13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-06, with 6,890 holding rows worth $349,473,800,000.
- Accession
- 0000072971-19-000339
- Filer
- CIK 72971
- Filed
- 2019-08-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 20,209 entries on the cover page, a total value of $349,473,800,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $349,473,800,000 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 CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- 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 |
|---|---|---|---|---|---|---|
| CIVEO CORP CDA | 17878Y108 | COM | 112,382 | $192,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 3,425 | $191,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 16,558 | $191,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 38,856 | $191,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 4,488 | $191,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 15,825 | $191,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 156,000 | $190,000 | thousands by filing date | principal |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 55,900 | $188,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,406 | $188,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 8,624 | $188,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 12,689 | $188,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 33,217 | $187,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 13,317 | $187,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 7,011 | $187,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 205,300 | $186,000 | thousands by filing date | put |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 51,718 | $186,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 556,900 | $184,000 | thousands by filing date | call |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 14,532 | $183,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 46,748 | $182,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 30,129 | $182,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 38,719 | $182,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 44,200 | $182,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 128,235 | $181,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 19,184 | $181,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 15,731 | $181,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 52,543 | $181,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 43,105 | $181,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 47,676 | $181,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 35,654 | $180,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 6,992 | $180,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 24,915 | $180,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 24,365 | $180,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 30,136 | $180,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 73,530 | $179,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 17,346 | $179,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 5,721 | $179,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 133,000 | $178,000 | thousands by filing date | call |
| CITIZENS INC | 174740100 | COMMON STOCK | 24,516 | $178,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 145,127 | $178,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 11,748 | $177,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 20,648 | $177,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 170,000 | $177,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 7,865 | $176,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 24,716 | $176,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 13,925 | $176,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 6,799 | $176,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 45,146 | $175,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 50,000 | $175,000 | thousands by filing date | put |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 18,990 | $175,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 85,285 | $175,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 9,708 | $173,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 39,713 | $173,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 4,436 | $172,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 13,054 | $172,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 9,353 | $172,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 189,600 | $171,000 | thousands by filing date | call |
| CARDLYTICS INC | 14161W105 | COM | 6,557 | $171,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 13,143 | $171,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 13,937 | $171,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 11,327 | $170,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 12,613 | $170,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 10,799 | $170,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 185,356 | $170,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 6,593 | $169,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 69,769 | $169,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 22,500 | $168,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 3,285 | $168,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 12,015 | $168,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 129,663 | $168,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 14,479 | $168,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 53,352 | $168,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 5,796 | $167,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,325 | $167,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 10,012 | $167,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 31,900 | $167,000 | thousands by filing date | put |
| CYTOSORBENTS CORP | 23283X206 | CMN | 25,213 | $167,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 5,239 | $166,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 16,560 | $166,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 121,999 | $166,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 62,600 | $165,000 | thousands by filing date | call |
| HP INC COM | 40434L105 | Stock | 80,500 | $165,000 | thousands by filing date | call |
| FERROGLOBE PLC | G33856108 | SHS | 97,018 | $165,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 165,000 | $165,000 | thousands by filing date | principal |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 16,382 | $165,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 32,872 | $164,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 25,523 | $163,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 200,000 | $162,000 | thousands by filing date | call |
| SYNTHORX INC COM | 87167A103 | Stock | 12,056 | $162,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 9,999 | $160,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 80,600 | $159,000 | thousands by filing date | call |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 3,893 | $159,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 15,065 | $159,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 19,079 | $159,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 7,417 | $159,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 9,621 | $159,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 96,945 | $159,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 9,925 | $158,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 16,339 | $158,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 18,046 | $158,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 12,598 | $158,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 14,860 | $158,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 4,600 | $157,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 47,649 | $157,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 13,660 | $157,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 7,237 | $157,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 14,608 | $157,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 17,372 | $156,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 6,124 | $156,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 158,000 | $156,000 | thousands by filing date | principal |
| UNDER ARMOUR INC | 904311107 | CL A | 155,900 | $155,000 | thousands by filing date | call |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 24,453 | $155,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 100,000 | $154,000 | thousands by filing date | call |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 29,883 | $153,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 32,554 | $153,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 572,800 | $152,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 3,469 | $152,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 18,030 | $152,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 7,054 | $152,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 19,403 | $151,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 20,266 | $151,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 4,586 | $150,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,710 | $150,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 18,913 | $150,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 99,976 | $150,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 4,529 | $149,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 16,642 | $149,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 196,000 | $148,000 | thousands by filing date | call |
| STELLUS CAP INVT CORP | 858568108 | COM | 10,701 | $148,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,546 | $148,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 6,735 | $148,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 10,532 | $148,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 7,047 | $148,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 14,426 | $147,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 18,487 | $147,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 15,396 | $147,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 9,341 | $146,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 3,956 | $146,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,642 | $146,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 68,680 | $146,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 45,450 | $146,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 4,641 | $145,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 5,900 | $145,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 254,400 | $143,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 3,516 | $143,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 72,586 | $143,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 22,987 | $142,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 164,700 | $141,000 | thousands by filing date | put |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 5,782 | $141,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 9,617 | $141,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 5,130 | $141,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 9,802 | $140,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 3,597 | $140,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 50,000 | $139,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 100,000 | $139,000 | thousands by filing date | put |
| ISHARES INC | 464286301 | CMN | 7,575 | $139,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 130,000 | $139,000 | thousands by filing date | principal |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 5,988 | $139,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 6,037 | $139,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 11,920 | $139,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 56,500 | $138,000 | thousands by filing date | put |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 2,213 | $138,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 22,396 | $138,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 33,232 | $138,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 23,469 | $138,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $138,000 | thousands by filing date | principal |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 14,500 | $137,000 | thousands by filing date | put |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $137,000 | thousands by filing date | principal |
| SURGERY PARTNERS INC | 86881A100 | COM | 16,750 | $136,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 30,825 | $136,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,946 | $136,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 7,940 | $136,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 50,196 | $135,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 60,257 | $135,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 9,457 | $135,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 25,000 | $134,000 | thousands by filing date | put |
| EGAIN CORP | 28225C806 | COM NEW | 16,422 | $134,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 49,922 | $134,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 66,620 | $134,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 3,255 | $133,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 57,000 | $132,000 | thousands by filing date | call |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 15,572 | $132,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 33,631 | $132,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 27,297 | $132,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 20,844 | $131,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 22,374 | $131,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 25,280 | $131,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 27,173 | $131,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 7,325 | $131,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 130,000 | $131,000 | thousands by filing date | principal |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,029 | $130,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 11,484 | $130,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 6,295 | $128,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 3,435 | $128,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 129,000 | $128,000 | thousands by filing date | principal |
| GENERAL MILLS INC COM | 370334104 | Stock | 141,600 | $127,000 | thousands by filing date | put |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 5,961 | $127,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 39,466 | $127,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 57,750 | $127,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 4,060 | $126,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 14,008 | $126,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 3,400 | $126,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 18,101 | $126,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 127,000 | $126,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 9,719 | $126,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 53,445 | $126,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 16,598 | $125,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 9,379 | $125,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 7,720 | $125,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 12,960 | $125,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 76,500 | $124,000 | thousands by filing date | put |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 40,528 | $124,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 3,316 | $124,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 5,075 | $124,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 26,992 | $124,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 10,477 | $123,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,277 | $123,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 7,480 | $123,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 105,000 | $123,000 | thousands by filing date | principal |
| RADWARE LTD | M81873107 | COMMON STOCK | 4,948 | $122,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 154,316 | $122,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 5,248 | $121,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 4,895 | $121,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 13,971 | $121,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 5,752 | $121,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 13,340 | $121,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 179,716 | $121,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 3,443 | $121,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 20,000 | $120,000 | thousands by filing date | call |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 98,900 | $120,000 | thousands by filing date | call |
| BANK7 CORP | 06652N107 | COMMON STOCK | 6,516 | $120,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 189,500 | $120,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,705 | $119,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 249,300 | $119,000 | thousands by filing date | call |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 2,806 | $119,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 61,000 | $119,000 | thousands by filing date | put |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 100,000 | $119,000 | thousands by filing date | principal |
| SAVARA INC | 805111101 | COM | 49,638 | $118,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 3,480 | $118,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 245,300 | $118,000 | thousands by filing date | put |
| NRC GROUP HLDGS CORP | 629375106 | COM | 10,593 | $118,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 7,692 | $117,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 10,372 | $117,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 29,000 | $117,000 | thousands by filing date | put |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,815 | $117,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $117,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 32,804 | $117,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 133,000 | $117,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 216,100 | $116,000 | thousands by filing date | put |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 31,460 | $116,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 32,119 | $116,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 20,233 | $116,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 13,933 | $115,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 61,700 | $115,000 | thousands by filing date | put |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,122 | $115,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 10,000 | $114,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 31,174 | $114,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 28,403 | $112,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 4,600 | $111,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 9,445 | $111,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 73,678 | $111,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,627 | $110,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,727 | $110,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 15,994 | $110,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,680 | $110,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 25,600 | $109,000 | thousands by filing date | call |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 8,600 | $109,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 36,971 | $109,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,321 | $109,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 64,144 | $108,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,306 | $108,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 2,068 | $107,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 10,331 | $107,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 104,688 | $107,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 107,000 | $107,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 106,000 | $106,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 163,233 | $106,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 6,195 | $106,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 25,576 | $106,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 26,800 | $105,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 109,400 | $105,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 18,801 | $105,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 2,819 | $104,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 30,200 | $104,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 180,000 | $104,000 | thousands by filing date | put |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 8,380 | $104,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 8,498 | $104,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,771 | $104,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 17,678 | $104,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J114 | RIGHT 07/12/2019 | 53,320 | $104,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 100,000 | $104,000 | thousands by filing date | principal |
| FEDEX CORP COM | 31428X106 | Stock | 20,700 | $103,000 | thousands by filing date | call |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 5,020 | $103,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 4,279 | $103,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 22,968 | $103,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 56,537 | $103,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 31,500 | $103,000 | thousands by filing date | put |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 8,027 | $102,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 10,597 | $102,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 3,517 | $102,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 347,500 | $102,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,115 | $102,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 31,031 | $102,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,305 | $102,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 60,053 | $102,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 30,000 | $101,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 203,100 | $101,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 16,460 | $101,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 3,521 | $101,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 204,947 | $101,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 26,780 | $101,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,900 | $100,000 | thousands by filing date | call |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 60,017 | $100,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $100,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 19,136 | $100,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,301 | $99,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 4,845 | $99,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 7,308 | $99,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 521 | $98,000 | thousands by filing date | put |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 2,664 | $98,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 47,933 | $98,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 9,316 | $98,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,619 | $97,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 3,364 | $97,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 12,173 | $97,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 4,100 | $96,000 | thousands by filing date | call |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 74,298 | $96,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 5,500 | $95,000 | thousands by filing date | call |
| ONCOCYTE CORP | 68235C107 | COM | 38,035 | $95,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 18,336 | $94,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 3,001 | $94,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 7,241 | $94,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 28,485 | $94,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $94,000 | thousands by filing date | principal |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 776 | $93,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 85,000 | $93,000 | thousands by filing date | put |
| SHILOH INDUSTRIES INC | 824543102 | COM | 19,057 | $93,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 7,205 | $93,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 23,783 | $92,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 47,500 | $92,000 | thousands by filing date | call |
| RIMINI STR INC DEL | 76674Q107 | COM | 17,392 | $92,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 96,200 | $92,000 | thousands by filing date | call |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 68,200 | $92,000 | thousands by filing date | put |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 37,590 | $92,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 36,000 | $91,000 | thousands by filing date | call |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 6,466 | $91,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,001 | $90,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 3,283 | $90,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 2,435 | $89,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 2,844 | $89,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,056 | $89,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 5,114 | $89,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 88,000 | $89,000 | thousands by filing date | principal |
| PC TEL INC | 69325Q105 | COM | 19,978 | $89,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 7,778 | $89,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 91,000 | $89,000 | thousands by filing date | principal |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 4,341 | $88,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,751 | $88,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 4,010 | $88,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 103,274 | $88,000 | thousands by filing date | |
| VISTRA ENERGY CORP | 92840M300 | UNIT 02/02/2024 | 950 | $88,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 484,600 | $87,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 1,165 | $87,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,644 | $87,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 15,500 | $87,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 26,101 | $87,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 9,397 | $87,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 180,224 | $87,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 48,461 | $87,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,420 | $87,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 26,325 | $87,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 43,716 | $86,000 | thousands by filing date | put |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 270,000 | $86,000 | thousands by filing date | put |
| BRP INC COM SUN VTG | 05577W200 | Stock | 2,408 | $86,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 41,500 | $85,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 20,774 | $85,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 148,430 | $85,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 42,366 | $85,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 5,600 | $84,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 3,588 | $84,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,476 | $84,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 41,147 | $84,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 60,200 | $84,000 | thousands by filing date | put |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 35,473 | $83,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 638 | $82,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 1,861 | $82,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 13,965 | $82,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 3,111 | $82,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 10,220 | $82,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 5,401 | $81,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 79,000 | $81,000 | thousands by filing date | principal |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 52,531 | $81,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 90,800 | $80,000 | thousands by filing date | call |
| CME Group Inc. Class A | 12572Q105 | COM | 10,000 | $80,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 14,848 | $80,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 12,673 | $80,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 4,265 | $80,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 3,705 | $80,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 81,800 | $79,000 | thousands by filing date | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 339,700 | $79,000 | thousands by filing date | call |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,431 | $79,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 10,844 | $79,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,193 | $79,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 45,600 | $78,000 | thousands by filing date | put |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 11,608 | $78,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 7,015 | $78,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 80,000 | $78,000 | thousands by filing date | principal |
| DESTINATION XL GROUP INC | 25065K104 | COM | 43,831 | $77,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 9,540 | $77,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 15,804 | $77,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 76,000 | $77,000 | thousands by filing date | principal |
| TILRAY INC | 88688T100 | COM CL 2 | 1,635 | $76,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 16,073 | $76,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 64,000 | $75,000 | thousands by filing date | call |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 2,407 | $75,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 43,941 | $75,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 1,940 | $75,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 20,520 | $75,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 470,100 | $74,000 | thousands by filing date | put |
| MVC CAPITAL INC | 553829102 | COM | 8,060 | $74,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 850 | $74,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 15,481 | $74,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,811 | $74,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 56,878 | $74,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 16,459 | $73,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 70,000 | $73,000 | thousands by filing date | call |
| INPHI CORP | 45772F107 | COM | 13,100 | $73,000 | thousands by filing date | call |
| MITCHAM INDS INC COM | 606501104 | COM | 18,500 | $73,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 50,000 | $72,000 | thousands by filing date | put |
| TURNING PT THERAPEUTICS | 90041T108 | COM | 1,782 | $72,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 16,003 | $72,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 72,000 | $72,000 | thousands by filing date | principal |
| Adobe Inc | 00724F101 | COM | 2,000 | $71,000 | thousands by filing date | call |
| Lowes Companies,Inc. | 548661107 | COM | 6,300 | $71,000 | thousands by filing date | call |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,312 | $71,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $71,000 | thousands by filing date | principal |
| LINE CORP | 53567X101 | SPONSORED ADR | 2,527 | $71,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 9,800 | $70,000 | thousands by filing date | put |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 16,646 | $70,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 44,825 | $70,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 2,720 | $70,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 7,515 | $70,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 2,941 | $70,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 20,000 | $69,000 | thousands by filing date | call |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 9,156 | $69,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 25,599 | $69,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 170,100 | $68,000 | thousands by filing date | put |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 40,000 | $68,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 15,699 | $68,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 12,601 | $68,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 26,630 | $68,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 427,220 | $67,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 132,000 | $67,000 | thousands by filing date | call |
| ENCANA CORP | 292505104 | COM | 376,500 | $67,000 | thousands by filing date | call |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 15,362 | $67,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 80,000 | $66,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 35,300 | $66,000 | thousands by filing date | call |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 68,600 | $66,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 30,000 | $66,000 | thousands by filing date | call |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 77,400 | $66,000 | thousands by filing date | put |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 3,718 | $66,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 68,000 | $66,000 | thousands by filing date | principal |
| ObsEva SA | H5861P103 | COM | 5,703 | $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 |
| KRAFT HEINZ CO COM | 500754106 | Stock | 40,000 | $64,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 78,969 | $64,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 5,074 | $64,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 21,672 | $64,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,663 | $64,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 65,000 | $64,000 | thousands by filing date | principal |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $64,000 | thousands by filing date | principal |
| Schlumberger Limited | 806857108 | COM | 258,900 | $63,000 | thousands by filing date | put |
| XEROX CORP | 984121608 | COM NEW | 39,500 | $63,000 | thousands by filing date | call |
| ICAD INC | 44934S206 | COM NEW | 9,788 | $63,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 49,521 | $63,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 16,300 | $62,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 40,500 | $62,000 | thousands by filing date | put |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 10,850 | $62,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 35,646 | $62,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 60,000 | $62,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W323 | CMN | 2,451 | $61,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 51,400 | $61,000 | thousands by filing date | call |
| 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 |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 15,500 | $60,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 2,606 | $60,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 2,985 | $60,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 4,080 | $60,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 2,427 | $59,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 3,622 | $59,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 9,591 | $59,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 23,509 | $59,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 14,513 | $59,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 34,364 | $59,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 16,001 | $59,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $58,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 9,846 | $58,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,137 | $58,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 40,000 | $58,000 | thousands by filing date | call |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 400,600 | $58,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000339 | this filing | 2019-08-06 | acceptance time not in the bulk data set |