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 |
|---|---|---|---|---|---|---|
| GLU MOBILE INC | 379890106 | COMMON STOCK | 292,789 | $1,877,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 209,588 | $1,876,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 45,304 | $1,875,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 198,399 | $1,873,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 336,075 | $1,871,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 210,060 | $1,870,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 182,533 | $1,869,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 54,269 | $1,868,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 83,298 | $1,867,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 27,942 | $1,859,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 247,677 | $1,858,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 71,882 | $1,849,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 91,033 | $1,848,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 36,803 | $1,843,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 75,753 | $1,841,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 167,004 | $1,834,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 227,710 | $1,833,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 112,747 | $1,831,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 41,593 | $1,826,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 30,841 | $1,826,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 233,754 | $1,823,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 39,558 | $1,822,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 2,606,000 | $1,821,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 139,029 | $1,820,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 1,792,000 | $1,817,000 | thousands by filing date | principal |
| STRAYER ED INC | 863236105 | COM | 16,070 | $1,816,000 | thousands by filing date | |
| XPERI CORP | 98421B100 | COM | 112,745 | $1,815,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 775,812 | $1,815,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 85,080 | $1,806,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 360,580 | $1,802,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 54,406 | $1,797,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 46,556 | $1,796,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 316,013 | $1,794,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 56,820 | $1,793,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 155,679 | $1,792,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 94,068 | $1,792,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 110,347 | $1,790,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,745,891 | $1,785,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 110,214 | $1,785,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 129,160 | $1,784,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 107,923 | $1,784,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 12,288 | $1,781,000 | thousands by filing date | |
| AMERICOLD REALTY TRUST INC COM | 03064D108 | REIT | 80,817 | $1,780,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 3,983,700 | $1,779,000 | thousands by filing date | put |
| ISHARES TR | 464288430 | ASIA 50 ETF | 28,339 | $1,779,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 55,502 | $1,776,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 75,880 | $1,774,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 68,545 | $1,773,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 75,306 | $1,767,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 46,747 | $1,766,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 78,311 | $1,766,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 186,793 | $1,762,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 52,623 | $1,759,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 20,601 | $1,757,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 94,249 | $1,753,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 107,587 | $1,750,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 121,758 | $1,750,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 67,508 | $1,749,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 36,001 | $1,747,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 737,100 | $1,740,000 | thousands by filing date | put |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 91,021 | $1,740,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 28,993 | $1,739,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 34,459 | $1,738,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 50,715 | $1,735,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 22,548 | $1,734,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 35,369 | $1,733,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 22,889 | $1,732,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,842,584 | $1,732,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 188,235 | $1,731,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 613,145 | $1,729,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 134,437 | $1,728,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 59,665 | $1,726,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 126,779 | $1,724,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 49,137 | $1,721,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 651,537 | $1,719,000 | thousands by filing date | put |
| WHITESTONE REIT | 966084204 | COM | 137,709 | $1,719,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 188,297 | $1,719,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 38,751 | $1,717,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 86,559 | $1,717,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 79,815 | $1,712,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 48,984 | $1,710,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 183,262 | $1,710,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 74,561 | $1,707,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 75,161 | $1,706,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 203,189 | $1,705,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 88,949 | $1,703,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 40,224 | $1,694,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 87,303 | $1,692,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 109,444 | $1,690,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 89,921 | $1,690,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 743,037 | $1,687,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 64,764 | $1,683,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 156,059 | $1,682,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 62,445 | $1,679,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 64,763 | $1,678,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 38,624 | $1,678,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 232,043 | $1,677,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 136,667 | $1,675,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 81,781 | $1,675,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 18,723 | $1,675,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 285,928 | $1,672,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 51,820 | $1,671,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 71,000 | $1,667,000 | thousands by filing date | call |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 294,940 | $1,667,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 59,843 | $1,666,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 47,974 | $1,664,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 58,255 | $1,663,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 80,726 | $1,659,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 175,463 | $1,659,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 167,727 | $1,651,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 49,707 | $1,649,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 69,576 | $1,649,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 67,082 | $1,649,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 130,615 | $1,646,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 17,346 | $1,644,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 63,589 | $1,644,000 | thousands by filing date | |
| DERMIRA INC | 24983LAB0 | NOTE 3.000% 5/1 | 2,004,000 | $1,642,000 | thousands by filing date | principal |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 214,664 | $1,641,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 54,914 | $1,636,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 84,561 | $1,635,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 100,644 | $1,630,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 91,018 | $1,629,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 93,392 | $1,624,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 127,825 | $1,623,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 12,005 | $1,622,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 59,951 | $1,621,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 112,455 | $1,620,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 107,050 | $1,616,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 37,178 | $1,615,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 70,989 | $1,612,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 23,700 | $1,612,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 30,720 | $1,608,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 35,490 | $1,607,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 1,594,000 | $1,600,000 | thousands by filing date | principal |
| MESA RTY TR | 590660106 | UNIT BEN INT | 111,483 | $1,599,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 368,016 | $1,597,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 32,769 | $1,595,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 36,488 | $1,591,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 89,303 | $1,587,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 84,119 | $1,585,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 140,629 | $1,582,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 263,155 | $1,582,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 41,376 | $1,578,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 33,835 | $1,575,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 179,438 | $1,572,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 48,639 | $1,572,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 113,770 | $1,570,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 35,521 | $1,565,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 60,407 | $1,562,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 312,400 | $1,558,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 115,153 | $1,554,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 12,136 | $1,553,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 61,541 | $1,551,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 119,287 | $1,549,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 100,604 | $1,549,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 24,256 | $1,548,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 40,515 | $1,545,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 23,619 | $1,541,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 40,299 | $1,538,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 17,756 | $1,536,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 324,400 | $1,534,000 | thousands by filing date | put |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 39,638 | $1,530,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 32,940 | $1,530,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 125,035 | $1,530,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 51,816 | $1,527,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 60,119 | $1,524,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 323,963 | $1,523,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 110,255 | $1,522,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 86,570 | $1,520,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 45,551 | $1,519,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 12,559 | $1,519,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 30,730 | $1,517,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 42,008 | $1,516,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 70,491 | $1,514,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 1,176,500 | $1,512,000 | thousands by filing date | call |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 229,988 | $1,508,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 28,616 | $1,507,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 51,968 | $1,507,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 25,451 | $1,506,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 34,048 | $1,505,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 246,811 | $1,501,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 21,320 | $1,500,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 23,856 | $1,500,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 171,583 | $1,500,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 134,750 | $1,496,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 57,150 | $1,496,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 1,482,000 | $1,494,000 | thousands by filing date | principal |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 43,498 | $1,493,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 37,728 | $1,491,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 120,212 | $1,486,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 84,758 | $1,485,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 40,113 | $1,479,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 12,908 | $1,475,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 141,916 | $1,473,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 229,587 | $1,471,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 21,866 | $1,471,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 82,756 | $1,468,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 189,375 | $1,466,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 63,281 | $1,462,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 130,787 | $1,462,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 37,882 | $1,462,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 56,297 | $1,461,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 85,590 | $1,458,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 111,020 | $1,455,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 35,685 | $1,454,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 74,116 | $1,452,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 190,654 | $1,449,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 39,516 | $1,444,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 36,849 | $1,442,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 98,506 | $1,441,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 161,008 | $1,440,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 43,239 | $1,439,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 46,221 | $1,436,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 73,600 | $1,436,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 45,200 | $1,435,000 | thousands by filing date | call |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 45,846 | $1,430,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 57,413 | $1,429,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 79,868 | $1,427,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 39,016 | $1,427,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 115,123 | $1,427,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 409,370 | $1,425,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 40,272 | $1,425,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 245,891 | $1,424,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 39,908 | $1,420,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 24,382 | $1,416,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 103,529 | $1,415,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 128,469 | $1,415,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 149,582 | $1,412,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 103,140 | $1,411,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 147,049 | $1,410,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 50,007 | $1,409,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 32,425 | $1,406,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 25,407 | $1,402,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 214,371 | $1,400,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 71,711 | $1,398,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 26,783 | $1,397,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 24,844 | $1,397,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 53,439 | $1,396,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 50,125 | $1,396,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 116,001 | $1,393,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 1,503,000 | $1,393,000 | thousands by filing date | principal |
| Flushing Financial Corp | 343873105 | Common Stock | 53,352 | $1,392,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 110,000 | $1,392,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 24,249 | $1,387,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 37,194 | $1,387,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 32,752 | $1,381,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 127,325 | $1,379,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 18,882 | $1,378,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 22,034 | $1,378,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 106,820 | $1,377,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 27,733 | $1,376,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 40,747 | $1,376,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 6,512 | $1,374,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 47,833 | $1,373,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 94,486 | $1,373,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 51,989 | $1,371,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 53,341 | $1,370,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 14,038 | $1,367,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 57,884 | $1,366,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 34,778 | $1,366,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 105,219 | $1,366,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 984,800 | $1,364,000 | thousands by filing date | put |
| GLATFELTER | 377316104 | COM | 69,601 | $1,364,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 1,369,769 | $1,361,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 263,100 | $1,360,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 32,641 | $1,359,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 44,341 | $1,359,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 217,724 | $1,359,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 114,690 | $1,358,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 158,558 | $1,357,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 36,983 | $1,357,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,111,000 | $1,357,000 | thousands by filing date | principal |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 477,600 | $1,354,000 | thousands by filing date | put |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 65,244 | $1,353,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 13,004 | $1,350,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 350,000 | $1,348,000 | thousands by filing date | call |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 30,722 | $1,344,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 32,023 | $1,343,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 53,367 | $1,336,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 117,623 | $1,335,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 110,735 | $1,332,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 17,676 | $1,331,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 27,734 | $1,331,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 16,431 | $1,329,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 118,076 | $1,329,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 39,351 | $1,325,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 16,863 | $1,325,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 27,864 | $1,322,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 21,510 | $1,322,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 158,500 | $1,320,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 180,965 | $1,314,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 11,175 | $1,310,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 12,043 | $1,302,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 1,299,000 | $1,302,000 | thousands by filing date | principal |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 77,027 | $1,301,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 125,502 | $1,300,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 99,697 | $1,299,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 19,903 | $1,299,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 62,519 | $1,297,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 59,241 | $1,296,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAA9 | NOTE 0.375% 9/0 | 1,006,000 | $1,296,000 | thousands by filing date | principal |
| EZCORP INC | 302301106 | CL A NON VTG | 107,372 | $1,293,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 73,439 | $1,293,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 43,784 | $1,291,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 102,372 | $1,290,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 66,341 | $1,287,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 78,153 | $1,286,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 442,668 | $1,284,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 130,350 | $1,278,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 45,090 | $1,276,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 80,000 | $1,275,000 | thousands by filing date | put |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 122,193 | $1,273,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 25,461 | $1,272,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 56,035 | $1,268,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 29,532 | $1,267,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 113,464 | $1,266,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 1,081,807 | $1,266,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 57,998 | $1,263,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 107,006 | $1,263,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 82,742 | $1,262,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 209,597 | $1,260,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 19,815 | $1,258,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 45,767 | $1,257,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 101,066 | $1,257,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 124,491 | $1,257,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 16,289 | $1,255,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 68,487 | $1,247,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 76,103 | $1,247,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 34,726 | $1,244,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 113,500 | $1,242,000 | thousands by filing date | put |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 87,798 | $1,242,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 51,083 | $1,241,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 16,540 | $1,241,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 38,877 | $1,240,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 18,005 | $1,239,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 644,000 | $1,238,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 183,963 | $1,237,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 92,003 | $1,237,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 116,404 | $1,236,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 160,967 | $1,235,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 3,223 | $1,233,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 91,864 | $1,233,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 83,697 | $1,233,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 1,229,000 | $1,231,000 | thousands by filing date | principal |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 73,957 | $1,229,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 45,788 | $1,229,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 72,939 | $1,228,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 37,073 | $1,227,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 33,271 | $1,215,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 14,847 | $1,215,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 69,819 | $1,215,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 74,302 | $1,214,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 83,437 | $1,213,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 61,618 | $1,210,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,004,000 | $1,210,000 | thousands by filing date | principal |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 45,348 | $1,208,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 35,364 | $1,207,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 58,393 | $1,206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 24,850 | $1,206,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 1,272,000 | $1,206,000 | thousands by filing date | principal |
| BRISTOW GROUP INC | 110394AF0 | NOTE 4.500 6/0 | 1,054,000 | $1,205,000 | thousands by filing date | principal |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 84,333 | $1,203,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 175,627 | $1,203,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 181,525 | $1,202,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 42,731 | $1,202,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 18,093 | $1,202,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 158,954 | $1,200,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 65,458 | $1,199,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 122,687 | $1,197,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 119,685 | $1,194,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 46,223 | $1,194,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 887,600 | $1,193,000 | thousands by filing date | call |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 90,602 | $1,191,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 24,323 | $1,191,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 281,542 | $1,191,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 130,053 | $1,190,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 341,298 | $1,184,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 107,884 | $1,184,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 276,279 | $1,182,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 160,181 | $1,182,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 90,854 | $1,181,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 117,521 | $1,181,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 22,441 | $1,179,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 200,000 | $1,178,000 | thousands by filing date | call |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 331,745 | $1,178,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 53,655 | $1,177,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 37,000 | $1,177,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 1,239,000 | $1,177,000 | thousands by filing date | principal |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 64,266 | $1,176,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 75,466 | $1,173,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 85,410 | $1,173,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 1,155,000 | $1,173,000 | thousands by filing date | principal |
| 1ST SOURCE CORP COM | 336901103 | Stock | 21,912 | $1,171,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 694,200 | $1,169,000 | thousands by filing date | put |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 181,413 | $1,168,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 32,639 | $1,164,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 57,280 | $1,163,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 111,929 | $1,162,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 487,992 | $1,162,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 92,110 | $1,160,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 300,000 | $1,159,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 144,127 | $1,158,000 | thousands by filing date | put |
| ASTRONICS CORP COM | 046433108 | Stock | 32,162 | $1,157,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 82,160 | $1,156,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 34,166 | $1,155,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 35,883 | $1,153,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 500,000 | $1,152,000 | thousands by filing date | call |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 50,968 | $1,151,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 44,926 | $1,149,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 36,899 | $1,146,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 30,952 | $1,145,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 194,094 | $1,143,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 1,146,800 | $1,138,000 | thousands by filing date | call |
| FIRST LONG IS CORP | 320734106 | COM | 45,681 | $1,136,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 18,697 | $1,134,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 73,724 | $1,133,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 130,665 | $1,130,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 11,972 | $1,126,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 57,702 | $1,125,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 46,377 | $1,124,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 126,380 | $1,123,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 132,823 | $1,121,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 24,469 | $1,121,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 161,937 | $1,117,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 149,530 | $1,115,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 78,238 | $1,115,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,272,000 | $1,115,000 | thousands by filing date | principal |
| TREDEGAR CORP | 894650100 | COM | 47,201 | $1,110,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 41,889 | $1,110,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 31,677 | $1,109,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 16,515 | $1,104,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 149,966 | $1,101,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 1,080,000 | $1,099,000 | thousands by filing date | principal |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 23,616 | $1,097,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 899,000 | $1,093,000 | thousands by filing date | principal |
| THL CR SR LN FD | 87244R103 | COM | 62,943 | $1,087,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 39,755 | $1,085,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 43,648 | $1,084,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 38,189 | $1,084,000 | thousands by filing date | |
| YANDEX N.V. | 98474TAB3 | 1.125% CNV BDS 15/12/18 USD | 1,097,000 | $1,084,000 | thousands by filing date | principal |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 44,303 | $1,081,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 3,505 | $1,077,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 1,113,000 | $1,076,000 | thousands by filing date | principal |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 30,727 | $1,075,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 63,335 | $1,074,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 72,328 | $1,074,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 218,700 | $1,071,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 56,179 | $1,071,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 20,514 | $1,071,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 35,610 | $1,071,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 87,033 | $1,065,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 167,595 | $1,064,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 104,262 | $1,064,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 140,408 | $1,064,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 228,134 | $1,063,000 | thousands by filing date | put |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 236,000 | $1,062,000 | thousands by filing date | put |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 82,787 | $1,060,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 125,024 | $1,059,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 15,483 | $1,058,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 43,294 | $1,057,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 58,554 | $1,054,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 77,150 | $1,053,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 72,966 | $1,051,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 88,450 | $1,051,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 13,460 | $1,050,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 52,721 | $1,048,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 68,676 | $1,048,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 79,380 | $1,047,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 179,634 | $1,044,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 156,528 | $1,043,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 42,486 | $1,043,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 22,194 | $1,039,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 89,407 | $1,034,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 49,416 | $1,034,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 262,168 | $1,028,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 49,220 | $1,027,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 54,951 | $1,026,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 43,223 | $1,023,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 277,100 | $1,022,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 77,675 | $1,021,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 42,578 | $1,020,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 72,902 | $1,019,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,081,700 | $1,017,000 | thousands by filing date | put |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 22,392 | $1,017,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 29,693 | $1,017,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 20,272 | $1,015,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 120,797 | $1,015,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 61,912 | $1,014,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 19,403 | $1,011,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 387,713 | $1,006,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 30,944 | $1,004,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 32,526 | $1,003,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 31,708 | $1,003,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 151,846 | $1,001,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 49,764 | $1,000,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 26,315 | $1,000,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 36,377 | $998,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 41,044 | $998,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 24,028 | $997,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 22,751 | $996,000 | 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 |