13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-10, with 6,470 holding rows worth $335,831,420,000.
- Accession
- 0000072971-19-000276
- Filer
- CIK 72971
- Filed
- 2019-05-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 19,253 entries on the cover page, a total value of $335,831,420,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $335,831,420,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- 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 |
|---|---|---|---|---|---|---|
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 10,914 | $139,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 20,313 | $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 |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 22,353 | $138,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 143,099 | $138,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 32,775 | $138,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 352,500 | $137,000 | thousands by filing date | put |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 18,604 | $137,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 71,000 | $137,000 | thousands by filing date | principal |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,851 | $136,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,562 | $136,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 30,474 | $136,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 7,671 | $136,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 3,643 | $135,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 7,216 | $135,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 21,134 | $135,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 21,993 | $135,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 25,026 | $135,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 80,000 | $134,000 | thousands by filing date | put |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 33,761 | $134,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 7,807 | $134,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 192,464 | $134,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 55,475 | $134,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 6,518 | $133,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 9,526 | $133,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 9,805 | $133,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 9,825 | $132,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $132,000 | thousands by filing date | principal |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 6,767 | $131,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 58,169 | $131,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 6,562 | $131,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 12,022 | $131,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,379 | $131,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 20,000 | $130,000 | thousands by filing date | call |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 8,303 | $130,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 2,956 | $130,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 42,507 | $130,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 130,000 | $130,000 | thousands by filing date | principal |
| MICROVISION INC DEL | 594960304 | COM NEW | 133,649 | $129,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,110 | $129,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $129,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 135,000 | $129,000 | thousands by filing date | principal |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 32,245 | $129,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 60,184 | $128,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 6,583 | $128,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 33,019 | $128,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 4,042 | $127,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 7,046 | $127,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 24,178 | $127,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 130,000 | $127,000 | thousands by filing date | principal |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 5,800 | $126,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 15,290 | $126,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 5,466 | $126,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 11,758 | $125,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 35,701 | $125,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 5,100 | $125,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 824 | $124,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 18,633 | $124,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 5,900 | $123,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 18,100 | $123,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 100,000 | $123,000 | thousands by filing date | principal |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 12,291 | $123,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 7,762 | $122,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,524 | $121,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,277 | $121,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 4,527 | $121,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 49,668 | $121,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 79,133 | $121,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 5,205 | $121,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 4,426 | $120,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,961 | $119,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 2,649 | $119,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 56,760 | $119,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 155,373 | $119,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 5,056 | $118,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 19,318 | $118,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 3,307 | $118,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 6,408 | $118,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 14,445 | $118,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $118,000 | thousands by filing date | principal |
| SEMILEDS CORP | 816645204 | COM NEW | 31,500 | $117,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 37,006 | $117,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 3,550 | $116,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 27,594 | $116,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 37,398 | $115,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 20,557 | $115,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 105,000 | $115,000 | thousands by filing date | principal |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 3,893 | $114,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 23,798 | $114,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 7,372 | $114,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 11,139 | $114,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 114,000 | $114,000 | thousands by filing date | principal |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 7,418 | $113,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 6,468 | $112,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,627 | $110,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 5,867 | $110,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 18,158 | $110,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,402 | $110,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 93,970 | $110,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 17,248 | $109,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 38,769 | $109,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 7,602 | $108,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 11,850 | $108,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 3,095 | $108,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 51,328 | $108,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 107,000 | $108,000 | thousands by filing date | principal |
| DOW HLDGS INC COM | 260557103 | Stock | 2,073 | $107,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,771 | $107,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,321 | $107,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,706 | $106,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 52,066 | $106,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 5,457 | $106,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 6,079 | $106,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 2,851 | $105,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 104,000 | $105,000 | thousands by filing date | principal |
| PERSHING GOLD CORP | 715302204 | COM NEW | 90,800 | $105,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 57,827 | $104,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 16,243 | $104,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,681 | $103,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 25,015 | $101,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 6,084 | $101,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 45,072 | $101,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 7,025 | $100,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,425 | $100,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 40,929 | $100,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 68,680 | $100,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,842 | $100,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 100,000 | $100,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 13,838 | $99,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 24,366 | $99,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 26,698 | $98,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 99,000 | $98,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 101,000 | $98,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 4,259 | $97,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 7,276 | $97,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 9,430 | $97,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 19,342 | $97,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 60,000 | $96,000 | thousands by filing date | call |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 8,227 | $96,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 7,314 | $96,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 3,677 | $96,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 129,830 | $96,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 4,700 | $96,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 40,000 | $95,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 17,153 | $95,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 1,676 | $95,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 1,600 | $95,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 11,573 | $95,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 2,607 | $94,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 4,195 | $94,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 9,489 | $94,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 23,115 | $94,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 38,212 | $93,000 | thousands by filing date | put |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 3,709 | $93,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 5,471 | $93,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 121,000 | $93,000 | thousands by filing date | put |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 48,185 | $93,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 18,347 | $92,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 15,800 | $92,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 15,652 | $92,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 51,023 | $92,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 3,048 | $91,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 2,820 | $91,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 15,358 | $91,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $91,000 | thousands by filing date | principal |
| LOVESAC COMPANY | 54738L109 | COM | 3,241 | $90,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 40,000 | $90,000 | thousands by filing date | put |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 3,808 | $89,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 11,165 | $89,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 6,865 | $89,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 22,109 | $89,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 751 | $88,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 13,404 | $88,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 88,000 | $88,000 | thousands by filing date | principal |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 18,408 | $88,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 81,707 | $88,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 14,500 | $87,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 22,264 | $86,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 38,088 | $86,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 111,800 | $85,000 | thousands by filing date | put |
| OLD POINT FINL CORP | 680194107 | COM | 4,011 | $85,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 1,483 | $85,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 8,010 | $84,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,750 | $84,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 72,033 | $84,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,801 | $84,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,056 | $83,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 76,000 | $83,000 | thousands by filing date | principal |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 645 | $82,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,218 | $81,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 57,218 | $81,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 7,604 | $81,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 18,744 | $80,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 5,401 | $80,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 11,344 | $80,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 8,520 | $80,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 18,498 | $80,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 2,861 | $79,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 12,600 | $79,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 4,903 | $79,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 76,000 | $79,000 | thousands by filing date | principal |
| ARISTA NETWORKS INC | 040413106 | COM | 10,000 | $78,000 | thousands by filing date | put |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 3,320 | $78,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 27,066 | $78,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 8,462 | $77,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 7,214 | $77,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 41,426 | $77,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 7,880 | $77,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 60,890 | $77,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 2,442 | $76,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,192 | $76,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 3,569 | $76,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 42,970 | $75,000 | thousands by filing date | put |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 645 | $75,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 2,366 | $75,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 15,408 | $75,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 4,100 | $75,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 477,229 | $74,000 | thousands by filing date | put |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 50,542 | $74,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,505 | $74,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,810 | $74,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 14,472 | $74,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 11,118 | $74,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,399 | $73,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 8,060 | $73,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 27,877 | $73,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 55,008 | $73,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 18,500 | $73,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,553 | $73,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 17,570 | $73,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 37,479 | $73,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 13,316 | $73,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 850 | $72,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 158,770 | $72,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 21,042 | $72,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 1,872 | $72,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 3,561 | $72,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 50,874 | $72,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,965 | $71,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 1,159 | $71,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 3,108 | $71,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $71,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $71,000 | thousands by filing date | principal |
| ACM RESH INC COM CL A | 00108J109 | Stock | 4,533 | $70,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 50,000 | $70,000 | thousands by filing date | put |
| CHIMERIX INC COM | 16934W106 | Stock | 33,196 | $70,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 63,000 | $70,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 56,594 | $70,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 62,686 | $70,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 2,100 | $69,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 11,917 | $69,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 142,002 | $69,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $68,000 | thousands by filing date | principal |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 20,000 | $67,000 | thousands by filing date | put |
| ANDEAVOR LOGISTICS LP NPV | 03350F106 | COM UNIT LP INT | 390,600 | $67,000 | thousands by filing date | call |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,665 | $67,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 31,100 | $65,000 | thousands by filing date | put |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 9,149 | $65,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 107,211 | $65,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 65,000 | $65,000 | thousands by filing date | principal |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 959 | $64,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 1,920 | $64,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $64,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 419 | $64,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 10,847 | $63,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 4,953 | $63,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,275 | $62,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 8,415 | $62,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 8,562 | $61,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 5,075 | $61,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 4,745 | $61,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,151 | $61,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 15,080 | $61,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 3,397 | $61,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 63,000 | $61,000 | thousands by filing date | principal |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 61,000 | $61,000 | thousands by filing date | principal |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 5,300 | $60,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 2,609 | $60,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 50,000 | $60,000 | thousands by filing date | put |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 2,493 | $60,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 43,310 | $59,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 16,902 | $58,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 6,773 | $58,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,138 | $57,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,173 | $57,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $57,000 | thousands by filing date | principal |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 14,300 | $57,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 1,100 | $57,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 57,000 | $57,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052W104 | COM | 28,900 | $56,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 59,000 | $56,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,440 | $55,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 2,388 | $55,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 41,000 | $55,000 | thousands by filing date | principal |
| CYPRESS SEMICONDUCTOR CORP | 232806AP4 | NOTE 2.000% 2/0 | 54,000 | $55,000 | thousands by filing date | principal |
| AUBURN NATL BANCORP | 050473107 | COM | 1,380 | $54,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 957 | $54,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 13,376 | $54,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 2,325 | $53,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,858 | $53,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 1,615 | $53,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 28,000 | $53,000 | thousands by filing date | principal |
| EQUILLIUM INC | 29446K106 | COM | 6,457 | $52,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 23,790 | $52,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 984 | $51,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,720 | $51,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 55,977 | $51,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 9,788 | $51,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 2,500 | $51,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 75,000 | $51,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 35,631 | $51,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $51,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 50,000 | $51,000 | thousands by filing date | principal |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 51,000 | $51,000 | thousands by filing date | principal |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,974 | $51,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 5,398 | $50,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 19,500 | $50,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 88,388 | $50,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,800 | $50,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 62,000 | $50,000 | thousands by filing date | principal |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 915 | $49,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 3,201 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 1,538 | $49,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,925 | $49,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 3,259 | $49,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 5,450 | $49,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 25,000 | $48,000 | thousands by filing date | call |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,000 | $48,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 35,934 | $48,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 66 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,950 | $48,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 421 | $48,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 1,257 | $48,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $48,000 | thousands by filing date | principal |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,274 | $47,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $47,000 | thousands by filing date | principal |
| CATASYS INC | 149049504 | COM PAR | 3,850 | $47,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 9,048 | $47,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,500 | $47,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 179,688 | $47,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 919 | $46,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 4,493 | $46,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 5,040 | $46,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 1,942 | $46,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,404 | $45,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,242 | $45,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 874 | $44,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,861 | $44,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 12,000 | $44,000 | thousands by filing date | call |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 2,006 | $44,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,148 | $44,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,842 | $44,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 44,000 | $44,000 | thousands by filing date | principal |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 44,339 | $44,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 6,500 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 651 | $43,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,567 | $43,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 45,000 | $43,000 | thousands by filing date | principal |
| ZAFGEN INC | 98885E103 | COM | 15,723 | $43,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 14,146 | $42,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 3,090 | $42,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,501 | $42,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 400 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 844 | $42,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,980 | $42,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,103 | $41,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 60,501 | $41,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 16,400 | $41,000 | thousands by filing date | put |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 900 | $41,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 12,862 | $41,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 10,000 | $40,000 | thousands by filing date | put |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,503 | $40,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,385 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $40,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 25,666 | $40,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 22,206 | $40,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,753 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,401 | $40,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 644 | $39,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,667 | $39,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 46,000 | $39,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,205 | $39,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 5,484 | $39,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 514 | $38,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,790 | $38,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 27,967 | $38,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 3,371 | $38,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,517 | $38,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 591 | $38,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 40,000 | $38,000 | thousands by filing date | principal |
| BRP INC COM SUN VTG | 05577W200 | Stock | 1,330 | $37,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 10,200 | $37,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,796 | $37,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 226 | $36,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 3,001 | $36,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,800 | $36,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 1,380 | $35,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,678 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 1,359 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 711 | $35,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 19,684 | $35,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 18,896 | $35,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 89,287 | $35,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,492 | $34,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,902 | $34,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,271 | $34,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 56,990 | $34,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 16,740 | $33,000 | thousands by filing date | put |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,201 | $33,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 20,009 | $33,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 102,700 | $32,000 | thousands by filing date | put |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 6,970 | $32,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,799 | $32,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 7,848 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 450 | $32,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 6,850 | $32,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,001 | $32,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 6,000 | $32,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 2,967 | $32,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 1,269 | $31,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 5,900 | $31,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,600 | $31,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,371 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 843 | $31,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 12,739 | $31,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,401 | $31,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 1,931 | $30,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,769 | $30,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 969 | $30,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,318 | $30,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 5,727 | $30,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,458 | $30,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 64,534 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 622 | $29,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 2,258 | $29,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 18,610 | $29,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 29,000 | $29,000 | thousands by filing date | principal |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $29,000 | thousands by filing date | principal |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 2,435 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 763 | $28,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 5,135 | $28,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 45,100 | $28,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 14,443 | $28,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,654 | $28,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 800 | $28,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 26,000 | $28,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,025 | $27,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 1,250 | $27,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 8,662 | $27,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 4,001 | $27,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 979 | $27,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 3,243 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 444 | $27,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 15,287 | $27,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 60,532 | $27,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 20,089 | $27,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 25,213 | $26,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 283 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 850 | $26,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 301 | $26,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,033 | $26,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,351 | $26,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 4,425 | $26,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 11,415 | $26,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 11,877 | $26,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 7,481 | $26,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 27,000 | $26,000 | thousands by filing date | principal |
| CHECK CAP LTD | M2361E203 | SHS | 9,800 | $26,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 4,030 | $26,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 76,531 | $26,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 80,300 | $25,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,061 | $25,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,689 | $25,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,089 | $25,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 3,357 | $25,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 616 | $25,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 382 | $25,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 1,735 | $25,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,070 | $25,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 9,689 | $25,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 7,000 | $25,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,000 | $25,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,235 | $25,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 23,000 | $25,000 | thousands by filing date | principal |
| iShares Russell 2000 ETF | 464287655 | SHS | 168 | $24,000 | thousands by filing date | put |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 884 | $24,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 1,908 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,100 | $24,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 1,350 | $24,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 1,608 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 914 | $24,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 981 | $24,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 93 | $23,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,946 | $23,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 360 | $23,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 4,393 | $23,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000276 | this filing | 2019-05-10 | acceptance time not in the bulk data set |