13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-11, with 6,702 holding rows worth $301,076,341,000.
- Accession
- 0000072971-19-000200
- Filer
- CIK 72971
- Filed
- 2019-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 19,922 entries on the cover page, a total value of $301,076,341,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $301,076,341,000 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 INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO CLEARING SERVICES, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
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 |
|---|---|---|---|---|---|---|
| SLEEP NUMBER CORP | 83125X103 | COM D | 20,000 | $175,000 | thousands by filing date | put |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 8,759 | $175,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 108,070 | $174,000 | thousands by filing date | put |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 3,171 | $174,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 9,394 | $174,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $174,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 18,186 | $174,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 17,800 | $173,000 | thousands by filing date | call |
| ITERIS INC NEW | 46564T107 | COM | 46,320 | $173,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 4,797 | $173,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 138,684 | $172,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 6,636 | $172,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 101,349 | $172,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 103,991 | $172,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 50,899 | $171,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 36,410 | $171,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 34,897 | $171,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 38,902 | $171,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 15,661 | $170,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 8,801 | $170,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 10,000 | $169,000 | thousands by filing date | put |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 17,684 | $169,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 162,900 | $169,000 | thousands by filing date | call |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 25,337 | $169,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 8,057 | $169,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 16,461 | $169,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 10,010 | $169,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 38,361 | $169,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 20,499 | $169,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 3,849 | $168,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 11,656 | $168,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 32,353 | $168,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 2,972 | $168,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 29,726 | $167,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 17,081 | $167,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 8,816 | $167,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 49,430 | $166,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 37,100 | $165,000 | thousands by filing date | put |
| LEAF GROUP LTD | 52177G102 | COM | 24,048 | $165,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 170,000 | $165,000 | thousands by filing date | principal |
| FUSION CONNECT INC | 36116X102 | COM | 98,427 | $165,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 6,506 | $164,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 150,527 | $164,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 230,578 | $164,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 33,422 | $164,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 4,082 | $163,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 61,114 | $163,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 51,652 | $163,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 13,790 | $163,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 31,581 | $162,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,728 | $162,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 31,500 | $162,000 | thousands by filing date | put |
| TELARIA INC | 879181105 | COM | 59,500 | $162,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 1,839 | $162,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 41,937 | $161,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 16,041 | $161,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 8,611 | $161,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 32,300 | $161,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 67,021 | $160,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 83,463 | $160,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 61,731 | $160,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 28,841 | $160,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 410,833 | $160,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 174,000 | $160,000 | thousands by filing date | principal |
| ALTA MESA RES INC | 02133L109 | CL A | 159,791 | $160,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 47,700 | $159,000 | thousands by filing date | call |
| GREIF INC | 397624206 | CL B | 3,583 | $159,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 15,677 | $159,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,321 | $159,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 47,182 | $158,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 59,716 | $158,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 72,961 | $158,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 25,854 | $157,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 5,062 | $156,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 31,126 | $156,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 12,265 | $156,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 20,000 | $155,000 | thousands by filing date | put |
| AGNT INC | 30212W100 | COM | 21,695 | $154,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 6,760 | $154,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 48,035 | $153,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 16,020 | $152,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 95,965 | $152,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 17,944 | $151,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 11,598 | $151,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 69,958 | $150,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 12,657 | $150,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 8,034 | $150,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 2,974 | $150,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 12,826 | $150,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 42,400 | $149,000 | thousands by filing date | put |
| SYNCHRONYFINL | 87165B103 | STOK | 201,800 | $149,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 88,000 | $149,000 | thousands by filing date | call |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 12,030 | $149,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 14,093 | $149,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 31,665 | $148,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,587 | $148,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,817 | $147,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 18,490 | $146,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 158,000 | $145,000 | thousands by filing date | principal |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 9,924 | $144,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 11,095 | $144,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 50,906 | $144,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 10,200 | $143,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 15,008 | $143,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 11,175 | $143,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 7,101 | $142,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 27,141 | $142,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 24,900 | $141,000 | thousands by filing date | call |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 351,500 | $141,000 | thousands by filing date | put |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 6,820 | $141,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 11,769 | $141,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 4,201 | $141,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 37,709 | $141,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 11,578 | $141,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 4,943 | $141,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 30,400 | $140,000 | thousands by filing date | put |
| CMB.TECH NV SHS | B38564108 | Stock | 20,242 | $140,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 79,000 | $140,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 97,623 | $140,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 5,719 | $140,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 57,357 | $139,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 142,000 | $139,000 | thousands by filing date | principal |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 13,566 | $138,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,301 | $138,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 23,730 | $138,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 12,328 | $138,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 24,851 | $138,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 4,617 | $138,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 161,055 | $137,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 36,389 | $137,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 7,870 | $137,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $136,000 | thousands by filing date | put |
| ELASTIC N V ORD SHS | N14506104 | Stock | 1,900 | $136,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 7,156 | $136,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 105,842 | $136,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 47,477 | $136,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 6,285 | $136,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 5,873 | $135,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 10,212 | $135,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 48,400 | $135,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,666 | $134,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 75,000 | $134,000 | thousands by filing date | call |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 33,807 | $134,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 3,804 | $134,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 43,078 | $134,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 4,957 | $133,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 3,000 | $133,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 6,818 | $133,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 18,643 | $133,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 35,199 | $133,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 6,000 | $133,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 34,817 | $133,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 408,400 | $132,000 | thousands by filing date | call |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 4,062 | $132,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 4,249 | $132,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $132,000 | thousands by filing date | principal |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 17,602 | $132,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 10,050 | $130,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 15,642 | $130,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 112,300 | $129,000 | thousands by filing date | call |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 21,560 | $129,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 38,259 | $129,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 49,790 | $129,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 7,317 | $129,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 130,000 | $129,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 126,000 | $129,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 7,200 | $128,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 4,322 | $128,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 22,346 | $128,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 20,200 | $127,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 10,265 | $127,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 91,827 | $127,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,633 | $126,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 10,529 | $126,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 5,446 | $125,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 78,830 | $125,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 7,455 | $125,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,946 | $125,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 10,100 | $125,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 6,335 | $125,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 1,476 | $125,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 19,773 | $124,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 69,429 | $124,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,611 | $124,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,202 | $124,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 17,202 | $124,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 18,345 | $123,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 206,800 | $123,000 | thousands by filing date | call |
| IDT CORP | 448947507 | CL B NEW | 19,896 | $123,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 15,229 | $123,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 24,812 | $123,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 14,815 | $122,000 | thousands by filing date | put |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 122,000 | $122,000 | thousands by filing date | principal |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 5,885 | $121,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 3,847 | $121,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 23,149 | $121,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 249,233 | $121,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 53,662 | $121,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 7,368 | $121,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 351,300 | $120,000 | thousands by filing date | call |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 11,178 | $120,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 2,514 | $120,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 8,700 | $119,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 20,328 | $119,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 6,507 | $119,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 195,200 | $118,000 | thousands by filing date | put |
| BJS RESTAURANTS INC | 09180C106 | COM | 58,600 | $118,000 | thousands by filing date | call |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 4,080 | $118,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 4,300 | $118,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 5,082 | $118,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 11,694 | $118,000 | thousands by filing date | |
| PROSHARES TR | 74347B706 | COM | 1,600 | $118,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 10,800 | $117,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 26,020 | $117,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 9,457 | $117,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 459,500 | $116,000 | thousands by filing date | call |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 13,070 | $116,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 6,187 | $116,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 10,484 | $115,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 157,169 | $115,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 5,122 | $115,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 27,159 | $114,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 20,762 | $113,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 103,974 | $113,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 116,000 | $113,000 | thousands by filing date | principal |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 6,224 | $113,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 51,516 | $112,000 | thousands by filing date | put |
| ARISTA NETWORKS INC | 040413106 | COM | 5,000 | $112,000 | thousands by filing date | put |
| VIRNETX HLDG CORP | 92823T108 | COM | 46,797 | $112,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 7,362 | $112,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 76,355 | $112,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 229,800 | $111,000 | thousands by filing date | call |
| TELEFLEX INCORPORATED | 879369106 | COM | 15,000 | $111,000 | thousands by filing date | call |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,112 | $111,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 6,758 | $111,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $111,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 5,465 | $111,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 10,000 | $110,000 | thousands by filing date | put |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 2,119 | $110,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 154,470 | $110,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 113,000 | $110,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,402 | $110,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 128,286 | $109,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 30,000 | $108,000 | thousands by filing date | put |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 5,951 | $108,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 4,046 | $108,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 154,316 | $108,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 7,920 | $108,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 52,900 | $107,000 | thousands by filing date | call |
| SEMILEDS CORP | 816645204 | COM NEW | 39,700 | $107,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 90,201 | $107,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 1,629 | $107,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 107,000 | $107,000 | thousands by filing date | principal |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 4,800 | $106,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 22,402 | $106,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 843 | $105,000 | thousands by filing date | put |
| MONROE CAPITAL CORP | 610335101 | COM | 10,898 | $105,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 49,789 | $105,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 34,460 | $105,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 10,425 | $104,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,816 | $104,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 79,999 | $104,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 18,780 | $104,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 150,000 | $103,000 | thousands by filing date | call |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 270,000 | $103,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V514 | RUSEL 2000 EQL | 2,806 | $103,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $103,000 | thousands by filing date | principal |
| BOX INC CL A | 10316T104 | Stock | 12,500 | $102,000 | thousands by filing date | put |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 3,550 | $102,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 108,000 | $102,000 | thousands by filing date | principal |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 15,071 | $102,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 7,804 | $102,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 11,127 | $102,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 146,300 | $101,000 | thousands by filing date | put |
| SOTHERLY HOTELS INC | 83600C103 | COM | 18,101 | $101,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 19,643 | $100,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,423 | $100,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 7,102 | $100,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 5,662 | $100,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 52,000 | $100,000 | thousands by filing date | principal |
| Walmart Inc. | 931142103 | COM | 85,100 | $99,000 | thousands by filing date | call |
| CORNING INC | 219350105 | COM | 20,000 | $99,000 | thousands by filing date | call |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 21,144 | $99,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 7,603 | $99,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 8,210 | $99,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 35,701 | $99,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,294 | $99,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 52,373 | $99,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 7,838 | $98,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 15,425 | $98,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,771 | $98,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 18,749 | $97,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,705 | $97,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 6,285 | $97,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 19,856 | $97,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 6,035 | $97,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 9,400 | $97,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 100,000 | $96,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,627 | $96,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,293 | $96,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,105 | $96,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 68,680 | $96,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 33,085 | $96,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 9,044 | $96,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 4,406 | $96,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 101,000 | $96,000 | thousands by filing date | principal |
| POLARITYTE INC | 731094108 | COM | 7,119 | $96,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 77,863 | $96,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 18,356 | $95,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 6,625 | $95,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 3,663 | $95,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,682 | $95,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 6,077 | $95,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 95,000 | $95,000 | thousands by filing date | principal |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 46,783 | $94,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 4,912 | $94,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 104,000 | $94,000 | thousands by filing date | principal |
| PAYPALHLDGSINC | 70450Y103 | STOK | 132,900 | $93,000 | thousands by filing date | call |
| NEXTDECADE CORP | 65342K105 | COM | 17,164 | $93,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 7,945 | $93,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 8,100 | $93,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,009 | $93,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 91,406 | $92,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 25,031 | $92,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 6,245 | $92,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 34,752 | $92,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 13,300 | $91,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 28,950 | $91,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 130,062 | $91,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 150,000 | $90,000 | thousands by filing date | call |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 3,048 | $90,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 596 | $90,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 4,589 | $90,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 23,276 | $90,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 84,708 | $90,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 15,000 | $89,000 | thousands by filing date | put |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 14,940 | $89,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 20,882 | $89,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 17,494 | $89,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 3,400 | $88,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 14,240 | $88,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 3,400 | $88,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,722 | $87,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 27,385 | $87,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 4,259 | $87,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 42,842 | $87,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 59,602 | $87,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,720 | $87,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 14,200 | $87,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 1,600 | $87,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 60,700 | $86,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 87,800 | $86,000 | thousands by filing date | put |
| BANK7 CORP | 06652N107 | COMMON STOCK | 6,400 | $86,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 5,445 | $86,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 7,521 | $86,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 62,705 | $86,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 24,000 | $85,000 | thousands by filing date | put |
| NETAPP INC COM | 64110D104 | Stock | 5,100 | $85,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 2,509 | $85,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 33,170 | $85,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 7,600 | $85,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 150,000 | $84,000 | thousands by filing date | call |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 54,139 | $84,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 49,260 | $84,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 33,953 | $84,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 57,210 | $83,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 100,000 | $83,000 | thousands by filing date | call |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 8,559 | $83,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 47,011 | $83,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 34,400 | $83,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 3,556 | $82,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 55,419 | $82,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 31,901 | $82,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 10,979 | $82,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $82,000 | thousands by filing date | principal |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 16,248 | $82,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 29,400 | $81,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 2,654 | $81,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 134,300 | $81,000 | thousands by filing date | call |
| ROCKWELL MED INC | 774374102 | COM | 36,054 | $81,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 35,391 | $81,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 3,873 | $80,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 6,977 | $80,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,055 | $79,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 152,300 | $78,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 700 | $78,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 520,000 | $78,000 | thousands by filing date | call |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 2,956 | $78,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,247 | $78,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 76,500 | $78,000 | thousands by filing date | call |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 11,347 | $78,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 12,721 | $78,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 23,644 | $78,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 5,400 | $77,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 35,809 | $77,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 53,761 | $77,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 18,056 | $77,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,759 | $77,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $77,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 735 | $76,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 200,000 | $76,000 | thousands by filing date | call |
| IAMGOLD CORP COM | 450913108 | Stock | 20,432 | $76,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 50,000 | $76,000 | thousands by filing date | put |
| ID SYSTEMS INC | 449489103 | COM | 13,641 | $76,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,193 | $76,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 14,028 | $76,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 30,000 | $75,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 156,777 | $75,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 97,000 | $74,000 | thousands by filing date | call |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 48,285 | $74,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 9,037 | $74,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 24,500 | $73,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 200,000 | $73,000 | thousands by filing date | call |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 9,400 | $73,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 6,082 | $73,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 99,177 | $73,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 14,762 | $73,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 13,635 | $73,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 4,738 | $72,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 350,000 | $72,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 375,000 | $71,000 | thousands by filing date | call |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 4,896 | $71,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 19,410 | $71,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 17,900 | $70,000 | thousands by filing date | put |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 751 | $70,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 4,491 | $70,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 2,001 | $70,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 3,600 | $70,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $70,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 3,431 | $70,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 76,000 | $70,000 | thousands by filing date | principal |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $70,000 | thousands by filing date | principal |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 3,570 | $70,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,477 | $69,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 56,345 | $69,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 2,374 | $67,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 8,160 | $67,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 10,265 | $66,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 7,404 | $66,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 16,344 | $66,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 43,352 | $66,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $66,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 133,425 | $65,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701107 | COM | 59,000 | $65,000 | thousands by filing date | call |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 18,777 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,001 | $65,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,440 | $65,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 5,200 | $64,000 | thousands by filing date | put |
| MENLO THERAPEUTICS INC | 586858102 | COM | 15,668 | $64,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 65,000 | $64,000 | thousands by filing date | principal |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 128,100 | $63,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 971 | $63,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 849 | $63,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,810 | $63,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 64,000 | $63,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 75,800 | $62,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 62,000 | $61,000 | thousands by filing date | call |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 23,400 | $61,000 | thousands by filing date | call |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 2,575 | $61,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,665 | $61,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 213,800 | $61,000 | thousands by filing date | call |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 489 | $61,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 5,201 | $60,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 63,000 | $60,000 | thousands by filing date | principal |
| KINROSS GOLD CORP | 496902404 | COM | 18,388 | $59,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 400,000 | $59,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 50,000 | $59,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 6,769 | $59,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Corporate Bond ETF | 46435U515 | ETF | 2,352 | $59,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 9,457 | $59,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 4,304 | $59,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 55,657 | $59,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 13,300 | $58,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 3,000 | $58,000 | thousands by filing date | put |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 14,727 | $58,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 13,400 | $58,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 23,000 | $58,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 24,000 | $57,000 | thousands by filing date | call |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 7,190 | $57,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 7,600 | $57,000 | thousands by filing date | put |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,137 | $56,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4,206 | $56,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $56,000 | thousands by filing date | principal |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 3,297 | $56,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 59,788 | $55,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 183,901 | $55,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 18,142 | $55,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,800 | $55,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $55,000 | thousands by filing date | principal |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 30,000 | $55,000 | thousands by filing date | principal |
| EQUILLIUM INC | 29446K106 | COM | 6,400 | $54,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 10,853 | $54,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 1,585 | $54,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,810 | $54,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 61,000 | $54,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $53,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 38,840 | $53,000 | thousands by filing date | put |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 2,439 | $53,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 12,457 | $53,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 8,490 | $53,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000200 | this filing | 2019-02-11 | acceptance time not in the bulk data set |