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 |
|---|---|---|---|---|---|---|
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,001 | $23,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 6,189 | $23,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 5,946 | $23,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,701 | $23,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 870 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $23,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 414 | $23,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 22,131 | $23,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 1,134 | $23,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 3,433 | $23,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 15,240 | $23,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 479 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 7,123 | $22,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 1,200 | $22,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,792 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $22,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 855 | $22,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 4,248 | $22,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,650 | $22,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 15,000 | $22,000 | thousands by filing date | principal |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,000 | $22,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $22,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 3,429 | $21,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 8,789 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,064 | $21,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 900 | $21,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 744 | $21,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 596 | $20,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,204 | $20,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 1,546 | $20,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 15,351 | $20,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 7,000 | $20,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,340 | $20,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 1,000 | $20,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 8,526 | $20,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 12,000 | $20,000 | thousands by filing date | principal |
| Gilead Sciences,Inc. | 375558103 | COM | 35,700 | $19,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 525 | $19,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 578 | $19,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 1,460 | $19,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 7,049 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 600 | $19,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,207 | $19,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $19,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 1,825 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $19,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,891 | $19,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 445 | $19,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,500 | $18,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 35,321 | $18,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 529 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 148 | $18,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,589 | $18,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 1,900 | $18,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 11,925 | $18,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 65,102 | $18,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,703 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 807 | $17,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $17,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,000 | $17,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,060 | $17,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 40,530 | $17,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 15,300 | $17,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 678 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 1,000 | $16,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 1,253 | $16,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 914 | $16,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,308 | $16,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 6,858 | $16,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 658 | $16,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,201 | $16,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 12,599 | $16,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 67,475 | $16,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 10 | $15,000 | thousands by filing date | call |
| Etfmg Prime Mobile | 26924G409 | COM | 349 | $15,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $15,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $15,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,000 | $15,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,150 | $15,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 5,500 | $15,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,583 | $15,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 10,200 | $14,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,172 | $14,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 3,757 | $14,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,031 | $14,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,164 | $14,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 587 | $14,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 562 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 511 | $14,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,112 | $14,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 534 | $14,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,017 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,472 | $14,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 417 | $14,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 3,100 | $14,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 500 | $13,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $13,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 986 | $13,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,190 | $13,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 96,425 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,120 | $13,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 52,575 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 13,000 | $13,000 | thousands by filing date | principal |
| KEMPHARM INC COM NEW | 488445107 | Stock | 8,000 | $13,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 3,809 | $13,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 250 | $12,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 531 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 351 | $12,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 7,201 | $12,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 9,346 | $12,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 12,000 | $12,000 | thousands by filing date | principal |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $12,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 844 | $12,000 | thousands by filing date | |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 12,000 | $12,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 9,601 | $12,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 8,500 | $11,000 | thousands by filing date | put |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 1,000 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 225 | $11,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,143 | $11,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 96 | $11,000 | thousands by filing date | put |
| XBIOTECH INC | 98400H102 | COM | 1,000 | $11,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $11,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 298 | $11,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 471 | $11,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 2,000 | $11,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 13,232 | $11,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 234 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $11,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 40,806 | $11,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 750 | $11,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 12,000 | $11,000 | thousands by filing date | principal |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,800 | $10,000 | thousands by filing date | put |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 5,400 | $10,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 3,233 | $10,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 400 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 700 | $10,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 865 | $10,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $10,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,500 | $10,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,301 | $10,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 5,057 | $10,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 2,001 | $10,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,000 | $10,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 6,000 | $10,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,667 | $10,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 3,743 | $10,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 1,301 | $10,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 201 | $9,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 133 | $9,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,100 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $9,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 260 | $9,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 300 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 185 | $9,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $9,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 25,774 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $9,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 365 | $9,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 211 | $9,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 8,750 | $9,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 1,270 | $8,000 | thousands by filing date | put |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 4,900 | $8,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $8,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,001 | $8,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 10,300 | $8,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 160 | $8,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,356 | $8,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $8,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,000 | $8,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 443 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,001 | $8,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 500 | $8,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 800 | $8,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,350 | $8,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 8,511 | $8,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,200 | $8,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 622 | $8,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,000 | $8,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 4,050 | $8,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,501 | $8,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 5,000 | $8,000 | thousands by filing date | principal |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 200 | $7,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 10,400 | $7,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,000 | $7,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 100 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 286 | $7,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 1,250 | $7,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 8,949 | $7,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 10,600 | $7,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $7,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,124 | $7,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 902 | $7,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 207 | $7,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $7,000 | thousands by filing date | principal |
| DARIOHEALTH CORP | 23725P100 | COM | 10,000 | $7,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 543 | $7,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 26,421 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 264 | $7,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 2,194 | $7,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 4,000 | $6,000 | thousands by filing date | put |
| Caterpillar Inc. | 149123101 | COM | 400 | $6,000 | thousands by filing date | put |
| International Business Machines Corporation | 459200101 | COM | 500 | $6,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 9,000 | $6,000 | thousands by filing date | put |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 9,700 | $6,000 | thousands by filing date | put |
| Vanguard Small-Cap ETF | 922908751 | SHS | 3,100 | $6,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 831 | $6,000 | thousands by filing date | put |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 132 | $6,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 1,181 | $6,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 960 | $6,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,435 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 191 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 424 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 339 | $6,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 592 | $6,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 777 | $6,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 500 | $6,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 288 | $6,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,400 | $6,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 7,730 | $6,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 1,757 | $6,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,003 | $6,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $6,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 2,095 | $6,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $6,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 451 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 570 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 155 | $6,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 346 | $6,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 313 | $5,000 | thousands by filing date | put |
| Lockheed Martin Corporation | 539830109 | COM | 16 | $5,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 300 | $5,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 1,200 | $5,000 | thousands by filing date | put |
| DAVITA INC COM | 23918K108 | Stock | 26 | $5,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 20,000 | $5,000 | thousands by filing date | put |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 300 | $5,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 213 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 202 | $5,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 101 | $5,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 698 | $5,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 51 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 101 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $5,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,000 | $5,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,000 | $5,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 185 | $5,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 1,431 | $5,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $5,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,000 | $5,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,000 | $5,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,394 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 147 | $5,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 266 | $5,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 2,568 | $5,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 9,044 | $5,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 501 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 874 | $5,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 500 | $4,000 | thousands by filing date | put |
| Intuitive Surgical,Inc. | 46120E602 | COM | 100 | $4,000 | thousands by filing date | put |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 6,800 | $4,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 256 | $4,000 | thousands by filing date | put |
| NEWELL BRANDS INC COM | 651229106 | Stock | 3,000 | $4,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,001 | $4,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 3,500 | $4,000 | thousands by filing date | put |
| ECOLAB INC COM | 278865100 | Stock | 500 | $4,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 7,778 | $4,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 190 | $4,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 7,800 | $4,000 | thousands by filing date | put |
| ALCENTRA CAP CORP | 01374T102 | COM | 563 | $4,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 500 | $4,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 266 | $4,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 791 | $4,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 105 | $4,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $4,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 1,001 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 130 | $4,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 2,519 | $4,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 800 | $4,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 400 | $4,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 751 | $4,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 364 | $4,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 163 | $4,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 603 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 61 | $4,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 1,000 | $4,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 4,477 | $4,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 150 | $4,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,000 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 150 | $4,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 1,000 | $4,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 2,000 | $4,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489303 | CL A NEW | 633 | $4,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 1,000 | $3,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 14 | $3,000 | thousands by filing date | put |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 56 | $3,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 1,010 | $3,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 100 | $3,000 | thousands by filing date | put |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 3,000 | $3,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 300 | $3,000 | thousands by filing date | put |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 500 | $3,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 300 | $3,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 3,700 | $3,000 | thousands by filing date | put |
| WOODWARD INC COM | 980745103 | Stock | 9,000 | $3,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 6,400 | $3,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 22 | $3,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,000 | $3,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 4,800 | $3,000 | thousands by filing date | put |
| VEON LTD | 91822M106 | SPONSORED ADR | 1,431 | $3,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 388 | $3,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 217 | $3,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,078 | $3,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 643 | $3,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,201 | $3,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 200 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 70 | $3,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 132 | $3,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 288 | $3,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 84 | $3,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 400 | $3,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,500 | $3,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 401 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 60 | $3,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,563 | $3,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 1,100 | $3,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 2,000 | $3,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 1,501 | $3,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 3,001 | $3,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 351 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 200 | $3,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 520 | $3,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 212 | $3,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 128 | $3,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 7,094 | $3,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 570 | $3,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 15,384 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 68 | $3,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 5,515 | $2,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 6,900 | $2,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 8,600 | $2,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 41 | $2,000 | thousands by filing date | put |
| NextEra Energy,Inc. | 65339F101 | COM | 216 | $2,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 816 | $2,000 | thousands by filing date | put |
| ServiceNow,Inc. | 81762P102 | COM | 200 | $2,000 | thousands by filing date | put |
| T-Mobile US,Inc. | 872590104 | COM | 24 | $2,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 1,000 | $2,000 | thousands by filing date | put |
| BORGWARNER INC COM | 099724106 | Stock | 3,500 | $2,000 | thousands by filing date | put |
| ZOETIS INC CL A | 98978V103 | Stock | 300 | $2,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 400 | $2,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 501 | $2,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 3,400 | $2,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 2,000 | $2,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 481 | $2,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 500 | $2,000 | thousands by filing date | put |
| YUM CHINA HLDGS INC | 98850P109 | COM | 120,000 | $2,000 | thousands by filing date | put |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 300 | $2,000 | thousands by filing date | put |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 300 | $2,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 2,400 | $2,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 471 | $2,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 70 | $2,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 75 | $2,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 43 | $2,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 464 | $2,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 425 | $2,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 203 | $2,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 150 | $2,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 224 | $2,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 3,700 | $2,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,800 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,353 | $2,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 5,000 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 32 | $2,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,314 | $2,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 322 | $2,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 500 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 41 | $2,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 400 | $2,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 1,427 | $2,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 82 | $2,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 400 | $2,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 751 | $2,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 44,600 | $2,000 | thousands by filing date | call |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 663 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,726 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 650 | $2,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 79 | $2,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 450 | $2,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 700 | $2,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 1,563 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 50 | $2,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 150 | $2,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 500 | $2,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 106 | $2,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 500 | $2,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 2,270 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 75 | $2,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| ARYA SCIENCES ACQUISITION CORP SHS CL A | G3165V109 | COM | 207 | $2,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 1,267 | $2,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 76 | $2,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 400 | $1,000 | thousands by filing date | put |
| Adobe Inc | 00724F101 | COM | 100 | $1,000 | thousands by filing date | put |
| Applied Materials,Inc. | 038222105 | COM | 3,200 | $1,000 | thousands by filing date | put |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 1,400 | $1,000 | thousands by filing date | put |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 200 | $1,000 | thousands by filing date | put |
| Merck & Co.,Inc. | 58933Y105 | COM | 400 | $1,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 200 | $1,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 1,300 | $1,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 1,100 | $1,000 | thousands by filing date | put |
| Stryker Corporation | 863667101 | COM | 1,000 | $1,000 | thousands by filing date | put |
| United Parcel Service,Inc. Class B | 911312106 | COM | 34,000 | $1,000 | thousands by filing date | call |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 800 | $1,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 120 | $1,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 500 | $1,000 | thousands by filing date | call |
| CASEYS GEN STORES INC | 147528103 | COM | 500 | $1,000 | thousands by filing date | put |
| GEVO INC | 374396406 | COM PAR | 600 | $1,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 200 | $1,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 19,600 | $1,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 400 | $1,000 | thousands by filing date | put |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 10,000 | $1,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,300 | $1,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,464 | $1,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 200 | $1,000 | thousands by filing date | put |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 200 | $1,000 | thousands by filing date | put |
| PPL CORP COM | 69351T106 | Stock | 1,000 | $1,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 100 | $1,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 300 | $1,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 50,000 | $1,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 403 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,000 | $1,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 45 | $1,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 4,000 | $1,000 | thousands by filing date | put |
| RIOT PLATFORMS INC | 767292105 | COM | 179 | $1,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 140 | $1,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 7 | $1,000 | thousands by filing date | put |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 427 | $1,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 319 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 51 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 20 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 321 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 741 | $1,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 817 | $1,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 35 | $1,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 100 | $1,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 138 | $1,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 100 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 31 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 61 | $1,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,000 | $1,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 18 | $1,000 | thousands by filing date | put |
| OI SA-ADR | 670851500 | ADR | 426 | $1,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 642 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 188 | $1,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 400 | $1,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 112 | $1,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 1,500 | $1,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 1,500 | $1,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 367 | $1,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 143 | $1,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 32 | $1,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 407 | $1,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 304 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,400 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 1,300 | $1,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 453 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 200 | $1,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,001 | $1,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,000 | $1,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 36 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 267 | $1,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 600 | $1,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 227 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 40 | $1,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 300 | $1,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 5,159 | $1,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 3,588 | $1,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 168 | $1,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 221 | $1,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 782 | $1,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 181 | $1,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 280 | $1,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $1,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 437 | $1,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 652 | $1,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 65 | $1,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 1,500 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,000 | $1,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663117 | *W EXP 07/31/202 | 333 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 43 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 17 | $1,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 1,100 | $1,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 417 | $1,000 | 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 |