13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-02, with 6,707 holding rows worth $353,753,258,000.
- Accession
- 0000072971-18-000468
- Filer
- CIK 72971
- Filed
- 2018-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 21,425 entries on the cover page, a total value of $353,753,258,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $353,753,258,000 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 Citigroup, Inc
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 managerAnalytic Investors, LLC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerAnalytic Investors, LLC reporting on behalf of SEI INVESTMENTS CO
- included managerAnalytic Investors, LLC reporting on behalf of 361 CAPITAL LLC
- included managerANALYTIC INVESTORS, LLC028-04895
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 |
|---|---|---|---|---|---|---|
| AQUANTIA CORP | 03842Q108 | COM | 15,792 | $202,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 6,469 | $201,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 8,004 | $201,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 16,667 | $201,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 4,797 | $201,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 5,904 | $199,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 18,247 | $199,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 13,953 | $199,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 34,837 | $199,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 2,975 | $199,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 40,501 | $199,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 14,109 | $198,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 33,843 | $198,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 19,245 | $197,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 130,894 | $197,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,131 | $196,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 33,727 | $196,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 5,377 | $196,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 39,527 | $196,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,553 | $195,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 15,910 | $195,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 10,789 | $194,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 15,105 | $194,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 132,600 | $194,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 15,015 | $194,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 15,088 | $194,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 358,900 | $193,000 | thousands by filing date | put |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 14,358 | $192,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 11,237 | $192,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 96,138 | $192,000 | thousands by filing date | |
| PARKER DRILLING CO. | 701081408 | COM | 64,461 | $192,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 1,815,800 | $191,000 | thousands by filing date | call |
| CMB.TECH NV SHS | B38564108 | Stock | 21,880 | $191,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 5,473 | $191,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 20,752 | $191,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 11,394 | $191,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 25,000 | $189,000 | thousands by filing date | call |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 32,489 | $189,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 24,935 | $189,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 4,123 | $189,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 15,496 | $187,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 350,400 | $187,000 | thousands by filing date | put |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 30,929 | $186,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 7,400 | $186,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 350,000 | $185,000 | thousands by filing date | call |
| LIBBEY INC | 529898108 | COM | 21,131 | $185,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 6,383 | $185,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 15,442 | $184,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 24,238 | $184,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 23,116 | $184,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 12,197 | $183,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 67,466 | $183,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 48,717 | $183,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 5,410 | $183,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 65,000 | $182,000 | thousands by filing date | put |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 11,426 | $182,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 10,728 | $182,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 5,765 | $181,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 19,930 | $181,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 8,402 | $180,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 14,289 | $180,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 17,964 | $179,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 13,163 | $178,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 43,000 | $178,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 18,600 | $178,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 17,755 | $178,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,831 | $177,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 55,300 | $177,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 7,587 | $177,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 15,677 | $177,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 6,844 | $177,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 80,200 | $176,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 8,238 | $176,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 140,000 | $175,000 | thousands by filing date | put |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 9,400 | $175,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 10,907 | $175,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 60,000 | $174,000 | thousands by filing date | call |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 5,467 | $173,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 7,385 | $173,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 188 | $173,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 8,900 | $173,000 | thousands by filing date | put |
| ZAFGEN INC | 98885E103 | COM | 14,783 | $173,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 19,009 | $172,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 12,998 | $172,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 12,285 | $171,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 4,617 | $171,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 177,000 | $171,000 | thousands by filing date | principal |
| PROVIDENT BANCORP INC | 74383X109 | COM | 5,885 | $171,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 5,551 | $170,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 161,000 | $169,000 | thousands by filing date | principal |
| UQM TECHNOLOGIES INC | 903213106 | COM | 128,285 | $168,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 407,800 | $167,000 | thousands by filing date | call |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 38,908 | $167,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 8,276 | $167,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 4,201 | $166,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 6,462 | $166,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 21,201 | $166,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 16,675 | $166,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 16,101 | $166,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 57,490 | $166,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 29,100 | $165,000 | thousands by filing date | call |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 7,744 | $165,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 7,973 | $165,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 12,334 | $165,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 106,630 | $164,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 350,600 | $164,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 126,286 | $164,000 | thousands by filing date | put |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 31,581 | $164,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 5,691 | $164,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 4,706 | $164,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,736 | $164,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 23,734 | $164,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 43,020 | $163,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 5,589 | $163,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 13,364 | $163,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 7,844 | $163,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 6,750 | $163,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 19,500 | $162,000 | thousands by filing date | call |
| NORDSTROM INC | 655664100 | COM | 65,000 | $162,000 | thousands by filing date | put |
| SYMANTEC CORP | 871503108 | COM | 40,000 | $162,000 | thousands by filing date | put |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 5,232 | $162,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 149,716 | $161,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 1,898 | $161,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 17,401 | $161,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 130,662 | $161,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 50,000 | $160,000 | thousands by filing date | put |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 27,067 | $160,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 5,172 | $160,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 10,448 | $160,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 6,045 | $160,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 10,200 | $159,000 | thousands by filing date | call |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 5,090 | $159,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 10,813 | $158,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 4,697 | $158,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 10,748 | $158,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 41,866 | $158,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 158,000 | $158,000 | thousands by filing date | principal |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 187,200 | $157,000 | thousands by filing date | call |
| BJS RESTAURANTS INC | 09180C106 | COM | 33,800 | $156,000 | thousands by filing date | call |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 13,065 | $156,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 16,739 | $156,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 159,000 | $156,000 | thousands by filing date | principal |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,037,200 | $155,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,666 | $155,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 300,000 | $155,000 | thousands by filing date | call |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 4,676 | $154,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 45,308 | $154,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 7,357 | $153,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,215 | $153,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 20,701 | $153,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 6,644 | $152,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 100,000 | $152,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671708 | COM NEW | 46,440 | $152,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 12,922 | $152,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 47,620 | $152,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 151,000 | $152,000 | thousands by filing date | principal |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 1,476 | $152,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 179,800 | $151,000 | thousands by filing date | put |
| CANADIAN SOLAR INC | 136635109 | COM | 10,417 | $151,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 15,287 | $151,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 26,183 | $151,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 9,969 | $151,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 5,558 | $151,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,060 | $150,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 50,000 | $149,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,660 | $149,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 37,182 | $149,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 41,617 | $149,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 20,000 | $148,000 | thousands by filing date | call |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,301 | $148,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 23,843 | $148,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 46,700 | $147,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 85,343 | $147,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 5,951 | $147,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 12,989 | $147,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 7,637 | $147,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 140,000 | $147,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 2,817 | $146,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 22,797 | $146,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 8,623 | $146,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 5,516 | $146,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 8,632 | $146,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 5,828 | $145,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 150,000 | $145,000 | thousands by filing date | principal |
| Schlumberger Limited | 806857108 | COM | 100,000 | $144,000 | thousands by filing date | call |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 11,739 | $144,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 78,906 | $144,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 49,900 | $143,000 | thousands by filing date | call |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 23,730 | $143,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 8,931 | $143,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 10,160 | $142,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 5,085 | $142,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $142,000 | thousands by filing date | principal |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,169 | $142,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,900 | $141,000 | thousands by filing date | call |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 6,167 | $141,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 3,889 | $139,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 30,838 | $139,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 8,051 | $139,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 25,024 | $139,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,178 | $138,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 7,241 | $138,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 142,000 | $138,000 | thousands by filing date | principal |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 47,833 | $137,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 131,700 | $137,000 | thousands by filing date | call |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 24,289 | $137,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 257,000 | $137,000 | thousands by filing date | principal |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 11,537 | $137,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 7,595 | $137,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $137,000 | thousands by filing date | principal |
| XILINX INC | 983919101 | COM | 93,500 | $136,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 10,432 | $136,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 6,812 | $136,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 7,526 | $136,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $134,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 5,042 | $133,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 5,521 | $133,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 3,348 | $133,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 3,845 | $133,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,980 | $133,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 122,600 | $132,000 | thousands by filing date | call |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 6,429 | $132,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 5,059 | $132,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V514 | RUSEL 2000 EQL | 2,807 | $132,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 47,762 | $131,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 15,831 | $131,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 6,040 | $131,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 6,397 | $131,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 43,525 | $131,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 12,601 | $130,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 18,678 | $130,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 47,900 | $130,000 | thousands by filing date | call |
| Bowater Inc | 09066L105 | COMMON STOCKS | 55,107 | $130,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 33,325 | $130,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 17,469 | $130,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 11,941 | $130,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 131,000 | $130,000 | thousands by filing date | principal |
| Adobe Inc | 00724F101 | COM | 28,700 | $129,000 | thousands by filing date | call |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 14,765 | $129,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 10,351 | $128,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 8,604 | $128,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 12,689 | $127,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,955 | $127,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 35,701 | $127,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,662 | $126,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,121 | $126,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 47,696 | $126,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 32,749 | $126,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 29,038 | $126,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,300 | $125,000 | thousands by filing date | put |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 23,800 | $125,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 2,649 | $125,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 15,512 | $125,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,128 | $125,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 43,853 | $125,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 10,414 | $125,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 16,496 | $124,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 24,308 | $124,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 16,200 | $123,000 | thousands by filing date | put |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,552 | $123,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 5,000 | $123,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 5,652 | $122,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 17,779 | $122,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 27,400 | $121,000 | thousands by filing date | put |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 17,190 | $121,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,315 | $121,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 3,080 | $120,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 220,000 | $120,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,948 | $120,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,100 | $120,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 25,821 | $120,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 25,000 | $120,000 | thousands by filing date | put |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 15,633 | $120,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 6,335 | $120,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 3,735 | $119,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 15,565 | $119,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 3,550 | $119,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 129,000 | $119,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B706 | COM | 1,600 | $119,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,296 | $118,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 100,000 | $118,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP | 12648L601 | COM | 54,564 | $118,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 3,925 | $118,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 24,500 | $118,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 30,403 | $117,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 115,000 | $117,000 | thousands by filing date | principal |
| Misonix Inc | 604871103 | COM | 6,350 | $117,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 19,694 | $117,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 37,265 | $116,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 40,000 | $116,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 7,185 | $116,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 20,287 | $116,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 116,000 | $116,000 | thousands by filing date | principal |
| NUVEEN GA DIVID | 67072B107 | COM | 10,513 | $116,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 9,994 | $116,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 12,070 | $115,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 161,511 | $115,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 24,333 | $115,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $115,000 | thousands by filing date | principal |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 5,132 | $115,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 86,000 | $115,000 | thousands by filing date | principal |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 17,224 | $114,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,782 | $114,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 39,957 | $114,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 5,876 | $114,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 779 | $113,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 197,900 | $113,000 | thousands by filing date | put |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 28,339 | $113,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 113,000 | $113,000 | thousands by filing date | principal |
| EATON VANCE | 27826G109 | SH BEN INT | 9,078 | $112,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 9,619 | $112,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,402 | $112,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 2,620 | $111,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 3,452 | $111,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 113,000 | $111,000 | thousands by filing date | principal |
| AFLAC INC COM | 001055102 | Stock | 294,600 | $110,000 | thousands by filing date | put |
| EVOLUS INC | 30052C107 | COM | 5,944 | $110,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 8,892 | $110,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 9,600 | $110,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 10,935 | $110,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 26,123 | $110,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 31,414 | $110,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 111,000 | $110,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,515 | $109,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 8,321 | $109,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 249,800 | $108,000 | thousands by filing date | call |
| IDT CORP | 448947507 | CL B NEW | 20,154 | $108,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 8,200 | $108,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 18,091 | $108,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 107,000 | $108,000 | thousands by filing date | principal |
| Qualcomm Incorporated | 747525103 | COM | 164,200 | $107,000 | thousands by filing date | put |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 4,521 | $107,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 7,706 | $107,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 17,253 | $106,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 21,750 | $106,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 12,016 | $105,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,294 | $105,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 26,287 | $105,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,778 | $104,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 57,300 | $104,000 | thousands by filing date | put |
| ID SYSTEMS INC | 449489103 | COM | 14,913 | $104,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,516 | $103,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 23,683 | $103,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,767 | $103,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,066 | $103,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 119,600 | $102,000 | thousands by filing date | put |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 125,000 | $102,000 | thousands by filing date | call |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 11,373 | $102,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 5,584 | $102,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 15,482 | $101,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 19,541 | $101,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 26,011 | $101,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 83,673 | $101,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 91,600 | $100,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 49,916 | $100,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 300,000 | $100,000 | thousands by filing date | put |
| Concho Resources Inc. | 20605P101 | COM | 18,100 | $100,000 | thousands by filing date | call |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 1,456 | $100,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 100,000 | $100,000 | thousands by filing date | principal |
| GOLDFIELD CORP | 381370105 | COM | 23,289 | $99,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,681 | $99,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 100,000 | $98,000 | thousands by filing date | call |
| BLACKROCK INC CL A COM | 09247X101 | COM | 18,800 | $98,000 | thousands by filing date | put |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,500 | $98,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 68,681 | $98,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 1,600 | $98,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 61,800 | $97,000 | thousands by filing date | put |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 3,385 | $97,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 422,400 | $97,000 | thousands by filing date | call |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,424 | $97,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 5,154 | $97,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,499 | $97,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 26,212 | $97,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 6,537 | $97,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 751 | $96,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 5,500 | $96,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,055 | $96,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,785 | $96,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 6,994 | $96,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 332,500 | $95,000 | thousands by filing date | call |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 15,000 | $95,000 | thousands by filing date | call |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 112,000 | $95,000 | thousands by filing date | principal |
| Starbucks Corporation | 855244109 | COM | 199,400 | $94,000 | thousands by filing date | put |
| DOLLAR TREE INC COM | 256746108 | Stock | 26,200 | $94,000 | thousands by filing date | call |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 4,399 | $94,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 75,200 | $93,000 | thousands by filing date | put |
| MVC CAPITAL INC | 553829102 | COM | 9,660 | $93,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 81,572 | $93,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 29,202 | $93,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 18,400 | $92,000 | thousands by filing date | call |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 61,500 | $92,000 | thousands by filing date | put |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 4,983 | $92,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 133,400 | $92,000 | thousands by filing date | call |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $92,000 | thousands by filing date | principal |
| VALUE LINE INC | 920437100 | COMMON STOCK | 3,667 | $91,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 4,500 | $91,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 10,210 | $91,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 16,510 | $90,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 25,580 | $90,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 3,250 | $90,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 2,817 | $90,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 35,400 | $89,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 5,988 | $89,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $89,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 4,793 | $88,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 38,935 | $88,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 48,200 | $88,000 | thousands by filing date | call |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 3,610 | $88,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 9,786 | $88,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 36,134 | $87,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 29,126 | $87,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 20,000 | $86,000 | thousands by filing date | put |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 49,672 | $86,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 160,315 | $85,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,105 | $85,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 125,000 | $85,000 | thousands by filing date | call |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,760 | $85,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,216 | $85,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 10,498 | $85,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 79,325 | $85,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 6,810 | $84,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 36,795 | $84,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 13,597 | $84,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 36,017 | $84,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 182,600 | $83,000 | thousands by filing date | put |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 5,651 | $83,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 36,700 | $83,000 | thousands by filing date | put |
| MARCHEX INC | 56624R108 | CMN | 30,253 | $83,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 43,592 | $83,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 77,811 | $83,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 943 | $82,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 6,601 | $82,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 3,421 | $82,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 5,550 | $81,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 81,355 | $81,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $81,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,516 | $80,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4,952 | $80,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,440 | $80,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 42,000 | $80,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $80,000 | thousands by filing date | principal |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 7,111 | $80,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 311,400 | $79,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,996 | $79,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 178,400 | $79,000 | thousands by filing date | call |
| SERES THERAPEUTICS INC | 81750R102 | COM | 10,410 | $79,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 33,138 | $79,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 84,000 | $79,000 | thousands by filing date | principal |
| Chevron Corporation | 166764100 | COM | 117,119 | $78,000 | thousands by filing date | put |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 100,000 | $78,000 | thousands by filing date | put |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 13,001 | $78,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 28,095 | $78,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 16,759 | $78,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 6,634 | $78,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 14,638 | $78,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 14,382 | $77,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 18,501 | $77,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 75,000 | $77,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 126,300 | $76,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,326 | $76,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 5,114 | $76,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 4,606 | $76,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,917 | $75,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 280,000 | $74,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 6,009 | $74,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,835 | $74,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 33,400 | $73,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 15,340 | $73,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 2,716 | $73,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 72,400 | $73,000 | thousands by filing date | call |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 2,507 | $73,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 12,242 | $73,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 100,700 | $73,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 24,760 | $73,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 9,202 | $73,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 3,472 | $72,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 6,669 | $72,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 10,000 | $71,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 12,076 | $71,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 9,185 | $71,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $71,000 | thousands by filing date | principal |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 60,000 | $71,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 30,300 | $70,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 4,834 | $70,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 1,463 | $70,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 5,601 | $70,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 1,173 | $70,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 27,365 | $70,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 70,000 | $70,000 | thousands by filing date | principal |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 44,232 | $70,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 13,505 | $70,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 58,780 | $70,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 70,400 | $69,000 | thousands by filing date | call |
| ROSS STORES INC COM | 778296103 | Stock | 25,000 | $69,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 2,530 | $69,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 35,100 | $68,000 | thousands by filing date | call |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,769 | $68,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 10,346 | $68,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 8,306 | $68,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 26,510 | $68,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-18-000468 | this filing | 2018-11-02 | acceptance time not in the bulk data set |