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 |
|---|---|---|---|---|---|---|
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 97,675 | $996,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 63,088 | $995,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 20,950 | $995,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 67,644 | $994,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 53,136 | $991,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 99,793 | $990,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 28,842 | $988,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 55,297 | $986,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 1,000,000 | $985,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 73,832 | $984,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 94,256 | $983,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 17,949 | $983,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 64,768 | $981,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 37,708 | $981,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 54,154 | $980,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 32,422 | $979,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 27,214 | $978,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 32,540 | $972,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 76,901 | $970,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 82,117 | $969,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 48,419 | $968,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 22,565 | $964,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 12,969 | $960,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 527,500 | $960,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 16,618 | $958,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 12,893 | $956,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 59,905 | $956,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 18,375 | $954,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 33,655 | $951,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 46,574 | $951,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 93,521 | $951,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 27,456 | $950,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 84,033 | $947,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 561,000 | $945,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 39,123 | $944,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 21,882 | $941,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 63,347 | $941,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 957,000 | $940,000 | thousands by filing date | principal |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 18,871 | $939,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 62,092 | $939,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 30,465 | $934,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 67,000 | $932,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 49,488 | $931,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 117,579 | $931,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 64,862 | $930,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 17,353 | $930,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 408,407 | $930,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 55,714 | $929,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 15,563 | $929,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 37,829 | $927,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 28,478 | $926,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 35,203 | $924,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 41,057 | $924,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 53,152 | $923,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 62,595 | $922,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 47,981 | $921,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 35,267 | $921,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 195,967 | $919,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 8,273 | $919,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 19,742 | $919,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 22,420 | $916,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 19,179 | $910,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 36,936 | $909,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 129,675 | $908,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 11,326 | $907,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 299,618 | $905,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 106,390 | $904,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 94,524 | $903,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 24,400 | $903,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 167,956 | $900,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 99,642 | $900,000 | thousands by filing date | |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 97,717 | $896,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 14,321 | $894,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 15,245 | $891,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 142,684 | $889,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 27,575 | $888,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 129,005 | $887,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 41,589 | $884,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 47,723 | $883,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 29,700 | $882,000 | thousands by filing date | call |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 48,950 | $882,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 43,419 | $882,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 65,320 | $881,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T DWA TACTCL SCT | 46138E826 | CEF | 29,699 | $880,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 117,159 | $879,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 175,092 | $879,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 45,798 | $877,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 26,230 | $876,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 16,601 | $876,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 118,715 | $872,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 53,978 | $872,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 72,694 | $870,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 87,519 | $870,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 23,561 | $867,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 583,800 | $866,000 | thousands by filing date | call |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 23,014 | $866,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 52,960 | $863,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 18,196 | $863,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 175,028 | $862,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 75,468 | $861,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 107,896 | $861,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 209,200 | $860,000 | thousands by filing date | call |
| POTBELLY CORP | 73754Y100 | COM | 66,443 | $860,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 107,001 | $860,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 13,558 | $860,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 55,920 | $853,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 18,099 | $852,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 39,022 | $850,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 274,911 | $849,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 45,450 | $847,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 86,053 | $846,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 26,525 | $845,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 76,731 | $843,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 28,026 | $842,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 14,965 | $842,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 96,275 | $841,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 121,665 | $840,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 27,639 | $834,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 58,238 | $833,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 74,266 | $828,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 21,152 | $826,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 67,355 | $824,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 222,984 | $823,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 38,863 | $823,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 13,923 | $820,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 31,711 | $820,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 234,631 | $820,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 81,693 | $818,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 53,598 | $817,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 106,660 | $816,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 15,098 | $815,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 45,500 | $813,000 | thousands by filing date | put |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 31,404 | $810,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 34,052 | $807,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 64,609 | $806,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 46,018 | $806,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 22,527 | $804,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 47,179 | $803,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 36,151 | $803,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 34,639 | $802,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 77,644 | $802,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 28,934 | $800,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 37,050 | $800,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 25,070 | $799,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 1,218,000 | $798,000 | thousands by filing date | principal |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 20,207 | $798,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 34,322 | $798,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 26,319 | $797,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 118,883 | $797,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 4,343 | $797,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 22,165 | $797,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 43,704 | $797,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 74,714 | $796,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 140,822 | $796,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 558,000 | $795,000 | thousands by filing date | put |
| UNIFI INC | 904677200 | COM NEW | 24,977 | $792,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 43,076 | $790,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 22,599 | $790,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 17,429 | $789,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 30,742 | $789,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 59,545 | $788,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 34,083 | $785,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 90,074 | $783,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 34,375 | $782,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 65,990 | $781,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 177,100 | $778,000 | thousands by filing date | put |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 58,638 | $777,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 694,000 | $777,000 | thousands by filing date | principal |
| Applied Materials,Inc. | 038222105 | COM | 87,800 | $774,000 | thousands by filing date | put |
| CORPORATE CAP TR INC | 219880101 | COM | 49,559 | $774,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 48,286 | $773,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 25,111 | $771,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 61,821 | $770,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 328,259 | $768,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 34,302 | $767,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 24,238 | $766,000 | thousands by filing date | |
| OCEAN RIG UDW INC | G66964118 | SHS NEW | 25,985 | $766,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 34,300 | $764,000 | thousands by filing date | put |
| VERITIV CORP | 923454102 | COM | 19,160 | $763,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 134,247 | $762,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 9,968 | $762,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 23,155 | $761,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 55,975 | $761,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 757,000 | $761,000 | thousands by filing date | principal |
| Allegiance Bancshares | 01748H107 | COM | 17,532 | $760,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 99,041 | $759,000 | thousands by filing date | put |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 100,293 | $759,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 15,136 | $759,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 44,788 | $757,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 21,906 | $757,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 40,398 | $750,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 27,103 | $748,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 28,884 | $747,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 13,239 | $746,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 24,795 | $742,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 22,712 | $741,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 11,431 | $741,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 23,499 | $739,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 335,000 | $737,000 | thousands by filing date | call |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 65,823 | $737,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 7,500 | $734,000 | thousands by filing date | call |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 32,883 | $734,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 9,263 | $733,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 16,167 | $733,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 43,077 | $732,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 53,408 | $732,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 468,961 | $731,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 79,291 | $728,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 89,946 | $727,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 695,000 | $724,000 | thousands by filing date | put |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 76,152 | $722,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 55,029 | $721,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 537,765 | $720,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 161,146 | $720,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 59,639 | $718,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 194,700 | $717,000 | thousands by filing date | call |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 34,788 | $716,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 19,505 | $715,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 36,325 | $713,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 94,091 | $711,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 63,073 | $709,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 133,109 | $706,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 1,000,000 | $705,000 | thousands by filing date | put |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 25,674 | $705,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 28,983 | $704,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 40,135 | $701,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 22,963 | $700,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 212,400 | $698,000 | thousands by filing date | put |
| CARE COM INC | 141633107 | COM | 33,425 | $698,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 5,807 | $697,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 12,799 | $696,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 388,500 | $693,000 | thousands by filing date | put |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 97,802 | $693,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 29,210 | $691,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 33,875 | $689,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 42,780 | $689,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 19,134 | $688,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 35,479 | $687,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 18,995 | $687,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 36,439 | $687,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 151,166 | $686,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 115,400 | $685,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 65,147 | $682,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 52,329 | $681,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 37,519 | $680,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 9,655 | $680,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 25,342 | $680,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 30,888 | $679,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 358,879 | $676,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 204,167 | $674,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 19,517 | $670,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 169 | $669,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 96,633 | $669,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,032 | $666,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 146,229 | $666,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 250,986 | $665,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 14,400 | $665,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 80,414 | $662,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 52,348 | $661,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 114,671 | $661,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 57,897 | $660,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 44,639 | $659,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 63,277 | $658,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 30,993 | $655,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 26,304 | $654,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 14,085 | $654,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 20,085 | $654,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 44,234 | $654,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 184,100 | $653,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 164,681 | $652,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 42,385 | $652,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 85,156 | $650,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 31,267 | $649,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 41,991 | $649,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 82,518 | $648,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 13,418 | $647,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 87,859 | $646,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 63,905 | $646,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 61,816 | $645,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 15,478 | $643,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 76,025 | $643,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 654,000 | $641,000 | thousands by filing date | principal |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 29,567 | $638,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 39,959 | $638,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 50,635 | $638,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 280,000 | $637,000 | thousands by filing date | put |
| SIMULATIONS PLUS INC | 829214105 | COM | 28,534 | $635,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 55,236 | $633,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 4,269 | $633,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 10,223 | $633,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 52,420 | $631,000 | thousands by filing date | put |
| SB ONE BANCORP | 78413T103 | COM | 21,265 | $631,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 37,035 | $629,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 28,600 | $628,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 16,944 | $627,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 61,060 | $626,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 15,816 | $625,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 22,761 | $624,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 82,945 | $624,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 18,803 | $623,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 59,448 | $623,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 31,895 | $622,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 400,300 | $621,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 24,868 | $619,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,686 | $618,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 13,423 | $618,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 12,134 | $617,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 25,133 | $617,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 39,523 | $617,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 47,222 | $617,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 77,920 | $616,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 9,448 | $615,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 17,900 | $611,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 43,237 | $611,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 42,879 | $610,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 20,874 | $610,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 18,492 | $609,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 35,285 | $609,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 12,737 | $608,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 46,002 | $606,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 128,446 | $606,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 434,000 | $605,000 | thousands by filing date | principal |
| OHIO VY BANC CORP | 677719106 | COM | 11,482 | $603,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 45,988 | $603,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 432,822 | $596,000 | thousands by filing date | put |
| CLEARWATER PAPER CORP | 18538R103 | COM | 25,764 | $595,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 21,071 | $595,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 54,689 | $595,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 78,700 | $594,000 | thousands by filing date | call |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 15,728 | $594,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 16,700 | $593,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 44,433 | $593,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 24,829 | $587,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 63,573 | $586,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 46,461 | $586,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 1,111,000 | $586,000 | thousands by filing date | principal |
| Netflix, Inc | 64110L106 | COM | 27,000 | $581,000 | thousands by filing date | put |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 27,233 | $581,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 12,350 | $581,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 25,143 | $580,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 18,795 | $577,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 27,356 | $576,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 42,961 | $575,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 20,295 | $574,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 50,000 | $574,000 | thousands by filing date | put |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 45,710 | $574,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 695,000 | $573,000 | thousands by filing date | principal |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 14,970 | $572,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 16,966 | $571,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 102,546 | $570,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 639,000 | $567,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 8,540 | $567,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 17,412 | $566,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 16,210 | $565,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 22,452 | $565,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 12,325 | $565,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 89,157 | $565,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 16,781 | $564,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 57,821 | $563,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 88,585 | $562,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 492,000 | $562,000 | thousands by filing date | principal |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 11,878 | $559,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 58,773 | $558,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 48,223 | $558,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 4,898 | $557,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 48,780 | $557,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 56,777 | $555,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 32,851 | $553,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 52,199 | $552,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 188,181 | $552,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 84,625 | $552,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 40,602 | $552,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 39,277 | $551,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 46,492 | $551,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 39,235 | $550,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 19,223 | $549,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 23,283 | $549,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 27,743 | $548,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 42,655 | $548,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 13,582 | $548,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 204,389 | $547,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 161,120 | $547,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 10,503 | $546,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 64,062 | $545,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 40,037 | $545,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 14,844 | $543,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 14,357 | $542,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 15,471 | $542,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 28,451 | $541,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 19,481 | $540,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 233,944 | $540,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 18,246 | $540,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 25,702 | $539,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 219,059 | $539,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 34,097 | $537,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 16,510 | $536,000 | thousands by filing date | call |
| LENDINGCLUB CORP | 52603A109 | COM | 141,619 | $536,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 19,094 | $535,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 625,000 | $534,000 | thousands by filing date | put |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 24,234 | $533,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 14,250 | $533,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 13,344 | $533,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 19,219 | $532,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 325,602 | $531,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 41,215 | $531,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 17,201 | $530,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 22,606 | $530,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,423,003 | $529,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 107,272 | $528,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 11,464 | $527,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 88,522 | $526,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 509,000 | $525,000 | thousands by filing date | principal |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 480 | $524,000 | thousands by filing date | put |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 28,733 | $523,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 337,500 | $523,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 120,044 | $523,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 12,754 | $522,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 18,926 | $522,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 27,505 | $521,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 13,364 | $521,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 103,100 | $520,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 191,300 | $519,000 | thousands by filing date | put |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 19,353 | $519,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 27,886 | $518,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 13,035 | $518,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 227,000 | $516,000 | thousands by filing date | call |
| ELLIS PERRY INTL INC | 288853104 | COM | 18,999 | $516,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 33,538 | $516,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 23,290 | $515,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 10,453 | $515,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 16,836 | $514,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 47,424 | $514,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 46,615 | $513,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 17,304 | $512,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 10,705 | $512,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 12,831 | $512,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 22,331 | $511,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 33,875 | $510,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 503,900 | $509,000 | thousands by filing date | call |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 12,583 | $509,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 51,087 | $508,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 21,277 | $506,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 48,146 | $506,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 100,887 | $506,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 55,357 | $506,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 40,230 | $505,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 17,276 | $505,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 35,937 | $505,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 11,405 | $504,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 88,186 | $500,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 17,142 | $500,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 410,500 | $499,000 | thousands by filing date | call |
| OOMA INC | 683416101 | COM | 35,198 | $498,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 103,746 | $496,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 95,323 | $496,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 37,509 | $495,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 36,247 | $495,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 15,259 | $495,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 30,000 | $495,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 5,709 | $494,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 486,000 | $492,000 | thousands by filing date | principal |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 321,800 | $491,000 | thousands by filing date | put |
| ACCURAY INC DEL | 004397105 | COM | 119,777 | $491,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 4,870 | $491,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 38,152 | $490,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 19,583 | $489,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 13,573 | $488,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 62,562 | $488,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 19,014 | $487,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 28,205 | $487,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 475,000 | $486,000 | thousands by filing date | put |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 12,296 | $486,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 370,000 | $485,000 | thousands by filing date | put |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 41,555 | $485,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,771 | $484,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 95,446 | $484,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 19,958 | $483,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 39,816 | $483,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 14,491 | $483,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 30,938 | $482,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 25,484 | $481,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 478,000 | $481,000 | thousands by filing date | principal |
| RBB BANCORP | 74930B105 | COMMON STOCK | 14,945 | $480,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 67,462 | $480,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 19,869 | $480,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 18,615 | $479,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 22,685 | $479,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 43,744 | $478,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 20,263 | $478,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 42,716 | $478,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 83,700 | $477,000 | thousands by filing date | put |
| LCNB CORP | 50181P100 | COM | 24,235 | $477,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 28,621 | $474,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 35,639 | $473,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 18,261 | $473,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 9,324 | $473,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 118,530 | $473,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 19,387 | $472,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 446,000 | $472,000 | thousands by filing date | principal |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,962 | $470,000 | 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 |