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 |
|---|---|---|---|---|---|---|
| NEWFIELD EXPL CO | 651290108 | COM | 110,900 | $53,000 | thousands by filing date | call |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 3,448 | $53,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 123,200 | $52,000 | thousands by filing date | call |
| Micron Technology,Inc. | 595112103 | COM | 221,800 | $52,000 | thousands by filing date | call |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 458 | $52,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 98,100 | $52,000 | thousands by filing date | call |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,348 | $52,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,748 | $52,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,017 | $51,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 12,601 | $51,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 25,000 | $51,000 | thousands by filing date | put |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $51,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 17,622 | $51,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 2,325 | $50,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 3,308 | $50,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,517 | $50,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 3,953 | $50,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 22,077 | $50,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 29,072 | $50,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 41,448 | $50,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 51,000 | $50,000 | thousands by filing date | principal |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 49,900 | $49,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 1,720 | $49,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 42,500 | $49,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 23,800 | $49,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 575 | $49,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 31,700 | $49,000 | thousands by filing date | put |
| Costco Wholesale Corporation | 22160K105 | COM | 26,300 | $48,000 | thousands by filing date | call |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 132 | $48,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 79,380 | $48,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,858 | $48,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 2,932 | $48,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 420,193 | $48,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 62,000 | $48,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 16,128 | $48,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $48,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 2,000 | $48,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 50,000 | $48,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 8,201 | $48,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 5,301 | $47,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 5,600 | $47,000 | thousands by filing date | put |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 4,701 | $47,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,680 | $47,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,035 | $47,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 44,000 | $47,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,457 | $47,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 18,501 | $47,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 39,635 | $47,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $47,000 | thousands by filing date | principal |
| HP INC COM | 40434L105 | Stock | 49,600 | $46,000 | thousands by filing date | call |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,996 | $46,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 10,211 | $46,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 126,837 | $46,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 710,000 | $46,000 | thousands by filing date | call |
| Tesla Motors, Inc | 88160R101 | COM | 10,010 | $45,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 10,000 | $45,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 10,000 | $45,000 | thousands by filing date | put |
| DBX ETF TR | 233051408 | FUND | 1,925 | $45,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 50,700 | $44,000 | thousands by filing date | put |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 2,344 | $44,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,857 | $44,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 5,393 | $44,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,400 | $44,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 2,068 | $44,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 47,000 | $44,000 | thousands by filing date | principal |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,403 | $43,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,800 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $43,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 160,224 | $43,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $43,000 | thousands by filing date | principal |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 2,148 | $43,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,502 | $43,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,900 | $42,000 | thousands by filing date | call |
| Lockheed Martin Corporation | 539830109 | COM | 116 | $42,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 3,432 | $42,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 874 | $42,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,871 | $42,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 27,001 | $42,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 200,000 | $42,000 | thousands by filing date | call |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,217 | $42,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,110 | $41,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 11,336 | $41,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 48,338 | $41,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 1,224 | $41,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 22,531 | $41,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 41,000 | $41,000 | thousands by filing date | principal |
| PepsiCo,Inc. | 713448108 | COM | 99,000 | $40,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 650 | $40,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 10,000 | $40,000 | thousands by filing date | put |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 89,600 | $40,000 | thousands by filing date | put |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,103 | $40,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 17,000 | $39,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 4,535,000 | $39,000 | thousands by filing date | call |
| TRIPADVISOR INC | 896945201 | COM | 50,000 | $39,000 | thousands by filing date | put |
| DAUCH CORP | 024061103 | COM | 10,000 | $39,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 844 | $39,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,504 | $39,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,856 | $39,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 10,588 | $39,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 22,638 | $39,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 27,586 | $39,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 4,500 | $38,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 10,590 | $38,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 400 | $38,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 65 | $38,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 45,026 | $38,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 25,300 | $38,000 | thousands by filing date | put |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,980 | $38,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 321 | $38,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E685 | GLOBAL AGRCLTR | 1,601 | $38,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 26 | $37,000 | thousands by filing date | put |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,000 | $37,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 3,710 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 450 | $37,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 2,300 | $37,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 3,016 | $37,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,156 | $37,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 31,496 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,401 | $37,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 17,728 | $37,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 40,000 | $37,000 | thousands by filing date | principal |
| Analog Devices,Inc. | 032654105 | COM | 68,800 | $36,000 | thousands by filing date | call |
| BIOGEN INC COM | 09062X103 | Stock | 1,008 | $36,000 | thousands by filing date | put |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 69,013 | $36,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 35,950 | $36,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,000 | $36,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 28,700 | $36,000 | thousands by filing date | put |
| COMSCORE INC | 20564W105 | COM | 2,500 | $36,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 26,773 | $36,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 130,934 | $36,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,845 | $36,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,800 | $36,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 451,700 | $35,000 | thousands by filing date | put |
| PHILLIPS 66 COM | 718546104 | Stock | 4,000 | $35,000 | thousands by filing date | put |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,120 | $35,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 88,664 | $35,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 46,000 | $35,000 | thousands by filing date | principal |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 3,000 | $35,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 5,600 | $34,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 608 | $34,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 80,000 | $34,000 | thousands by filing date | call |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 3,926 | $34,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,076 | $34,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,700 | $34,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 2,800 | $33,000 | thousands by filing date | put |
| CRONOS GROUP INC | 22717L101 | COM | 3,220 | $33,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,690 | $33,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 66,900 | $33,000 | thousands by filing date | put |
| CROWN CRAFTS INC | 228309100 | COM | 6,217 | $33,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,360 | $33,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,519 | $33,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 2,945 | $32,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 3,001 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 568 | $32,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 16,917 | $32,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 205 | $32,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,407 | $32,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $32,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,748 | $32,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 10,200 | $31,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 225,600 | $31,000 | thousands by filing date | call |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 1,507 | $31,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 27,934 | $31,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 25,183 | $31,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $31,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,352 | $31,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 323,400 | $31,000 | thousands by filing date | put |
| DANAOS CORP | Y1968P105 | SHS | 41,803 | $31,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,200 | $31,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 1,000 | $30,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 28 | $30,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 10,000 | $30,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 2,500 | $30,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 11,768 | $30,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 57,700 | $30,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 8,629 | $30,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 1,084 | $30,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 3,300 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 1,007 | $30,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 21,250 | $30,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 3,429 | $30,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 7,171 | $29,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,938 | $29,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,678 | $29,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 1,000 | $29,000 | thousands by filing date | put |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 1,900 | $29,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $29,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,451 | $29,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 54,501 | $29,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 2,066 | $29,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 20,089 | $29,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 71,252 | $29,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 100,100 | $28,000 | thousands by filing date | put |
| TRAVELZOO | 89421Q205 | CMN | 2,802 | $28,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,500 | $28,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,416 | $28,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 10,000 | $27,000 | thousands by filing date | call |
| PITNEY BOWES INC COM | 724479100 | Stock | 98,100 | $27,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 73,200 | $27,000 | thousands by filing date | put |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,528 | $27,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,371 | $27,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 415 | $27,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 5,976 | $27,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 6,536 | $27,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 9,716 | $27,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $27,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E792 | EMRNG MKT INFR | 851 | $27,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 87,000 | $26,000 | thousands by filing date | call |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 31,400 | $26,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 9,200 | $26,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,172 | $26,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,566 | $26,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,326 | $26,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,953 | $26,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 4,547 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $26,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 12,500 | $25,000 | thousands by filing date | call |
| XBIOTECH INC | 98400H102 | COM | 5,000 | $25,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 8,503 | $25,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 27,000 | $25,000 | thousands by filing date | principal |
| NANTKWEST INC | 63016Q102 | COM | 21,305 | $25,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 59,247 | $25,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 56,990 | $25,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 75,600 | $24,000 | thousands by filing date | put |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 17,400 | $24,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 200,000 | $24,000 | thousands by filing date | call |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 54,900 | $24,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 42,500 | $24,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 10,549 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,264 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 369 | $24,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 616 | $24,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 5,023 | $24,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 2,972 | $24,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 800 | $24,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,067 | $24,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 25,000 | $24,000 | thousands by filing date | principal |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 6,000 | $24,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 38,810 | $24,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,000 | $24,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 938 | $23,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 142,500 | $23,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 1,250 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 710 | $23,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,689 | $23,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 607 | $23,000 | thousands by filing date | put |
| NEXA RES S A | L67359106 | COM | 1,908 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 850 | $23,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 5,746 | $23,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 8,814 | $23,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 4,425 | $23,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 25,893 | $23,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 15,341 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 23,000 | $23,000 | thousands by filing date | principal |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 43,100 | $22,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,752 | $22,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 954 | $22,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 154,300 | $22,000 | thousands by filing date | call |
| CATASYS INC | 149049504 | COM PAR | 2,300 | $22,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 5,940 | $22,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 418 | $22,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 479 | $22,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 5,574 | $21,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 361 | $21,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 855 | $21,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,001 | $21,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,650 | $21,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 995 | $21,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 11,876 | $21,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 5,000 | $21,000 | thousands by filing date | principal |
| VALHI INC NEW | 918905100 | COM | 10,892 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 452 | $21,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 12,000 | $21,000 | thousands by filing date | principal |
| JPMorgan Chase & Co | 46625H100 | COM | 2,013 | $20,000 | thousands by filing date | put |
| United Parcel Service,Inc. Class B | 911312106 | COM | 45,800 | $20,000 | thousands by filing date | call |
| OKTAINCCLASSA | 679295105 | STOK | 6,300 | $20,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 3,025 | $20,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 405,700 | $20,000 | thousands by filing date | call |
| COVISTA INC | 00737L103 | COM | 4,700 | $20,000 | thousands by filing date | put |
| MEDLEY CAP CORP | 58503F106 | COM | 7,362 | $20,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,700 | $20,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $20,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 15,287 | $20,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 8,548 | $20,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $20,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 6,500 | $19,000 | thousands by filing date | call |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,673 | $19,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 2,055 | $19,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 11,200 | $19,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 14,447 | $19,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 778 | $19,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $19,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,654 | $19,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 744 | $19,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,854 | $19,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 47,868 | $19,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 117,000 | $18,000 | thousands by filing date | call |
| APTIV PLC | G6095L109 | SHS | 2,100 | $18,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 8,017 | $18,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 550 | $18,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 126,800 | $18,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 885 | $18,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 1,546 | $18,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,000 | $18,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 40,530 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $18,000 | thousands by filing date | principal |
| EP ENERGY CORP | 268785102 | CL A | 26,072 | $18,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 650 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,974 | $18,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,883 | $17,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 21,600 | $17,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,213 | $17,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,756 | $17,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 6,899 | $17,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 63,700 | $17,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 19,234 | $17,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $17,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 42,660 | $17,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 150,200 | $16,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 6,834 | $16,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 9,000 | $16,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 528 | $16,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 11,400 | $16,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,000 | $16,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,185 | $16,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 7,311 | $16,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 5,000 | $16,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 560 | $16,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 17,580 | $16,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 19,528 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 323 | $15,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 14,700 | $15,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 5,073 | $15,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 76 | $15,000 | thousands by filing date | put |
| Concho Resources Inc. | 20605P101 | COM | 400 | $15,000 | thousands by filing date | put |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $15,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 902 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 680 | $15,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 29,800 | $15,000 | thousands by filing date | put |
| VERITONE INC | 92347M100 | COM | 3,865 | $15,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 480 | $15,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,001 | $15,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 66,400 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $15,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 9,309 | $15,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 79 | $15,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,171 | $14,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 500 | $14,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 45,000 | $14,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 400 | $14,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 525 | $14,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 43,200 | $14,000 | thousands by filing date | call |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 90,000 | $14,000 | thousands by filing date | call |
| ADECOAGRO S A | L00849106 | COM | 2,105 | $14,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,002 | $14,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 37,300 | $14,000 | thousands by filing date | call |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 1,111 | $14,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 6,726 | $14,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 3,000 | $14,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,742 | $14,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 2,070 | $14,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 500 | $14,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 5,351 | $14,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 1,823 | $14,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 658 | $14,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 8,000 | $14,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,639 | $14,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 4,155 | $14,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 424 | $13,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 1,000 | $13,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 179,400 | $13,000 | thousands by filing date | call |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 101 | $13,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 10,000 | $13,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,627 | $13,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $13,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 8,005 | $13,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $13,000 | thousands by filing date | principal |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 876 | $13,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,000 | $13,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 7,706 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,124 | $13,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,960 | $13,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 32,900 | $12,000 | thousands by filing date | put |
| EOG RES INC COM | 26875P101 | Stock | 73,400 | $12,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 168,500 | $12,000 | thousands by filing date | call |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 3,400 | $12,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 350,000 | $12,000 | thousands by filing date | call |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 94,400 | $12,000 | thousands by filing date | call |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 700 | $12,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 20,700 | $12,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 250 | $12,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 5,026 | $12,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 695 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 400 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 37,600 | $12,000 | thousands by filing date | put |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,075 | $12,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 6,600 | $12,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 973 | $12,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 417 | $12,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 21,000 | $12,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 1,437 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 13,000 | $12,000 | thousands by filing date | principal |
| MAJESCO | 56068V102 | COM | 1,733 | $12,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 1,200 | $11,000 | thousands by filing date | put |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 111,800 | $11,000 | thousands by filing date | call |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 189 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 510 | $11,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 1,600 | $11,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A511 | CMN | 410 | $11,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 5,083 | $11,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 1,900 | $11,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,590 | $11,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,000 | $11,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 801 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,472 | $11,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $11,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,000 | $11,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 146,100 | $10,000 | thousands by filing date | call |
| Vanguard Real Estate | 922908553 | SHS | 58 | $10,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,649 | $10,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 2,166 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 225 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 395 | $10,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 50,000 | $10,000 | thousands by filing date | call |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 5,571 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 900,000 | $10,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $10,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 3,133 | $10,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,245 | $10,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,112 | $10,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 251 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 96,425 | $10,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 18,083 | $10,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 13,500 | $10,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 399 | $10,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $10,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 376 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $10,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 5,500 | $10,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 404 | $10,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 9,501 | $10,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RVY4 | MTNF 0.125 2/2 | 10,000 | $10,000 | thousands by filing date | principal |
| American Tower Corporation | 03027X100 | COM | 3,700 | $9,000 | thousands by filing date | call |
| Berkshire Hathaway Inc | 084670702 | COM | 430 | $9,000 | thousands by filing date | put |
| Deere & Company | 244199105 | COM | 12,200 | $9,000 | thousands by filing date | call |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 2,500 | $9,000 | thousands by filing date | put |
| Vanguard Total World Stock ETF | 922042742 | SHS | 10,100 | $9,000 | thousands by filing date | put |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 1,800 | $9,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 24,200 | $9,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,872 | $9,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 74,700 | $9,000 | thousands by filing date | put |
| BRP INC COM SUN VTG | 05577W200 | Stock | 330 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 347 | $9,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,001 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $9,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 470 | $9,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,000 | $9,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,403 | $9,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 6,000 | $9,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 1,000 | $9,000 | thousands by filing date | put |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 298 | $9,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 470 | $9,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 2,000 | $9,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 2,001 | $9,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,850 | $9,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 8,511 | $9,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 8,750 | $9,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 9,000 | $9,000 | thousands by filing date | principal |
| McDonalds Corporation | 580135101 | COM | 54,041 | $8,000 | thousands by filing date | put |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 74,200 | $8,000 | thousands by filing date | call |
| MERCADOLIBREINC | 58733R102 | STOK | 200 | $8,000 | thousands by filing date | put |
| UNITED RENTALS INC COM | 911363109 | Stock | 25,500 | $8,000 | thousands by filing date | call |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 600 | $8,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 2,000 | $8,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 400 | $8,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 290 | $8,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,000 | $8,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 56 | $8,000 | thousands by filing date | put |
| NOBLE ENERGY INC | 655044105 | COM | 32,200 | $8,000 | thousands by filing date | call |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 269 | $8,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,163 | $8,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 260 | $8,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 865 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 350 | $8,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,000 | $8,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $8,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 2,839 | $8,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 500 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 851 | $8,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 2,049 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 210 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 14,246 | $8,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 622 | $8,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 6,137 | $8,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 1,000 | $8,000 | 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 |