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 |
|---|---|---|---|---|---|---|
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 63,427 | $1,805,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 44,818 | $1,802,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 114,706 | $1,801,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 62,746 | $1,796,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 53,362 | $1,794,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 139,966 | $1,793,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 168,218 | $1,793,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 144,616 | $1,793,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 365,095 | $1,789,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 158,458 | $1,783,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 16,213 | $1,782,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 61,966 | $1,781,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 42,543 | $1,777,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 12,947 | $1,769,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 29,642 | $1,768,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 68,126 | $1,765,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 21,652 | $1,762,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 104,048 | $1,758,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 94,985 | $1,757,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 35,403 | $1,755,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 34,895 | $1,753,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 67,496 | $1,752,000 | thousands by filing date | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 86,925 | $1,745,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 1,626,000 | $1,738,000 | thousands by filing date | principal |
| NEOGENOMICS INC | 64049M209 | COM NEW | 112,937 | $1,735,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 44,390 | $1,732,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 108,472 | $1,731,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 122,612 | $1,729,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 46,743 | $1,728,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 84,753 | $1,724,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 67,498 | $1,722,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 38,302 | $1,722,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 398,000 | $1,720,000 | thousands by filing date | put |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 30,392 | $1,719,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 351,050 | $1,719,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 52,853 | $1,710,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 50,966 | $1,709,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 154,410 | $1,709,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 119,344 | $1,707,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 65,434 | $1,705,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 200,154 | $1,698,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 32,396 | $1,692,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 97,809 | $1,687,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 238,398 | $1,687,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 61,930 | $1,685,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 41,256 | $1,683,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 114,025 | $1,682,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 61,680 | $1,682,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 35,749 | $1,681,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 167,931 | $1,681,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 191,903 | $1,680,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 44,520 | $1,676,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 154,410 | $1,674,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 36,789 | $1,672,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 174,436 | $1,671,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 263,546 | $1,671,000 | thousands by filing date | |
| DERMIRA INC | 24983LAB0 | NOTE 3.000% 5/1 | 2,004,000 | $1,671,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 51,475 | $1,670,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 79,863 | $1,669,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 210,698 | $1,667,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 45,310 | $1,660,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 91,304 | $1,660,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 36,776 | $1,655,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 98,823 | $1,654,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 43,759 | $1,654,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 121,606 | $1,648,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 205,013 | $1,634,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 1,543,000 | $1,632,000 | thousands by filing date | principal |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 146,749 | $1,628,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 90,423 | $1,627,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 171,687 | $1,627,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 68,133 | $1,626,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 141,369 | $1,623,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 108,665 | $1,622,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 54,753 | $1,615,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 101,513 | $1,613,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 112,647 | $1,612,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 313,253 | $1,610,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 32,502 | $1,607,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 244,702 | $1,605,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 46,519 | $1,604,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 33,014 | $1,598,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,117,000 | $1,593,000 | thousands by filing date | principal |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 51,124 | $1,592,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 106,782 | $1,591,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 101,895 | $1,589,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 1,512,400 | $1,588,000 | thousands by filing date | put |
| DILLARDS INC CL A | 254067101 | Stock | 20,709 | $1,581,000 | thousands by filing date | |
| ISHARES TR | 46435U697 | IBONDS DEC | 63,143 | $1,581,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 133,500 | $1,580,000 | thousands by filing date | call |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 44,853 | $1,579,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 56,932 | $1,578,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 89,424 | $1,578,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 82,635 | $1,576,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 20,203 | $1,576,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 250,300 | $1,575,000 | thousands by filing date | put |
| PROSHARES TR II | 74347Y805 | ETF | 96,781 | $1,575,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 215,610 | $1,574,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 166,605 | $1,574,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 23,280 | $1,574,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 28,786 | $1,571,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 77,715 | $1,570,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 142,928 | $1,569,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 326,492 | $1,568,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 85,660 | $1,567,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 1,057,000 | $1,567,000 | thousands by filing date | principal |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 124,534 | $1,565,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 34,048 | $1,563,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 17,800 | $1,562,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 53,604 | $1,560,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 52,048 | $1,558,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 13,679 | $1,556,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 29,912 | $1,556,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 42,840 | $1,555,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 27,017 | $1,554,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 66,232 | $1,554,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 54,397 | $1,552,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 38,003 | $1,552,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 43,895 | $1,552,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 38,692 | $1,550,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 151,199 | $1,550,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 23,375 | $1,548,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 63,847 | $1,547,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 26,562 | $1,545,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 33,623 | $1,542,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 30,999 | $1,539,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 16,771 | $1,537,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 187,528 | $1,534,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 79,336 | $1,531,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 1,419,000 | $1,531,000 | thousands by filing date | principal |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 48,601 | $1,529,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 65,992 | $1,528,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 59,557 | $1,528,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 18,280 | $1,528,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 137,793 | $1,527,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 56,662 | $1,526,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 63,518 | $1,525,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 92,318 | $1,524,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 95,777 | $1,519,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 144,550 | $1,518,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 4,751,100 | $1,516,000 | thousands by filing date | put |
| SASOL LTD | 803866300 | SPONSORED ADR | 39,195 | $1,515,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 136,870 | $1,515,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 65,624 | $1,514,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 116,979 | $1,514,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 120,636 | $1,514,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 27,413 | $1,512,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 121,377 | $1,510,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 69,330 | $1,508,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 1,574,000 | $1,506,000 | thousands by filing date | principal |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 175,800 | $1,505,000 | thousands by filing date | put |
| BOVIE MEDICAL CORP | 10211F100 | COM | 211,854 | $1,505,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 364,612 | $1,502,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 65,517 | $1,500,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 84,965 | $1,500,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 52,494 | $1,499,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 89,078 | $1,499,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 100,569 | $1,498,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 13,447 | $1,495,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 12,988 | $1,494,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 56,187 | $1,490,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 122,657 | $1,488,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 31,477 | $1,485,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 136,645 | $1,484,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 39,236 | $1,482,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 233,240 | $1,481,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 78,720 | $1,477,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 19,552 | $1,473,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 41,090 | $1,473,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 55,065 | $1,470,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 77,378 | $1,470,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 79,626 | $1,470,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 72,578 | $1,469,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 110,503 | $1,466,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 121,277 | $1,465,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 72,663 | $1,461,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 33,040 | $1,459,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 40,229 | $1,459,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 37,882 | $1,458,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 194,501 | $1,449,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 38,535 | $1,446,000 | thousands by filing date | |
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 85,071 | $1,445,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 33,151 | $1,442,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 65,012 | $1,442,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,372,000 | $1,440,000 | thousands by filing date | principal |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 360,132 | $1,438,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 42,551 | $1,434,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 83,537 | $1,433,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 80,306 | $1,432,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 67,895 | $1,429,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 87,396 | $1,427,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 124,567 | $1,420,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 123,292 | $1,419,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 78,296 | $1,418,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 59,697 | $1,418,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 152,900 | $1,413,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 36,155 | $1,413,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 83,053 | $1,412,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 38,630 | $1,410,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 89,794 | $1,410,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 87,677 | $1,407,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 116,785 | $1,407,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 31,450 | $1,406,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 11,684 | $1,404,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 71,402 | $1,403,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 16,685 | $1,400,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 54,977 | $1,397,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 78,827 | $1,395,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 61,751 | $1,393,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 126,700 | $1,392,000 | thousands by filing date | call |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 123,621 | $1,391,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 117,396 | $1,390,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 55,956 | $1,390,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 12,027 | $1,388,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 19,976 | $1,386,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 41,567 | $1,385,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 227,457 | $1,381,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 56,524 | $1,379,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 114,159 | $1,377,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 156,462 | $1,377,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 47,667 | $1,376,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 1,374,000 | $1,376,000 | thousands by filing date | principal |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 38,502 | $1,363,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 61,540 | $1,362,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,127,500 | $1,361,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 119,050 | $1,358,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 24,552 | $1,358,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 191,257 | $1,358,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 108,061 | $1,356,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 102,967 | $1,353,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 68,586 | $1,349,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 7,500 | $1,348,000 | thousands by filing date | call |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 85,576 | $1,348,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 94,705 | $1,348,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 7,257 | $1,347,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 34,020 | $1,346,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 63,356 | $1,343,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 100,450 | $1,342,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 19,339 | $1,342,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 16,938 | $1,341,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 362,300 | $1,340,000 | thousands by filing date | put |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,758,210 | $1,336,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 178,054 | $1,335,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 219,428 | $1,334,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 68,664 | $1,334,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 56,563 | $1,333,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 89,607 | $1,326,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 125,191 | $1,325,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 75,469 | $1,321,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 112,891 | $1,321,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 141,048 | $1,320,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 17,962 | $1,316,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 31,311 | $1,316,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 49,175 | $1,315,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 22,345 | $1,313,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 164,237 | $1,312,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 59,423 | $1,306,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,030,000 | $1,306,000 | thousands by filing date | principal |
| HECLA MNG CO | 422704106 | COM | 467,473 | $1,304,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 42,062 | $1,304,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 66,183 | $1,304,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 118,168 | $1,303,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 43,840 | $1,302,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 112,700 | $1,301,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 22,438 | $1,301,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 35,194 | $1,299,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,137,000 | $1,299,000 | thousands by filing date | principal |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 130,735 | $1,298,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 131,488 | $1,295,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 132,205 | $1,293,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 78,098 | $1,289,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 35,915 | $1,288,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 107,946 | $1,288,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 123,458 | $1,288,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 59,961 | $1,286,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 17,363 | $1,283,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 64,100 | $1,281,000 | thousands by filing date | |
| DDR CORP | 23317H854 | COM | 95,570 | $1,280,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 86,243 | $1,279,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 36,197 | $1,277,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 18,173 | $1,276,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 57,604 | $1,269,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 52,899 | $1,266,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 529,050 | $1,265,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 128,952 | $1,259,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 16,475 | $1,258,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 115,684 | $1,257,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 375,150 | $1,257,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 62,605 | $1,256,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 125,631 | $1,256,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 43,012 | $1,254,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 76,208 | $1,254,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 108,075 | $1,252,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 46,041 | $1,252,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 116,925 | $1,251,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 543,515 | $1,251,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 78,567 | $1,250,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 277,468 | $1,249,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,321,212 | $1,247,000 | thousands by filing date | put |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 58,520 | $1,246,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 61,611 | $1,245,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 41,575 | $1,244,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 1,580,800 | $1,243,000 | thousands by filing date | call |
| STRATASYS LTD | M85548101 | SHS | 53,806 | $1,243,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 26,732 | $1,240,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 25,522 | $1,239,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 190,139 | $1,235,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 45,087 | $1,229,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 76,864 | $1,226,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 90,629 | $1,222,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 65,027 | $1,222,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 23,213 | $1,221,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 97,552 | $1,220,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 106,148 | $1,219,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 17,245 | $1,218,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 14,653 | $1,211,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 35,338 | $1,211,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 96,513 | $1,208,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 63,209 | $1,207,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 51,863 | $1,206,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,193,000 | $1,206,000 | thousands by filing date | principal |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 50,541 | $1,204,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 242,652 | $1,203,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 156,512 | $1,202,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 74,052 | $1,200,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 17,588 | $1,199,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 194,690 | $1,199,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 121,858 | $1,198,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 584,000 | $1,198,000 | thousands by filing date | principal |
| HIGHPOINT RES CORP | 43114K108 | COM | 245,244 | $1,196,000 | thousands by filing date | |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 518,000 | $1,196,000 | thousands by filing date | principal |
| INVESCO SR INCOME TR | 46131H107 | COM | 277,654 | $1,194,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 68,710 | $1,194,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 18,324 | $1,192,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 53,219 | $1,191,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 20,805 | $1,190,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 108,343 | $1,190,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 14,809 | $1,189,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 1,000,000 | $1,188,000 | thousands by filing date | principal |
| PROVIDENCE SVC CORP | 743815102 | COM | 17,649 | $1,187,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,734,584 | $1,184,000 | thousands by filing date | put |
| RIVERVIEW BANCORP INC | 769397100 | COM | 134,015 | $1,184,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 70,969 | $1,184,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 132,815 | $1,183,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 21,027 | $1,182,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 116,147 | $1,181,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 545,000 | $1,181,000 | thousands by filing date | principal |
| SOTHEBYS | 835898107 | COM | 24,008 | $1,180,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 1,167,000 | $1,173,000 | thousands by filing date | principal |
| INVESCO EXCHANGETRADED FD T DWA TACTCL SCT | 46138E826 | CEF | 37,044 | $1,171,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 337,868 | $1,169,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 1,324,025 | $1,169,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 32,469 | $1,168,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 108,060 | $1,167,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 217,849 | $1,166,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 33,085 | $1,162,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 50,122 | $1,162,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 295,000 | $1,158,000 | thousands by filing date | call |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 74,892 | $1,157,000 | thousands by filing date | |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 128,529 | $1,156,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 26,968 | $1,155,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 159,790 | $1,152,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 93,589 | $1,152,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 130,651 | $1,148,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 83,171 | $1,147,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 65,810 | $1,146,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 63,687 | $1,146,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 66,571 | $1,145,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 36,538 | $1,143,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 47,397 | $1,142,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 37,580 | $1,142,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 54,127 | $1,140,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 69,041 | $1,139,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 89,415 | $1,138,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 82,446 | $1,138,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 116,958 | $1,137,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 124,585 | $1,134,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 3,553 | $1,134,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 18,097 | $1,132,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 52,613 | $1,130,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 40,022 | $1,129,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 113,754 | $1,127,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 40,822 | $1,127,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 3,281 | $1,126,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 42,487 | $1,126,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 88,291 | $1,125,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 914,000 | $1,125,000 | thousands by filing date | principal |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 266,875 | $1,124,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 32,460 | $1,123,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 105,941 | $1,120,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 39,614 | $1,119,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 51,633 | $1,119,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 56,847 | $1,117,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 62,396 | $1,117,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 96,627 | $1,116,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,167,000 | $1,116,000 | thousands by filing date | principal |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 53,104 | $1,115,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 229,677 | $1,114,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 39,187 | $1,113,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 33,116 | $1,112,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 47,109 | $1,111,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 87,962 | $1,110,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 321,500 | $1,109,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 95,580 | $1,108,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 42,991 | $1,103,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 44,682 | $1,101,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 14,080 | $1,101,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 50,781 | $1,100,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 563,400 | $1,100,000 | thousands by filing date | put |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 21,867 | $1,095,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 99,700 | $1,095,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 14,132 | $1,093,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 24,716 | $1,092,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 49,061 | $1,092,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 102,739 | $1,089,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 145,158 | $1,089,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 78,046 | $1,088,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 87,721 | $1,087,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 79,976 | $1,087,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 35,020 | $1,085,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AF0 | NOTE 4.500 6/0 | 1,078,000 | $1,085,000 | thousands by filing date | principal |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 37,613 | $1,083,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 138,000 | $1,075,000 | thousands by filing date | call |
| SEMPRA ENERGY | 816851505 | PFD | 10,617 | $1,075,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 40,770 | $1,074,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 631,213 | $1,072,000 | thousands by filing date | put |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 1,120,000 | $1,072,000 | thousands by filing date | principal |
| M/I HOMES INC | 55305B101 | COM | 44,683 | $1,070,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 18,347 | $1,070,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 67,823 | $1,067,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 84,829 | $1,065,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 309,700 | $1,062,000 | thousands by filing date | put |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 14,661 | $1,058,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 53,031 | $1,057,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 72,260 | $1,056,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 10,000 | $1,056,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 22,287 | $1,055,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 111,677 | $1,052,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 92,375 | $1,050,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 20,922 | $1,049,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 22,783 | $1,045,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 28,249 | $1,045,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 118,549 | $1,044,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 31,120 | $1,043,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 103,888 | $1,043,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 73,791 | $1,033,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 47,465 | $1,032,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 180,476 | $1,029,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 18,159 | $1,029,000 | thousands by filing date | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 21,652 | $1,028,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 24,397 | $1,028,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 21,235 | $1,028,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 44,694 | $1,026,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 50,036 | $1,025,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 46,348 | $1,024,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 139,382 | $1,022,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 32,001 | $1,021,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 120,414 | $1,018,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 113,529 | $1,016,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 8,881 | $1,016,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 74,157 | $1,016,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 44,097 | $1,016,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 12,080 | $1,016,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 190,437 | $1,015,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 71,083 | $1,011,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 139,162 | $1,010,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 105,983 | $1,008,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 74,535 | $1,007,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 56,102 | $1,006,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 25,710 | $1,002,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 12,320 | $1,001,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 101,197 | $998,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 22,504 | $996,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 20,212 | $995,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 47,899 | $994,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 23,627 | $994,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 21,330 | $992,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 40,150 | $990,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 37,590 | $990,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 51,450 | $989,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 17,737 | $989,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 29,138 | $987,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 20,292 | $986,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 87,843 | $983,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 30,580 | $982,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 34,135 | $981,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 46,954 | $980,000 | thousands by filing date | |
| OCEAN RIG UDW INC | G66964118 | SHS NEW | 28,300 | $980,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 35,833 | $978,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 158,645 | $976,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 20,156 | $975,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 168,146 | $975,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 23,051 | $970,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 17,303 | $970,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 17,001 | $968,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 135,991 | $967,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 47,823 | $964,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 19,819 | $963,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 46,023 | $961,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,358,800 | $960,000 | thousands by filing date | put |
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 |