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 |
|---|---|---|---|---|---|---|
| Analog Devices,Inc. | 032654105 | COM | 30,800 | $67,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 26,800 | $67,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,942 | $67,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 8,071 | $67,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 12,540 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,111 | $67,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 2,763 | $67,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 31,400 | $67,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 3,300 | $67,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 111,800 | $66,000 | thousands by filing date | call |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 65,700 | $66,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 137,100 | $66,000 | thousands by filing date | call |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 1,071 | $65,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 740 | $65,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,857 | $65,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 1,585 | $65,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 66,000 | $65,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 1,005 | $64,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 12,100 | $64,000 | thousands by filing date | call |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,665 | $64,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 1,305 | $63,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 175,800 | $63,000 | thousands by filing date | call |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 9,903 | $63,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 641 | $63,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 3,487 | $63,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 2,013 | $62,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 59,500 | $62,000 | thousands by filing date | call |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 67,000 | $62,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 72,715 | $61,000 | thousands by filing date | put |
| LENNAR CORP CL A | 526057104 | Stock | 50,000 | $61,000 | thousands by filing date | call |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 4,201 | $61,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 3,591 | $61,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 873 | $61,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 25,789 | $61,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 28,644 | $61,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 65,000 | $61,000 | thousands by filing date | principal |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $61,000 | thousands by filing date | principal |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,937 | $60,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 35,000 | $60,000 | thousands by filing date | call |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 358 | $60,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,800 | $60,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 3,008 | $60,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 7,940 | $60,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 63,000 | $60,000 | thousands by filing date | principal |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 4,243 | $59,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 908 | $59,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 33,073 | $59,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 2,767 | $59,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 350,000 | $58,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 26,053 | $58,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,963 | $57,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 11,700 | $57,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,545 | $57,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 266,700 | $56,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,137 | $56,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 5,223 | $56,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 23,890 | $56,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 14,545 | $56,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2,376 | $56,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 7,500 | $56,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 37,343 | $55,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 218,125 | $55,000 | thousands by filing date | put |
| ConocoPhillips | 20825C104 | COM | 10,000 | $55,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 12,753 | $55,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 45,800 | $55,000 | thousands by filing date | call |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 282,186 | $55,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 58,410 | $55,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 31,668 | $54,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 100,000 | $54,000 | thousands by filing date | put |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 3,000 | $54,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 5,637 | $54,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,348 | $54,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 50,000 | $54,000 | thousands by filing date | put |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 55,000 | $54,000 | thousands by filing date | principal |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 441 | $53,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 57,827 | $53,000 | thousands by filing date | put |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 55,000 | $53,000 | thousands by filing date | put |
| IAMGOLD CORP COM | 450913108 | Stock | 14,387 | $53,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 15,600 | $53,000 | thousands by filing date | call |
| CM FIN INC COM | 12574Q103 | COM | 6,161 | $53,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 20,417 | $53,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 87,100 | $52,000 | thousands by filing date | put |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 41,600 | $52,000 | thousands by filing date | call |
| COMSCORE INC | 20564W105 | COM | 2,845 | $52,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 56,200 | $51,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 110,000 | $51,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 1,570 | $51,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 6,400 | $51,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 23,291 | $51,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $51,000 | thousands by filing date | principal |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 7,484 | $50,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 190,000 | $50,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 32,400 | $50,000 | thousands by filing date | put |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 2,328 | $50,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 25,000 | $50,000 | thousands by filing date | put |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $50,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,682 | $50,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $49,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 68,800 | $49,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 17,959 | $48,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 95,411 | $48,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 2,650 | $48,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 27,477 | $48,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 59,000 | $48,000 | thousands by filing date | principal |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 50,000 | $48,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 46,000 | $48,000 | thousands by filing date | principal |
| Prologis,Inc. | 74340W103 | COM | 65,000 | $47,000 | thousands by filing date | call |
| MURPHY OIL CORP COM | 626717102 | Stock | 150,000 | $47,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 3,297 | $47,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 5,423 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $47,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 1,874 | $47,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,049 | $46,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 1,464 | $46,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 497 | $46,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 47,604 | $46,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,001 | $46,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 28,000 | $46,000 | thousands by filing date | principal |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $46,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $45,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 13,100 | $45,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 400 | $45,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 11,000 | $45,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,156 | $45,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,519 | $45,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 17,385 | $45,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 26,932 | $45,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 130,076 | $44,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 877 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 450 | $44,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,504 | $44,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,626 | $44,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 29,986 | $44,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 3,481 | $44,000 | thousands by filing date | |
| TRIP COM GROUP LTD | 22943FAM2 | DBCV 1.250% 9/1 | 45,000 | $44,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 46,100 | $43,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 43,040 | $43,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,171 | $43,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 71,100 | $43,000 | thousands by filing date | call |
| Lowes Companies,Inc. | 548661107 | COM | 128,670 | $42,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 88,800 | $42,000 | thousands by filing date | call |
| RESEARCH FRONTIERS INC | 760911107 | COM | 27,001 | $42,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 1,380 | $42,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,528 | $42,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 17,014 | $42,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 1,224 | $42,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 6,000 | $42,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 31,335 | $42,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 633 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 469 | $41,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 10,623 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $41,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 12,614 | $41,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 18,856 | $41,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 34,200 | $40,000 | thousands by filing date | call |
| Stryker Corporation | 863667101 | COM | 33,800 | $40,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 42,500 | $40,000 | thousands by filing date | put |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,109 | $40,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,850 | $40,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 7,789 | $40,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 55,344 | $40,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 41,698 | $40,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 42,000 | $40,000 | thousands by filing date | principal |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 11,000 | $40,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 21,018 | $39,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 11,200 | $39,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,103 | $39,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 6,947 | $39,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 3,790 | $39,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,400 | $39,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 1,827 | $39,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 48,900 | $39,000 | thousands by filing date | put |
| IF BANCORP INC | 44951J105 | COM | 1,700 | $39,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 46,105 | $39,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 324 | $39,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 505 | $38,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 5,699 | $38,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,150 | $38,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,800 | $38,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 7,058 | $38,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,512 | $38,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,017 | $38,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,500 | $38,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 2,337 | $38,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 160,000 | $37,000 | thousands by filing date | call |
| ALCOA CORP COM | 013872106 | Stock | 25,000 | $37,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 5,105 | $37,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 4,925 | $37,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $37,000 | thousands by filing date | principal |
| iShares MSCI Mexico ETF | 464286822 | SHS | 71,500 | $36,000 | thousands by filing date | put |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 139,800 | $36,000 | thousands by filing date | put |
| AVIS BUDGET GROUP INC | 053774105 | COM | 20,000 | $36,000 | thousands by filing date | call |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 85,000 | $36,000 | thousands by filing date | call |
| JACK IN THE BOX INC | 466367109 | COM | 31,000 | $36,000 | thousands by filing date | put |
| OP BANCORP | 67109R109 | COMMON STOCK | 3,057 | $36,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,800 | $36,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 124,500 | $36,000 | thousands by filing date | call |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,282 | $36,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 5,882 | $36,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 3,200 | $36,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 205 | $36,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,607 | $36,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 31,201 | $36,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,318 | $35,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 1,150 | $35,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,557 | $35,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 1,041 | $35,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,000 | $35,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,480 | $35,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,200 | $35,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 7,421 | $35,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 12,500 | $34,000 | thousands by filing date | put |
| PAPA JOHNS INTL INC | 698813102 | COM | 6,900 | $34,000 | thousands by filing date | call |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 1,501 | $34,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,982 | $34,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,096 | $34,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,561 | $34,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 700 | $33,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 501 | $33,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 970 | $33,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 2,055 | $33,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,416 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E685 | GLOBAL AGRCLTR | 1,200 | $33,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 270 | $32,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,830 | $32,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,149 | $32,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 59,000 | $32,000 | thousands by filing date | put |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 32,000 | $32,000 | thousands by filing date | principal |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 245,800 | $31,000 | thousands by filing date | call |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 13,744 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 843 | $31,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 31,000 | $31,000 | thousands by filing date | principal |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 855 | $30,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 12,442 | $30,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 5,653 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 568 | $30,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,501 | $30,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $30,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 10,000 | $30,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E792 | EMRNG MKT INFR | 851 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 100,000 | $29,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 147,900 | $29,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 316 | $29,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,371 | $29,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 2,500 | $29,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 2,744 | $29,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 399 | $29,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 2,797 | $29,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,000 | $29,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 57,600 | $28,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 1,625 | $28,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,066 | $28,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $28,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 669 | $28,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 41,600 | $27,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 709 | $27,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,406 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 850 | $27,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 34,000 | $27,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 54,650 | $27,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 800 | $27,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,052 | $26,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 50,000 | $26,000 | thousands by filing date | put |
| JACK IN THE BOX INC | 466367109 | COM | 38,500 | $26,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 911 | $26,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 7,806 | $26,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 45,000 | $26,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 279,200 | $26,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $26,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,380 | $26,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 46,000 | $25,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 131,500 | $25,000 | thousands by filing date | put |
| NISOURCE INC COM | 65473P105 | Stock | 149,400 | $25,000 | thousands by filing date | put |
| FOOT LOCKER INC | 344849104 | COM | 40,000 | $25,000 | thousands by filing date | put |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $25,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 2,334 | $25,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $25,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,899 | $25,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,210 | $25,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 33,400 | $25,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,060 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $25,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,001 | $25,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 45,000 | $24,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 113,100 | $24,000 | thousands by filing date | put |
| Micron Technology,Inc. | 595112103 | COM | 28,700 | $24,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,947 | $24,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,323 | $24,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,688 | $24,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 7,049 | $24,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,001 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 13,672 | $24,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 2,486 | $24,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 18,511 | $24,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 1,546 | $24,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 42,936 | $23,000 | thousands by filing date | put |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 880 | $23,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 1,895 | $23,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 917 | $23,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 20,000 | $23,000 | thousands by filing date | put |
| MORPHOSYS AG | 617760202 | ADR | 865 | $23,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $23,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,037 | $23,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 30,000 | $23,000 | thousands by filing date | principal |
| CVS Health Corporation | 126650100 | COM | 97,500 | $22,000 | thousands by filing date | put |
| BALL CORP | 058498106 | COM | 78,000 | $22,000 | thousands by filing date | put |
| VIRCO MFG CO | 927651109 | COM | 4,500 | $22,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,576 | $22,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 106,880 | $22,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 96,425 | $22,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,654 | $22,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 1,040 | $22,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 8,000 | $22,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 15,901 | $22,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 93,300 | $21,000 | thousands by filing date | call |
| KCAP FINANCIAL INC | 48668E101 | COM | 6,301 | $21,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 855 | $21,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,005 | $21,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,651 | $21,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,700 | $21,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 11,295 | $21,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 835 | $21,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 179,400 | $20,000 | thousands by filing date | put |
| EQT CORP COM | 26884L109 | Stock | 227,700 | $20,000 | thousands by filing date | call |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 22,500 | $20,000 | thousands by filing date | put |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 13,000 | $20,000 | thousands by filing date | put |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,900 | $20,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 885 | $20,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,338 | $20,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 2,021 | $20,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $20,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,000 | $20,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 80,000 | $19,000 | thousands by filing date | call |
| VWO | 922042858 | SHS | 12,821 | $19,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 67,900 | $19,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 536,100 | $19,000 | thousands by filing date | call |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 690 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 477 | $19,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 10,883 | $19,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 486 | $19,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,582 | $19,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,381 | $19,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 21,224 | $19,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $19,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 20,000 | $19,000 | thousands by filing date | principal |
| RESTORBIO INC | 76133L103 | COM | 1,227 | $19,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 636 | $18,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 525 | $18,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 9,000 | $18,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 20,700 | $18,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 46,700 | $18,000 | thousands by filing date | call |
| NOBLE ENERGY INC | 655044105 | COM | 32,200 | $18,000 | thousands by filing date | call |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,458 | $18,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 8,228 | $18,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 3,000 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 560 | $18,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,627 | $18,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,591 | $18,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 2,092 | $18,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 59,300 | $17,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 55,500 | $17,000 | thousands by filing date | put |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 56,200 | $17,000 | thousands by filing date | put |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 16,100 | $17,000 | thousands by filing date | call |
| PROTO LABS INC | 743713109 | COM | 14,900 | $17,000 | thousands by filing date | call |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,044 | $17,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,057 | $17,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 16,200 | $17,000 | thousands by filing date | call |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,225 | $17,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 6,600 | $17,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,653 | $17,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,868 | $17,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 6,500 | $17,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 10,000 | $17,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 11,121 | $17,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V126 | WILDERHL PRGRS | 663 | $17,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 28,400 | $16,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 10,000 | $16,000 | thousands by filing date | put |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 42,600 | $16,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 680 | $16,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 3,782 | $16,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 5,000 | $16,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,112 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $16,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 4,571 | $16,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 9,708 | $16,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,000 | $16,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 6,001 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 297 | $16,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 14,612 | $16,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 935 | $16,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 20,000 | $15,000 | thousands by filing date | put |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 600 | $15,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 25,000 | $15,000 | thousands by filing date | put |
| BRP INC COM SUN VTG | 05577W200 | Stock | 330 | $15,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 901 | $15,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,756 | $15,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 5,600 | $15,000 | thousands by filing date | put |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 500 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $15,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 951 | $15,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 1,501 | $15,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 3,808 | $15,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 50,000 | $14,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 4,520 | $14,000 | thousands by filing date | put |
| ACM RESH INC COM CL A | 00108J109 | Stock | 1,312 | $14,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 30,000 | $14,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 25,000 | $14,000 | thousands by filing date | call |
| BIOGEN INC COM | 09062X103 | Stock | 1,016 | $14,000 | thousands by filing date | put |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 3,485 | $14,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 75,500 | $14,000 | thousands by filing date | call |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,784 | $14,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $14,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 4,500 | $14,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,000 | $14,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $14,000 | thousands by filing date | principal |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 628 | $14,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 8,511 | $14,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 800 | $14,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 972 | $14,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 8,772 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 14,000 | $14,000 | thousands by filing date | principal |
| AMERICANRLTYINVSINC | 029174109 | STOK | 779 | $13,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 25,000 | $13,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 4,000 | $13,000 | thousands by filing date | call |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 739 | $13,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 24,000 | $13,000 | thousands by filing date | put |
| HANESBRANDS INC | 410345102 | COM | 55,200 | $13,000 | thousands by filing date | call |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,122 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 473 | $13,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 1,110 | $13,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 3,435 | $13,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 9,346 | $13,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 1,000 | $13,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 1,389 | $13,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 821 | $13,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 41,205 | $13,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $13,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 13,500 | $13,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $13,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 973 | $13,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 499 | $12,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 55,000 | $12,000 | thousands by filing date | put |
| TEREX CORP NEW COM | 880779103 | Stock | 16,000 | $12,000 | thousands by filing date | put |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 41,000 | $12,000 | thousands by filing date | put |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 700 | $12,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 250 | $12,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 267 | $12,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 19,300 | $12,000 | thousands by filing date | call |
| MV OIL TR | 553859109 | TR UNITS | 1,008 | $12,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,801 | $12,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 7,730 | $12,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,588 | $12,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,110 | $12,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $12,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 751 | $12,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $12,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,231 | $12,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,550 | $12,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 136,327 | $12,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,502 | $12,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 502 | $11,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 10,700 | $11,000 | thousands by filing date | put |
| NETAPP INC COM | 64110D104 | Stock | 5,100 | $11,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 141,300 | $11,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 369 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $11,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 50,600 | $11,000 | thousands by filing date | call |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 740 | $11,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 291 | $11,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 25,300 | $11,000 | thousands by filing date | put |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 451 | $11,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 251 | $11,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,501 | $11,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 470 | $11,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 442 | $11,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,394 | $11,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 404 | $11,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,500 | $11,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 8,200 | $11,000 | thousands by filing date | |
| 3PEA INTL INC | 88579C109 | COM | 2,900 | $11,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 30,230 | $10,000 | thousands by filing date | put |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 9,500 | $10,000 | thousands by filing date | put |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 6,400 | $10,000 | thousands by filing date | put |
| Vanguard Total World Stock ETF | 922042742 | SHS | 10,700 | $10,000 | thousands by filing date | put |
| DAVITA INC COM | 23918K108 | Stock | 26 | $10,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 2,073 | $10,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 73,100 | $10,000 | thousands by filing date | call |
| BJS RESTAURANTS INC | 09180C106 | COM | 29,300 | $10,000 | thousands by filing date | put |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $10,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,245 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 525 | $10,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $10,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 130,100 | $10,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 7,948 | $10,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $10,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 818 | $10,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 876 | $10,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 15,075 | $10,000 | 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 |