13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-12, with 6,891 holding rows worth $352,889,026,000.
- Accession
- 0000072971-19-000424
- Filer
- CIK 72971
- Filed
- 2019-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 20,084 entries on the cover page, a total value of $352,889,026,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $352,889,026,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo 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 |
|---|---|---|---|---|---|---|
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 75,010 | $413,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 12,940 | $412,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 3,771 | $411,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 26,686 | $411,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 26,604 | $410,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 24,365 | $409,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 147,987 | $409,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 40,132 | $408,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 17,761 | $407,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 12,147 | $407,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 14,707 | $406,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 51,867 | $406,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 9,803 | $406,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 6,100 | $405,000 | thousands by filing date | call |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 32,385 | $405,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 10,264 | $404,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 9,626 | $404,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 431,000 | $402,000 | thousands by filing date | principal |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 18,417 | $402,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 26,964 | $402,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 5,392 | $401,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 22,171 | $401,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 195,718 | $401,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 12,006 | $401,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 17,751 | $401,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 44,782 | $400,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 20,856 | $399,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 38,144 | $397,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 46,929 | $396,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 249,309 | $396,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 62,031 | $395,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 38,213 | $395,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 76,534 | $395,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 59,079 | $395,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 18,426 | $394,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,735 | $394,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 7,795 | $393,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 11,235 | $393,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 25,570 | $393,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 16,867 | $392,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 33,061 | $391,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 13,316 | $391,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 236,615 | $390,000 | thousands by filing date | put |
| TUCOWS INC | 898697206 | COM NEW | 7,189 | $390,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 12,311 | $390,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 23,714 | $389,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 313,000 | $388,000 | thousands by filing date | principal |
| GRAHAM CORP | 384556106 | COM | 19,424 | $386,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 15,375 | $386,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 209,515 | $385,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 12,293 | $383,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 22,916 | $383,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 182,598 | $382,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 290,000 | $382,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,427 | $382,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 14,877 | $382,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 51,512 | $382,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 14,630 | $381,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 771,600 | $380,000 | thousands by filing date | put |
| NEWTEKONE INC | 652526203 | COM NEW | 16,849 | $380,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 18,988 | $379,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 46,357 | $379,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 40,264 | $378,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 28,868 | $378,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 96,362 | $378,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 82,530 | $377,000 | thousands by filing date | put |
| NVIDIA Corp | 67066G104 | COM | 78,700 | $377,000 | thousands by filing date | call |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 69,000 | $377,000 | thousands by filing date | call |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 17,273 | $376,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 31,347 | $375,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 73,254 | $375,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 123,402 | $375,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 3,886 | $374,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 26,400 | $371,000 | thousands by filing date | call |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 11,845 | $370,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 140,629 | $370,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 287,289 | $370,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 25,848 | $370,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 34,974 | $370,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 21,500 | $369,000 | thousands by filing date | call |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 18,000 | $369,000 | thousands by filing date | put |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 218,500 | $369,000 | thousands by filing date | put |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 28,399 | $369,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 43,094 | $369,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 17,184 | $368,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 72,171 | $368,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 25,705 | $365,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 14,685 | $365,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 144,800 | $364,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 400,085 | $363,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 26,300 | $362,000 | thousands by filing date | call |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 24,320 | $361,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 149,770 | $361,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 12,033 | $361,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 34,846 | $360,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 9,519 | $359,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 52,099 | $359,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 452,000 | $358,000 | thousands by filing date | put |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 26,039 | $358,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 11,103 | $357,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 9,951 | $356,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 189,466 | $356,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 267,568 | $356,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 24,622 | $354,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 40,939 | $354,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 48,923 | $353,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 24,452 | $352,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 25,344 | $352,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 34,248 | $352,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 23,309 | $351,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 64,988 | $351,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 29,400 | $350,000 | thousands by filing date | call |
| GULF IS FABRICATION INC | 402307102 | COM | 65,107 | $348,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 23,615 | $348,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 21,347 | $347,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 52,990 | $347,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 79,467 | $346,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 5,374 | $346,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 22,200 | $345,000 | thousands by filing date | call |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 17,345 | $345,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 33,742 | $344,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,164 | $344,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 77,321 | $343,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 26,820 | $343,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 95,401 | $343,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 52,893 | $343,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 30,202 | $342,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 44,154 | $341,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 110,900 | $340,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 113,000 | $340,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 16,000 | $340,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 20,775 | $339,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 22,355 | $338,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 6,610 | $338,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 18,170 | $338,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 5,849 | $337,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 17,558 | $337,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 34,496 | $337,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 38,531 | $337,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 5,594 | $336,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 47,600 | $335,000 | thousands by filing date | call |
| BRT APARTMENTS CORP | 055645303 | REIT | 22,955 | $335,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 25,157 | $335,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 32,400 | $335,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 11,171 | $334,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 21,596 | $333,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 22,902 | $333,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 53,055 | $333,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 75,200 | $333,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 37,283 | $333,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 37,015 | $333,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 26,852 | $332,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 21,521 | $332,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 31,188 | $332,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 16,548 | $332,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 12,297 | $331,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 23,251 | $330,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 8,519 | $329,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 41,784 | $328,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 18,146 | $327,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 35,200 | $327,000 | thousands by filing date | put |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 27,874 | $326,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 112,744 | $326,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 450,300 | $325,000 | thousands by filing date | put |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 13,643 | $325,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 19,085 | $325,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 34,747 | $325,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 189,600 | $324,000 | thousands by filing date | call |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 68,221 | $324,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 33,790 | $324,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 7,294 | $324,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 44,333 | $323,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 22,418 | $323,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 30,457 | $323,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 23,607 | $323,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 59,763 | $323,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 116,828 | $323,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 248,015 | $322,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,338 | $321,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 8,766 | $321,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 22,644 | $321,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 15,481 | $319,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 257,000 | $319,000 | thousands by filing date | principal |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 250,000 | $319,000 | thousands by filing date | principal |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 11,961 | $318,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 7,183 | $318,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 17,811 | $318,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 14,500 | $316,000 | thousands by filing date | call |
| GNC HLDGS INC | 36191G107 | COM CL A | 147,818 | $316,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 174,331 | $316,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 213,000 | $316,000 | thousands by filing date | principal |
| DHI GROUP INC | 23331S100 | COM | 81,975 | $315,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 71,756 | $315,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 92,283 | $315,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 179,659 | $314,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 25,974 | $312,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 16,242 | $312,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 2,738 | $312,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 4,518 | $311,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 14,846 | $311,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 152,483 | $311,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 99,300 | $310,000 | thousands by filing date | call |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 66,026 | $310,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 19,683 | $310,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 18,210 | $310,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 15,540 | $309,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 27,400 | $308,000 | thousands by filing date | call |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 15,001 | $308,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 20,481 | $308,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 22,700 | $307,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 7,384 | $307,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 16,946 | $307,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 11,952 | $306,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 27,804 | $306,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 4,988 | $305,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 5,555 | $304,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 155,200 | $302,000 | thousands by filing date | call |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 4,713 | $302,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 20,903 | $302,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 23,477 | $301,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 41,637 | $301,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 21,922 | $300,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 51,139 | $300,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 24,991 | $299,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 13,567 | $299,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 6,497 | $299,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 19,306 | $298,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 15,861 | $298,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 103,581 | $297,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 22,140 | $297,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 12,346 | $297,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 56,500 | $296,000 | thousands by filing date | put |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 7,155 | $293,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 16,456 | $293,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 9,900 | $292,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 6,852 | $292,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 22,935 | $292,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 38,934 | $292,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 226,947 | $292,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 46,689 | $291,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 16,968 | $291,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 17,743 | $291,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 28,840 | $291,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 23,113 | $289,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 48,368 | $289,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 4,600 | $287,000 | thousands by filing date | put |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 27,648 | $287,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 7,982 | $286,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 50,000 | $284,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 79,301 | $284,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 100,000 | $284,000 | thousands by filing date | call |
| PAPA JOHNS INTL INC | 698813102 | COM | 124,400 | $283,000 | thousands by filing date | call |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 13,146 | $282,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 33,632 | $282,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 14,505 | $282,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 13,012 | $282,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 84,389 | $282,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 28,780 | $281,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 32,957 | $280,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 6,135 | $280,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 30,117 | $279,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 4,059 | $279,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 98,734 | $279,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 71,782 | $278,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 6,990 | $276,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 23,819 | $276,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 13,631 | $276,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 75,301 | $275,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 19,667 | $275,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 5,171 | $275,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 7,990 | $272,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 245,024 | $271,000 | thousands by filing date | put |
| DOLLAR GEN CORP COM | 256677105 | Stock | 6,000 | $271,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 189,600 | $271,000 | thousands by filing date | put |
| DASEKE INC | 23753F107 | COM | 108,601 | $271,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 4,643 | $270,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 19,384 | $270,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 16,617 | $270,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 26,513 | $270,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 31,790 | $270,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 10,572 | $270,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 18,907 | $270,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 30,549 | $268,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 356,800 | $267,000 | thousands by filing date | call |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 13,525 | $266,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 43,067 | $266,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 66,333 | $266,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 539,200 | $265,000 | thousands by filing date | put |
| LIVONGO HEALTH INC | 539183103 | COM | 15,198 | $265,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 118,700 | $264,000 | thousands by filing date | call |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 22,500 | $264,000 | thousands by filing date | put |
| TELENAV INC | 879455103 | COMMON STOCK | 55,306 | $264,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 34,036 | $264,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 37,225 | $264,000 | thousands by filing date | |
| REDFIN CORP | 75737FAA6 | NOTE 1.750% 7/1 | 295,000 | $264,000 | thousands by filing date | principal |
| YUM BRANDS INC COM | 988498101 | Stock | 25,000 | $263,000 | thousands by filing date | call |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 18,718 | $263,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 14,034 | $262,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 39,013 | $262,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 33,606 | $262,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 11,781 | $261,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 78,114 | $261,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 25,997 | $260,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 96,353 | $260,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 78,091 | $259,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 52,302 | $259,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 81,954 | $258,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 22,729 | $258,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 14,242 | $257,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 16,600 | $257,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 679,100 | $256,000 | thousands by filing date | put |
| THL CREDIT INC | 872438106 | COM | 37,610 | $256,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 224,400 | $256,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 166,700 | $255,000 | thousands by filing date | call |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 48,511 | $255,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 105,571 | $254,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 41,571 | $254,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 12,077 | $254,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 118,882 | $254,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 25,131 | $254,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 6,386 | $253,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 31,538 | $253,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 50,319 | $252,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 52,164 | $252,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 253,000 | $252,000 | thousands by filing date | principal |
| Akoustis Technologies Inc | 00973N102 | COM | 32,453 | $251,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 57,505 | $251,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 40,661 | $250,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 1,765,820 | $249,000 | thousands by filing date | put |
| COVIA HLDGS CORP | 22305A103 | COM | 123,490 | $249,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 19,049 | $249,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 19,165 | $248,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 48,593 | $248,000 | thousands by filing date | |
| NEWPARK RES INC | 651718AE8 | NOTE 4.000%12/0 | 225,000 | $248,000 | thousands by filing date | principal |
| OXFORD LANE CAP CORP | 691543102 | COM | 26,587 | $247,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 52,570 | $247,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 11,229 | $247,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 72,586 | $247,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 73,700 | $245,000 | thousands by filing date | put |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 8,266 | $245,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 6,269 | $245,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 233,355 | $245,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 3,498 | $245,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 11,296 | $244,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 51,682 | $244,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 22,356 | $243,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 14,300 | $243,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 341,600 | $242,000 | thousands by filing date | put |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 16,933 | $241,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 28,363 | $241,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 7,204 | $241,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 202,100 | $240,000 | thousands by filing date | put |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 250,000 | $240,000 | thousands by filing date | principal |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 75,792 | $239,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 10,603 | $239,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 6,041 | $238,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 9,627 | $238,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 21,979 | $238,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 225,000 | $237,000 | thousands by filing date | principal |
| GAMCO INVS INC COM | 361438104 | COM | 12,096 | $236,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 16,858 | $236,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 91,401 | $235,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 7,914 | $234,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 118,600 | $233,000 | thousands by filing date | call |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 18,966 | $233,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 9,805 | $233,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 6,438 | $233,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 11,789 | $232,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y574 | ADAPTIVE US | 9,242 | $232,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 5,634 | $232,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 225,000 | $232,000 | thousands by filing date | principal |
| Philip Morris International Inc. | 718172109 | COM | 163,500 | $231,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 5,055 | $230,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 16,281 | $230,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 14,196 | $230,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 37,148 | $230,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 6,382 | $230,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 58,331 | $229,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 58,237 | $229,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 226,000 | $229,000 | thousands by filing date | principal |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 295,000 | $229,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 16,288 | $228,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 90,720 | $228,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 26,945 | $227,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 21,307 | $227,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 7,361 | $226,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 19,458 | $226,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 75,141 | $226,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 18,978 | $225,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 10,844 | $225,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 176,924 | $225,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 19,678 | $224,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 108,202 | $224,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 22,713 | $224,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 35,028 | $224,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 89,665 | $223,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 165,044 | $223,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 50,793 | $223,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 9,106 | $222,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 13,222 | $222,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 255,900 | $221,000 | thousands by filing date | put |
| SYNTHORX INC COM | 87167A103 | Stock | 13,571 | $221,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 24,345 | $221,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 53,132 | $221,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 4,616 | $220,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 55,363 | $219,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 14,495 | $219,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 14,843 | $219,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 7,100 | $218,000 | thousands by filing date | call |
| TEEKAY CORPORATION | Y8564W103 | COM | 54,536 | $218,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,897 | $218,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 111,237 | $218,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 18,100 | $217,000 | thousands by filing date | put |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 4,534 | $217,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 113,476 | $217,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 186,666 | $217,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 36,800 | $216,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 31,515 | $216,000 | thousands by filing date | put |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 11,405 | $216,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 41,710 | $216,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 48,831 | $216,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 8,623 | $216,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 22,060 | $215,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 8,431 | $215,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 45,195 | $215,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 29,823 | $214,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 20,907 | $214,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 212,000 | $213,000 | thousands by filing date | principal |
| UNITED STATES STL CORP NEW | 912909108 | COM | 175,000 | $212,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 26,973 | $211,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 62,400 | $211,000 | thousands by filing date | call |
| VISTA OUTDOOR INC | 928377100 | COM | 34,106 | $211,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 10,148 | $211,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 3,881 | $211,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 210,000 | $210,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 211,000 | $210,000 | thousands by filing date | principal |
| Lifetime Brands Inc | 53222Q103 | COM | 23,480 | $208,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 156,000 | $207,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 14,701 | $207,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 12,412 | $206,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 27,712 | $206,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 211,000 | $206,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD | 72200R107 | COM | 13,583 | $205,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 12,679 | $205,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 2,063 | $205,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,248 | $205,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 209,000 | $205,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 5,900 | $204,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 9,058 | $204,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 30,736 | $204,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 13,684 | $204,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 85,563 | $204,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 16,200 | $203,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 67,000 | $203,000 | thousands by filing date | put |
| CORTEXYME INC | 22053A107 | COM | 8,120 | $203,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 46,812 | $203,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 11,713 | $202,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 295,000 | $202,000 | thousands by filing date | put |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 23,909 | $202,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 239,006 | $202,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 220,000 | $201,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 14,481 | $201,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 22,840 | $201,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 7,273 | $199,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 204,700 | $199,000 | thousands by filing date | put |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 17,606 | $199,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 52,158 | $199,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 60,700 | $198,000 | thousands by filing date | put |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 46,559 | $198,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 1,839 | $198,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 197,000 | $198,000 | thousands by filing date | principal |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 35,774 | $197,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 17,436 | $195,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 80,000 | $195,000 | thousands by filing date | call |
| GTT COMMUNICATIONS INC | 362393100 | COM | 20,677 | $195,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 34,022 | $195,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 7,469 | $195,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 16,165 | $194,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 36,700 | $193,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 51,900 | $192,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 4,219 | $192,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 11,714 | $192,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 23,935 | $192,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 45,494 | $192,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 129,200 | $191,000 | thousands by filing date | call |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 20,938 | $191,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 5,536 | $191,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 152,000 | $191,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 42,500 | $191,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 2,987 | $190,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 4,642 | $190,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 160,886 | $190,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 29,951 | $189,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 22,488 | $189,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 89,694 | $189,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 15,174 | $189,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 195,900 | $188,000 | thousands by filing date | put |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 20,355 | $188,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 33,425 | $188,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 407,000 | $187,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000424 | this filing | 2019-11-12 | acceptance time not in the bulk data set |