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 |
|---|---|---|---|---|---|---|
| Perion Network Ltd | M78673114 | COM | 20,000 | $58,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 961 | $58,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 59,000 | $58,000 | thousands by filing date | principal |
| WABTEC COM | 929740108 | Stock | 42,900 | $57,000 | thousands by filing date | put |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 7,093 | $57,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 50,000 | $57,000 | thousands by filing date | put |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 3,036 | $57,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,205 | $57,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 24,668 | $57,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 111,800 | $56,000 | thousands by filing date | put |
| SANOFI | 80105N113 | COMMON STOCK-FO | 108,370 | $56,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $56,000 | thousands by filing date | principal |
| AK STEEL HOLDING CORP | 001547108 | COM | 534,000 | $56,000 | thousands by filing date | put |
| KROGER CO COM | 501044101 | Stock | 133,400 | $55,000 | thousands by filing date | call |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 3,303 | $55,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 10,250 | $55,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 5,885 | $55,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 583 | $55,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 750 | $54,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 24,966 | $54,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 5,400 | $54,000 | thousands by filing date | call |
| ULTRALIFE CORP | 903899102 | COM | 6,774 | $54,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 21,973 | $54,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 35,375 | $54,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 12,500 | $54,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 6,149 | $54,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 62,000 | $54,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 108,773 | $54,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 50,000 | $53,000 | thousands by filing date | put |
| STATE STR CORP COM | 857477103 | Stock | 34,600 | $53,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 2,325 | $53,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 7,512 | $53,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 42,074 | $53,000 | thousands by filing date | |
| ENSCO ROWAN PLC | G3166L100 | SHS CLASS A | 187,800 | $53,000 | thousands by filing date | put |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 23,900 | $52,000 | thousands by filing date | put |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 117,800 | $52,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,048 | $52,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 69,012 | $52,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 47,217 | $52,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 1,101 | $52,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 26,685 | $52,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 27,798 | $52,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $52,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 48,600 | $51,000 | thousands by filing date | call |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,817 | $51,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 69,600 | $50,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 982 | $50,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 91,900 | $50,000 | thousands by filing date | put |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $50,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,284 | $50,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,800 | $50,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 6,777 | $50,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $50,000 | thousands by filing date | principal |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 6,365 | $50,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 137,000 | $49,000 | thousands by filing date | call |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 2,301 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 966 | $49,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 570 | $49,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,606 | $49,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 5,114 | $48,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 260,300 | $48,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 234,300 | $48,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 5,160 | $48,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 1,888 | $48,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 1,879 | $48,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,858 | $48,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 1,791 | $48,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 3,545 | $48,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 1,258 | $48,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 801 | $48,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 11,751 | $48,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,403 | $47,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,000 | $47,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 2,006 | $47,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 1,438 | $47,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 3,259 | $47,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $47,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 279 | $47,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 59,000 | $46,000 | thousands by filing date | call |
| Community West Bancshares | 204157101 | Common Stock | 4,726 | $46,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 33,392 | $46,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 4,863 | $46,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 8,000 | $46,000 | thousands by filing date | principal |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 24,133 | $46,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 874 | $45,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,606 | $45,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,884 | $45,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 7,000 | $45,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 6,972 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 651 | $44,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 41,000 | $44,000 | thousands by filing date | call |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,418 | $44,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 400 | $44,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 12,900 | $43,000 | thousands by filing date | put |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 3,716 | $43,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,747 | $43,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,504 | $43,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 6,000 | $43,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 9,000 | $42,000 | thousands by filing date | call |
| SPRINT CORP | 85207U105 | COM SER 1 | 267,000 | $42,000 | thousands by filing date | put |
| AQUA METALS INC | 03837J101 | COM | 25,138 | $42,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 19,590 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,401 | $42,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,000 | $41,000 | thousands by filing date | call |
| AVIS BUDGET GROUP INC | 053774105 | COM | 13,500 | $41,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,932 | $41,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 26,700 | $41,000 | thousands by filing date | put |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 7,109 | $41,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 347 | $41,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 46,000 | $41,000 | thousands by filing date | principal |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 21,931 | $41,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,169 | $41,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 8,400 | $40,000 | thousands by filing date | call |
| PAPA JOHNS INTL INC | 698813102 | COM | 27,500 | $40,000 | thousands by filing date | call |
| Dawson Geophysical Co Ne | 239360100 | COM | 16,207 | $40,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 34,800 | $40,000 | thousands by filing date | call |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 161,557 | $40,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 25,700 | $39,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 807 | $39,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 1,663 | $39,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 250 | $39,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 17,029 | $39,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,377 | $39,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,501 | $39,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 51,445 | $39,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,206 | $39,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 1,202 | $39,000 | thousands by filing date | |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 39,000 | $39,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 11,000 | $39,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 40,000 | $39,000 | thousands by filing date | principal |
| Abbott Laboratories | 002824100 | COM | 1,500 | $38,000 | thousands by filing date | put |
| COMSTOCK RES INC COM | 205768302 | Stock | 6,781 | $38,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 105,000 | $38,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 235 | $38,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 4,047 | $38,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 29,632 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $38,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,800 | $38,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $38,000 | thousands by filing date | principal |
| HP INC COM | 40434L105 | Stock | 50,000 | $37,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 609 | $37,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 1,234 | $37,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 1,700 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 500 | $37,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,944 | $37,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 23,115 | $37,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,501 | $37,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 77,900 | $37,000 | thousands by filing date | call |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 8,631 | $37,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 31,962 | $37,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 13,937 | $37,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,974 | $37,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 37,440 | $36,000 | thousands by filing date | put |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 71,100 | $36,000 | thousands by filing date | put |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,567 | $36,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,322 | $36,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 27,929 | $36,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 28,880 | $36,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 605 | $36,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 50,000 | $35,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 681 | $35,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 31,100 | $35,000 | thousands by filing date | call |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $35,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 56,990 | $35,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 54,900 | $34,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 50,000 | $34,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 2,267 | $34,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $34,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 108,525 | $33,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 60,000 | $33,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 2,049 | $33,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 14,000 | $33,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 7,274 | $33,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 25,000 | $33,000 | thousands by filing date | call |
| ATLANTIC AMERN CORP | 048209100 | COM | 13,538 | $33,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,371 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,202 | $33,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 70,000 | $32,000 | thousands by filing date | put |
| MARATHON PETE CORP COM | 56585A102 | Stock | 73,000 | $32,000 | thousands by filing date | put |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 200,000 | $32,000 | thousands by filing date | put |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,986 | $32,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,155 | $32,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 61,531 | $32,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 14,490 | $32,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 133 | $31,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 128,109 | $31,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 39,713 | $31,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 150,000 | $31,000 | thousands by filing date | put |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 4,200 | $31,000 | thousands by filing date | call |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 43,300 | $31,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 8,366 | $31,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,399 | $31,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,909 | $31,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 166,500 | $30,000 | thousands by filing date | put |
| Merck & Co.,Inc. | 58933Y105 | COM | 21,000 | $30,000 | thousands by filing date | put |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 51,000 | $30,000 | thousands by filing date | call |
| UNITED GUARDIAN INC | 910571108 | COM | 1,601 | $30,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 12,626 | $30,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 5,445 | $30,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,458 | $30,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 44,420 | $30,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 8,070 | $29,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 5,100 | $29,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,769 | $29,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 7,526 | $29,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 1,937 | $29,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 165,284 | $29,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 1,112 | $29,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 30,700 | $28,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 31,100 | $28,000 | thousands by filing date | put |
| SYNCHRONYFINL | 87165B103 | STOK | 100,000 | $28,000 | thousands by filing date | put |
| MEREDITH CORP | 589433101 | COM | 96 | $28,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 7,200 | $28,000 | thousands by filing date | call |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,164 | $28,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,734 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 559 | $28,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,701 | $28,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,001 | $28,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $28,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 64,534 | $28,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 23,000 | $28,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 11,700 | $27,000 | thousands by filing date | call |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 35,000 | $27,000 | thousands by filing date | put |
| NUCOR CORP COM | 670346105 | Stock | 89,200 | $27,000 | thousands by filing date | put |
| MATTEL INC | 577081102 | COM | 50,000 | $27,000 | thousands by filing date | put |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,043 | $27,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 1,000 | $27,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 954 | $27,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 25,000 | $27,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 2,871 | $27,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 2,666 | $27,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,289 | $27,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 551 | $26,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 6,391 | $26,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 48,300 | $26,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 282 | $26,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 386 | $26,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 27,000 | $26,000 | thousands by filing date | principal |
| Honeywell Technologies | 438516106 | COM | 50,000 | $25,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,689 | $25,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 10,011 | $25,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 616 | $25,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 8,455 | $25,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 3,437 | $25,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 24,000 | $25,000 | thousands by filing date | principal |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,000 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 128,500 | $24,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,100 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 914 | $24,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 925 | $24,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,654 | $24,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 38,200 | $23,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,061 | $23,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 20,000 | $23,000 | thousands by filing date | put |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 25,000 | $23,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 458 | $23,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,000 | $23,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,371 | $23,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 30,000 | $23,000 | thousands by filing date | principal |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 980 | $23,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 11,595 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| EMERSON ELEC CO COM | 291011104 | Stock | 43,500 | $22,000 | thousands by filing date | put |
| TOLL BROTHERS INC COM | 889478103 | Stock | 100,000 | $22,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 87,400 | $22,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,204 | $22,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 1,241 | $22,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 2,857 | $22,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 12,400 | $22,000 | thousands by filing date | call |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,651 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,065 | $22,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,145 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $22,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 9,000 | $22,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 125,096 | $22,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 7,587 | $21,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 31,100 | $21,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,000 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $21,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 330 | $21,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 4,075 | $21,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 744 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,340 | $21,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 17,177 | $21,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,318 | $21,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $21,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,945 | $20,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,450 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 1,511 | $20,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 5,701 | $20,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 14,986 | $20,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,132 | $20,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 772 | $20,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 573 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 148 | $19,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 4,764 | $19,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 1,776 | $19,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 66,400 | $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 |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 26,288 | $19,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 75,900 | $18,000 | thousands by filing date | call |
| FASTENAL CO COM | 311900104 | Stock | 60,000 | $18,000 | thousands by filing date | put |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,950 | $18,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 10,000 | $18,000 | thousands by filing date | call |
| ORGENESIS INC | 68619K204 | COM | 4,000 | $18,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,501 | $18,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 3,353 | $18,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 268 | $18,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 12,000 | $18,000 | thousands by filing date | principal |
| MACYS INC COM | 55616P104 | Stock | 15,700 | $17,000 | thousands by filing date | call |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 35,900 | $17,000 | thousands by filing date | call |
| CHEESECAKE FACTORY INC | 163072101 | COM | 10,000 | $17,000 | thousands by filing date | put |
| MEDLEY CAP CORP | 58503F106 | COM | 7,360 | $17,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $17,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 175 | $17,000 | 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 | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,420 | $17,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $17,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 2,000 | $17,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 4,666 | $17,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 67,475 | $17,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 25,000 | $16,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 41,100 | $16,000 | thousands by filing date | put |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 264 | $16,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 292,800 | $16,000 | thousands by filing date | call |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 291 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 852 | $16,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,350 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 554 | $16,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,135 | $16,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 50,000 | $15,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,129 | $15,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,000 | $15,000 | thousands by filing date | put |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 23,000 | $15,000 | thousands by filing date | call |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $15,000 | thousands by filing date | principal |
| GOLDFIELD CORP | 381370105 | COM | 6,147 | $15,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 40,530 | $15,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 4,528 | $15,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,550 | $15,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 94,000 | $14,000 | thousands by filing date | put |
| HALLIBURTON CO COM | 406216101 | Stock | 15,000 | $14,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,128 | $14,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,049 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 381 | $14,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,001 | $14,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $14,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 21,800 | $14,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 4,017 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,472 | $14,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 5,500 | $14,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 8,000 | $14,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 10,500 | $13,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 966 | $13,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 7,500 | $13,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50,000 | $13,000 | thousands by filing date | call |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 9,700 | $13,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 30,200 | $13,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 550 | $13,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 62,100 | $13,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 12,000 | $13,000 | thousands by filing date | call |
| IMMUCELL CORP | 452525306 | COM PAR | 1,950 | $13,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,588 | $13,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,900 | $13,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 14,500 | $13,000 | thousands by filing date | call |
| APHRIA INC | 03765K104 | COM | 1,900 | $13,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 14,022 | $13,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 25,176 | $13,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 15,000 | $13,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 17,164 | $13,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 3,155 | $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 |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 12,000 | $13,000 | thousands by filing date | principal |
| UnitedHealth Group Inc | 91324P102 | COM | 8,700 | $12,000 | thousands by filing date | call |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 42,700 | $12,000 | thousands by filing date | call |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 1,120 | $12,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 50,200 | $12,000 | thousands by filing date | call |
| FASTLY INC | 31188V100 | CL A | 600 | $12,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 250 | $12,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 2,100 | $12,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 25,000 | $12,000 | thousands by filing date | call |
| NOBLE ENERGY INC | 655044105 | COM | 20,000 | $12,000 | thousands by filing date | call |
| VALUE LINE INC | 920437100 | COMMON STOCK | 452 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 460 | $12,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 538 | $12,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 140,000 | $12,000 | thousands by filing date | put |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 51,900 | $12,000 | thousands by filing date | put |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 800 | $12,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,423 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $12,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 20,089 | $12,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 23,800 | $11,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 25,000 | $11,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,842 | $11,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,800 | $11,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 225 | $11,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 15,700 | $11,000 | thousands by filing date | put |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 1,165 | $11,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 200 | $11,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,100 | $11,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 427 | $11,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 700 | $11,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 31,877 | $11,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 471 | $11,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 12,213 | $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 | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 501 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 9,000 | $11,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,501 | $11,000 | thousands by filing date | |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 152,948 | $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 |
| OHA INVT CORP | 67091U102 | COM | 9,600 | $11,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 5,014 | $10,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,872 | $10,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 8,400 | $10,000 | thousands by filing date | call |
| GARRISON CAP INC | 366554103 | COM | 1,431 | $10,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 3,638 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 220 | $10,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 9,346 | $10,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,309 | $10,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,000 | $10,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 365 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 40,134 | $10,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 11,900 | $10,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 41 | $9,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 16,400 | $9,000 | thousands by filing date | put |
| SEA LTD | 81141R100 | SPONSORD ADS | 296,400 | $9,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $9,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 44,700 | $9,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $9,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 14,407 | $9,000 | thousands by filing date | put |
| SOUND FINL BANCORP INC | 83607A100 | COM | 260 | $9,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 865 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,126 | $9,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 256 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $9,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 207 | $9,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 5,057 | $9,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 860 | $9,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 20,768 | $9,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 22,523 | $9,000 | thousands by filing date | |
| ENSCO ROWAN PLC | G3166L100 | SHS CLASS A | 9,600 | $9,000 | thousands by filing date | call |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,501 | $9,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 424 | $9,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 326 | $9,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 15 | $8,000 | thousands by filing date | put |
| NextEra Energy,Inc. | 65339F101 | COM | 216 | $8,000 | thousands by filing date | put |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 379 | $8,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 12,600 | $8,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $8,000 | thousands by filing date | put |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 33,500 | $8,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,525 | $8,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 20,500 | $8,000 | thousands by filing date | call |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,500 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,561 | $8,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,001 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,002 | $8,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 8,000 | $8,000 | thousands by filing date | principal |
| AK STEEL HOLDING CORP | 001547108 | COM | 710,000 | $8,000 | thousands by filing date | call |
| GSE SYS INC | 36227k106 | COM | 3,320 | $8,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 845 | $8,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 1,150 | $8,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,667 | $8,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 622 | $8,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 3,000 | $8,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,000 | $8,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 15,287 | $8,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 7,706 | $8,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 3,387 | $8,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,000 | $7,000 | thousands by filing date | put |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 10,400 | $7,000 | thousands by filing date | put |
| Vanguard Small-Cap ETF | 922908751 | SHS | 3,100 | $7,000 | thousands by filing date | put |
| EQUIFAX INC COM | 294429105 | Stock | 10,000 | $7,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 76 | $7,000 | thousands by filing date | put |
| CHEMOURS CO COM | 163851108 | Stock | 21,600 | $7,000 | thousands by filing date | put |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 201 | $7,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 7,200 | $7,000 | thousands by filing date | put |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 200,000 | $7,000 | thousands by filing date | put |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 255 | $7,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 5,848 | $7,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 12 | $7,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 4,962 | $7,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 185 | $7,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 288 | $7,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 20,000 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 231 | $7,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 1,468 | $7,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 18,200 | $7,000 | thousands by filing date | put |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,850 | $7,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 5,092 | $7,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 534 | $7,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $7,000 | thousands by filing date | principal |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 543 | $7,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 31,293 | $7,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 20,400 | $6,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 11,400 | $6,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 120 | $6,000 | thousands by filing date | put |
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 |