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 |
|---|---|---|---|---|---|---|
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 88,448 | $959,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 39,139 | $955,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 15,829 | $954,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 150,408 | $953,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 47,608 | $953,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 18,863 | $951,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 622,800 | $947,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 1,357,800 | $947,000 | thousands by filing date | call |
| POTBELLY CORP | 73754Y100 | COM | 76,937 | $947,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 16,911 | $946,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 36,310 | $944,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 56,384 | $944,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 13,020 | $942,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 28,384 | $942,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 26,904 | $942,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 27,571 | $934,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 38,709 | $932,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 66,687 | $928,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 71,257 | $925,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 44,576 | $923,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 48,414 | $922,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 23,480 | $922,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 27,874 | $921,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 25,796 | $921,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 157,021 | $918,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 51,843 | $917,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 155,381 | $917,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 94,046 | $916,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 34,003 | $913,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 59,979 | $911,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 16,015 | $909,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 193,307 | $908,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 22,256 | $908,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 26,630 | $907,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 12,551 | $906,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 344,399 | $905,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 73,148 | $904,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 21,262 | $903,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 23,130 | $903,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 45,999 | $902,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 235,901 | $901,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 49,354 | $901,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 27,046 | $900,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 58,925 | $899,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 641,660 | $892,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 35,175 | $891,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 378,995 | $890,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 41,234 | $889,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 28,732 | $888,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,486,400 | $884,000 | thousands by filing date | put |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 42,905 | $883,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 16,592 | $882,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 21,570 | $881,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 142,961 | $880,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 39,842 | $880,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 52,851 | $879,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 117,736 | $878,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 59,102 | $878,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 836,000 | $876,000 | thousands by filing date | principal |
| CATO CORP NEW | 149205106 | CL A | 41,483 | $872,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 24,733 | $871,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 17,199 | $864,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 12,437 | $863,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 121,168 | $863,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 9,597 | $863,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 518,766 | $862,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 78,700 | $861,000 | thousands by filing date | call |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 18,189 | $859,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 55,658 | $855,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 22,850 | $855,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 45,761 | $853,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 29,077 | $853,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 44,724 | $852,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 382,100 | $852,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 54,716 | $850,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 66,309 | $849,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 7,816 | $849,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 71,423 | $849,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 57,367 | $848,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 40,469 | $840,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 22,800 | $838,000 | thousands by filing date | call |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 18,505 | $838,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 20,670 | $838,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 848,959 | $838,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 63,589 | $837,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 805,000 | $837,000 | thousands by filing date | principal |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 80,831 | $836,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 11,757 | $836,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 53,798 | $836,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 18,119 | $835,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 25,875 | $833,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 8,223 | $828,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 30,828 | $828,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 11,398 | $828,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 92,900 | $826,000 | thousands by filing date | put |
| CIRCOR INTL INC | 17273K109 | COM | 17,393 | $826,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 16,696 | $823,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 116,537 | $821,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 600,000 | $819,000 | thousands by filing date | put |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 166,861 | $818,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 101,362 | $817,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 22,565 | $816,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 27,482 | $816,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 162,365 | $816,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 35,124 | $815,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 28,555 | $815,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 105,000 | $815,000 | thousands by filing date | put |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 15,082 | $813,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 25,721 | $812,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 816,000 | $806,000 | thousands by filing date | put |
| SOUNDTHINKING INC | 82536T107 | COM | 13,136 | $805,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 44,169 | $804,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 64,765 | $803,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 59,309 | $802,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 48,292 | $802,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 17,742 | $801,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 141,399 | $801,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 24,996 | $801,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 23,567 | $800,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 92,157 | $797,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 34,756 | $796,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 30,742 | $795,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 33,269 | $794,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 27,534 | $791,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 127,380 | $789,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 61,571 | $789,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 63,107 | $784,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 4,720 | $783,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 25,609 | $783,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 14,297 | $783,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 42,212 | $782,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 33,791 | $782,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 50,129 | $782,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 88,807 | $781,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 23,470 | $780,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 80,605 | $780,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 77,101 | $778,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 104,964 | $778,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 17,856 | $777,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 59,467 | $775,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 30,604 | $775,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 31,416 | $773,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 68,790 | $773,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 18,512 | $772,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 32,120 | $769,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 506,000 | $767,000 | thousands by filing date | principal |
| CARE COM INC | 141633107 | COM | 34,544 | $764,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 130,328 | $763,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 132,900 | $761,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 619,700 | $759,000 | thousands by filing date | put |
| UNIFI INC | 904677200 | COM NEW | 26,725 | $757,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 54,663 | $756,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 19,278 | $755,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 20,770 | $755,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 49,496 | $754,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 31,972 | $753,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 23,928 | $752,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 52,465 | $752,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 61,085 | $752,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 70,939 | $748,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 48,917 | $747,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 58,441 | $746,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 77,441 | $745,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 45,820 | $744,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 93,754 | $743,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 96,200 | $739,000 | thousands by filing date | put |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 42,222 | $739,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 50,135 | $739,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 65,398 | $739,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 266,026 | $739,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 113,162 | $735,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 260,723 | $733,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 1,165,600 | $732,000 | thousands by filing date | put |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 31,687 | $731,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 57,127 | $731,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 99,394 | $730,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 43,655 | $730,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 191,457 | $729,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 68,726 | $728,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 65,000 | $724,000 | thousands by filing date | call |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 31,435 | $724,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 72,218 | $724,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 31,403 | $724,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 37,400 | $723,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 79,422 | $722,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 27,518 | $722,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 58,524 | $722,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 35,997 | $721,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 476,900 | $721,000 | thousands by filing date | put |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 22,552 | $721,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 42,274 | $720,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 18,701 | $719,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 50,295 | $718,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 79,772 | $717,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 13,975 | $716,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 11,522 | $716,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 82,333 | $713,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 39,890 | $712,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 47,933 | $710,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 57,784 | $709,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 240,183 | $708,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 56,746 | $707,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 101,827 | $704,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 57,388 | $704,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 56,214 | $702,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 31,705 | $701,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 31,200 | $701,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 1,091,000 | $699,000 | thousands by filing date | principal |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 54,710 | $699,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 129,570 | $699,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 37,490 | $698,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 31,928 | $698,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 15,129 | $697,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 15,910 | $696,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 21,726 | $696,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 31,132 | $696,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 110,778 | $695,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 40,730 | $694,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 78,637 | $694,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 29,692 | $694,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 20,779 | $693,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 59,594 | $693,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 12,725 | $692,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 9,650 | $691,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 12,379 | $690,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 46,471 | $690,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 40,778 | $690,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 9,380 | $689,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 175,133 | $689,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 20,864 | $688,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 49,834 | $686,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,837 | $684,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 41,150 | $683,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 30,908 | $682,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 856,164 | $679,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,090 | $679,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 13,720 | $678,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 153,917 | $677,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 19,789 | $676,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 18,851 | $676,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,663 | $672,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 31,040 | $671,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 60,211 | $666,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 252,344 | $664,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 25,106 | $664,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 780,000 | $663,000 | thousands by filing date | put |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 21,899 | $662,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 15,213 | $661,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 315,844 | $660,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 594,000 | $659,000 | thousands by filing date | principal |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 66,764 | $658,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 17,838 | $658,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 345,000 | $657,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 51,216 | $655,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 4,807 | $654,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 27,400 | $653,000 | thousands by filing date | call |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 30,662 | $652,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,600,000 | $652,000 | thousands by filing date | put |
| Rithm Property Trust Inc | 38983D300 | REIT | 47,896 | $652,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 5,144 | $651,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 17,829 | $649,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 6,360 | $649,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 680,000 | $646,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 195,143 | $646,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 120,700 | $645,000 | thousands by filing date | put |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 110,996 | $645,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 68,063 | $644,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 42,096 | $644,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 8,386 | $644,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 31,783 | $643,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 13,694 | $643,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 85,067 | $643,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 173 | $642,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 12,760 | $641,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 36,813 | $641,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 54,199 | $641,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 17,800 | $640,000 | thousands by filing date | call |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 9,904 | $640,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 49,776 | $637,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 29,135 | $633,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 76,121 | $632,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 29,843 | $631,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 41,244 | $630,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 62,861 | $630,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 135,099 | $629,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 22,900 | $628,000 | thousands by filing date | call |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 74,247 | $628,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 90,800 | $626,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 63,006 | $626,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 79,573 | $623,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 13,848 | $623,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 434,000 | $619,000 | thousands by filing date | principal |
| CADIZ INC | 127537207 | COM NEW | 55,443 | $618,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 21,584 | $616,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 96,621 | $616,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 41,549 | $613,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 27,037 | $612,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 13,458 | $612,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 26,027 | $612,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 17,956 | $611,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 9,020 | $611,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 84,137 | $610,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 48,163 | $609,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 133,345 | $609,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 21,050 | $608,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 30,839 | $608,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 49,867 | $605,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 24,276 | $604,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 84,369 | $604,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 194,361 | $603,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 764,700 | $602,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 30,196 | $601,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 230,677 | $600,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 53,558 | $599,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 36,184 | $599,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 27,068 | $598,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 4,998 | $597,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 46,795 | $596,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 50,686 | $596,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 56,950 | $595,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 15,557 | $594,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 665,000 | $594,000 | thousands by filing date | principal |
| NEWELL BRANDS INC COM | 651229106 | Stock | 31,600 | $593,000 | thousands by filing date | put |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 13,925 | $593,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 27,283 | $591,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 54,500 | $591,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 17,892 | $583,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 183,637 | $582,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 58,445 | $582,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 41,955 | $581,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 54,250 | $580,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 21,736 | $578,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 40,595 | $578,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 14,895 | $575,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 97,801 | $575,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 56,365 | $573,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 7,658 | $571,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 126,628 | $570,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 53,896 | $569,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 34,292 | $566,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 16,153 | $566,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 30,000 | $565,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 10,503 | $564,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 226,325 | $563,000 | thousands by filing date | put |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 90,481 | $561,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 17,420 | $561,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 62,336 | $561,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 14,375 | $560,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 37,595 | $559,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 47,340 | $559,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 26,707 | $559,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 154,300 | $559,000 | thousands by filing date | call |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 17,746 | $558,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 25,719 | $558,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 12,553 | $557,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 33,115 | $557,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 16,893 | $557,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 316,625 | $556,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 8,430 | $556,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 31,211 | $556,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 36,285 | $556,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 519,578 | $556,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 15,110 | $554,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 47,522 | $553,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 5,197 | $552,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 95,148 | $552,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 345,085 | $552,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 48,178 | $551,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 142,087 | $551,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 18,213 | $550,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 17,485 | $548,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 66,141 | $548,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 1,800,000 | $547,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394103 | COM | 45,087 | $546,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 9,239 | $545,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 79,410 | $545,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 125,307 | $545,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 57,784 | $544,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 50,397 | $544,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 19,924 | $544,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 13,502 | $543,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 14,578 | $542,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 12,785 | $540,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 40,037 | $539,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 113,065 | $539,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 10,309 | $539,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 40,006 | $538,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 88,509 | $538,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 48,600 | $536,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 133,759 | $536,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 49,606 | $536,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 160,344 | $535,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 66,600 | $533,000 | thousands by filing date | put |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 93,926 | $533,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 28,040 | $532,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 23,212 | $527,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 42,834 | $527,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 47,866 | $526,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 28,421 | $526,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 64,838 | $525,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 476,132 | $524,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 80,083 | $523,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 41,018 | $522,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 12,337 | $522,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 40,533 | $522,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 46,555 | $521,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 126,000 | $520,000 | thousands by filing date | call |
| Automatic Data Processing,Inc. | 053015103 | COM | 72,300 | $519,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 50,000 | $519,000 | thousands by filing date | call |
| TRIPADVISOR INC | 896945201 | COM | 150,000 | $519,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 20,501 | $519,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 24,085 | $518,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 17,389 | $518,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 67,754 | $517,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 11,169 | $515,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 511,000 | $515,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 515,100 | $513,000 | thousands by filing date | put |
| MERCHANTS BANCORP IND | 58844R108 | COM | 20,171 | $513,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 622,600 | $512,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 14,126 | $512,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 20,157 | $512,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 495,112 | $510,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 41,715 | $509,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 45,959 | $508,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 421,600 | $507,000 | thousands by filing date | put |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 15,943 | $507,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,882 | $507,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 53,573 | $505,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 32,464 | $504,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 19,692 | $504,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 30,147 | $503,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 23,476 | $502,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 27,562 | $501,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 29,979 | $501,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 33,568 | $501,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 175,000 | $500,000 | thousands by filing date | put |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 73,206 | $500,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 42,652 | $500,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 134,303 | $499,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 13,530 | $498,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 30,141 | $497,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 18,978 | $497,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 88,772 | $497,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 144,115 | $497,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 93,902 | $497,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 15,259 | $496,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 95,511 | $495,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 15,838 | $495,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 17,630 | $494,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 25,232 | $494,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 104,952 | $493,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 41,179 | $493,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 79,699 | $493,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 706,700 | $493,000 | thousands by filing date | put |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 37,335 | $491,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 46,717 | $491,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 49,173 | $491,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 11,815 | $490,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 18,301 | $489,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 44,005 | $489,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 123,329 | $488,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 31,301 | $488,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 59,400 | $486,000 | thousands by filing date | call |
| ESSENTIAL PPTYS RLTY TR INC COM | 29670E107 | REIT | 34,235 | $486,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 31,598 | $486,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 13,498 | $485,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 66,486 | $485,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 155,100 | $485,000 | thousands by filing date | call |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 50,188 | $485,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 11,645 | $484,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 18,485 | $483,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 46,002 | $483,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 12,440 | $482,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 43,167 | $480,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 45,066 | $479,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 29,145 | $476,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 57,206 | $475,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 140,300 | $473,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 30,935 | $473,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 370,000 | $473,000 | thousands by filing date | principal |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 56,175 | $471,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 66,084 | $471,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 195,400 | $469,000 | thousands by filing date | call |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 181,526 | $468,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,431 | $468,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 221,804 | $466,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 18,728 | $465,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 689,000 | $465,000 | thousands by filing date | put |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 35,490 | $465,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 16,236 | $465,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 15,992 | $464,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 16,085 | $464,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 37,248 | $464,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 33,144 | $464,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 9,823 | $463,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 10,248 | $462,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 13,990 | $462,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 19,094 | $462,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 23,594 | $461,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 53,504 | $460,000 | 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 |