 | thousands by filing date | put |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,197 | $15,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 308 | $15,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 428 | $15,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,006 | $15,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,110 | $15,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 891 | $15,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $15,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 56,800 | $15,000 | thousands by filing date | put |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,693 | $15,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $15,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 500 | $15,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,300 | $14,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 19,716 | $14,000 | thousands by filing date | put |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 90,000 | $14,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 393 | $14,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 137,900 | $14,000 | thousands by filing date | call |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 7,917 | $14,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,756 | $14,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 722 | $14,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 50,000 | $14,000 | thousands by filing date | put |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 500,000 | $14,000 | thousands by filing date | put |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,388 | $14,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,050 | $14,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 29,462 | $14,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,584 | $14,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| Hometown Bankshares Corp | 43787n108 | com | 973 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 14,000 | $14,000 | thousands by filing date | principal |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 2,270 | $13,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 76 | $13,000 | thousands by filing date | put |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 2,798 | $13,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,012 | $13,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 44,900 | $13,000 | thousands by filing date | put |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,060 | $13,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 154,300 | $13,000 | thousands by filing date | call |
| ALIMERA SCIENCES INC | 016259103 | COM | 13,500 | $13,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 26,915 | $13,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,791 | $13,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,385 | $13,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 1,000 | $13,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 30,000 | $12,000 | thousands by filing date | call |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 817 | $12,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 3,686 | $12,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,294 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $12,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 732 | $12,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 750 | $12,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $12,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 15,075 | $12,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 181 | $12,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 818 | $12,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $12,000 | thousands by filing date | principal |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,502 | $12,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 1,000 | $12,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 694 | $11,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 20,000 | $11,000 | thousands by filing date | put |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 40,300 | $11,000 | thousands by filing date | call |
| ACM RESH INC COM CL A | 00108J109 | Stock | 993 | $11,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 21,500 | $11,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,226 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 137 | $11,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 1,001 | $11,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 7,571 | $11,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 50,000 | $11,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 3,435 | $11,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 267 | $11,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 3,000 | $11,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 130 | $11,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $11,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,800 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 500 | $11,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 140,500 | $11,000 | thousands by filing date | put |
| QURATE RETAIL INC | 74915M209 | COM | 530 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $11,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 404 | $11,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 500 | $11,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 1,100 | $11,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 2,075 | $10,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 5,000 | $10,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 375 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 185 | $10,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 587 | $10,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,007 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 5,039 | $10,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 251 | $10,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,503 | $10,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $10,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 880 | $10,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 8,450 | $10,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 3,930 | $10,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 210 | $10,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 1,024 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| VWO | 922042858 | SHS | 390,300 | $9,000 | thousands by filing date | call |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 500 | $9,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 70,800 | $9,000 | thousands by filing date | call |
| COMSTOCK RES INC COM | 205768302 | Stock | 881 | $9,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 35,000 | $9,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 800 | $9,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 2,675 | $9,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 910 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 316 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 159 | $9,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,752 | $9,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 3,739 | $9,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 2,743 | $9,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,197 | $9,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 15,000 | $9,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 851 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $9,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 31,356 | $9,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,000 | $9,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,369 | $9,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 9,000 | $9,000 | thousands by filing date | principal |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,000 | $9,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 2,470 | $9,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 4,460 | $9,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 1,001 | $9,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 307 | $9,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 30 | $8,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 122 | $8,000 | 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 |