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 |
|---|---|---|---|---|---|---|
| ATLASSIAN CORP | G06242104 | CL A | 29,000 | $61,000 | thousands by filing date | put |
| NORDSTROM INC | 655664100 | COM | 16,200 | $61,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 108,128 | $61,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 6,260 | $61,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 50,000 | $61,000 | thousands by filing date | principal |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 61,000 | $61,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $60,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 557,000 | $60,000 | thousands by filing date | call |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 17,340 | $60,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 111,800 | $60,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 100,000 | $60,000 | thousands by filing date | put |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 3,004 | $60,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 22,451 | $60,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 5,613 | $60,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 18,500 | $60,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 4,081 | $60,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 34,716 | $60,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 2,411 | $60,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 11,363 | $59,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 15,886 | $59,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,138 | $58,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 7,072 | $58,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 23,004 | $58,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 54,688 | $58,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 215,000 | $57,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,146 | $57,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 850 | $57,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 29,625 | $57,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 8,000 | $57,000 | thousands by filing date | principal |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,800 | $57,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 73,900 | $56,000 | thousands by filing date | put |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 64,300 | $56,000 | thousands by filing date | call |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 9,695 | $56,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,822 | $56,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 5,520 | $55,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 24,500 | $55,000 | thousands by filing date | put |
| KELLANOVA | 487836108 | COM | 5,300 | $55,000 | thousands by filing date | call |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 4,500 | $55,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 196,900 | $54,000 | thousands by filing date | put |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 2,072 | $54,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $54,000 | thousands by filing date | principal |
| PHUNWARE INC | 71948P100 | COMMON | 37,505 | $54,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 9,000 | $54,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 2,324 | $53,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,817 | $53,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 150,461 | $53,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $53,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 26,732 | $53,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 17,600 | $52,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,048 | $52,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 450 | $52,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 2,000 | $52,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 51,672 | $51,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $51,000 | thousands by filing date | principal |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $51,000 | thousands by filing date | principal |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 100,000 | $50,000 | thousands by filing date | call |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 50,806 | $50,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 14,737 | $50,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 20,000 | $49,000 | thousands by filing date | call |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 182,500 | $49,000 | thousands by filing date | put |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 49,600 | $49,000 | thousands by filing date | put |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 170,000 | $49,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 1,792 | $49,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 1,258 | $49,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,606 | $49,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,403 | $48,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 70,000 | $48,000 | thousands by filing date | put |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 3,545 | $48,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 61,700 | $48,000 | thousands by filing date | put |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 51,000 | $48,000 | thousands by filing date | principal |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 3,041 | $48,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,350 | $48,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 50,000 | $48,000 | thousands by filing date | principal |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 12,189 | $48,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 66,400 | $47,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 61,512 | $47,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,042 | $47,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 3,420 | $47,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 154,600 | $47,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 801 | $47,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 25,000 | $46,000 | thousands by filing date | call |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 4,133 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 81,800 | $45,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,088 | $45,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 867 | $45,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,858 | $45,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,139 | $45,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 1,457 | $45,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 3,298 | $45,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 34,520 | $45,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 4,643 | $44,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 3,716 | $44,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,905 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 463 | $44,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 797 | $44,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 584 | $44,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 8,950 | $44,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 363 | $44,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 30,000 | $44,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 1,346 | $43,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,493 | $43,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 27,867 | $43,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,504 | $43,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 2,453 | $43,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 11,400 | $42,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 300,000 | $42,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 4,000 | $42,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,336 | $42,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 40,000 | $42,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,817 | $42,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 10,500 | $42,000 | thousands by filing date | call |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 11,508 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,401 | $42,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,974 | $42,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 8,600 | $41,000 | thousands by filing date | put |
| AQUA METALS INC | 03837J101 | COM | 23,922 | $41,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 650 | $41,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 31,302 | $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 |
| Axonics | 88875G101 | COM | 6,717 | $41,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 20,000 | $40,000 | thousands by filing date | call |
| TILRAY INC | 88688T100 | COM CL 2 | 1,635 | $40,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,471 | $40,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,785 | $40,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,501 | $40,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 4,524 | $40,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 1,274 | $40,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 30,304 | $40,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 27,897 | $40,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 1,663 | $39,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 4,271 | $39,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 37,701 | $39,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 54,975 | $39,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 1,916 | $38,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 322,600 | $38,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 7,200 | $38,000 | thousands by filing date | call |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,000 | $38,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 16,888 | $38,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 13,243 | $38,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,445 | $38,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 4,600 | $38,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 30,210 | $37,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 608 | $37,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 236 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $37,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 8,046 | $37,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,382 | $37,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,751 | $37,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 2,408 | $37,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 2,246 | $37,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,027 | $37,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 56,990 | $37,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 4,328 | $36,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 5,402 | $36,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 14,011 | $36,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,514 | $36,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 196,200 | $36,000 | thousands by filing date | call |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,285 | $36,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 298 | $36,000 | thousands by filing date | |
| IMEDIA BRANDS INC COM CL A | 452465107 | Stock | 64,534 | $36,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 2,700 | $35,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 109,800 | $35,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 16,000 | $35,000 | thousands by filing date | call |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 66,400 | $35,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 227 | $35,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $35,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,437 | $35,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 50,000 | $35,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 74 | $34,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 32,013 | $34,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 293 | $34,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 11,500 | $34,000 | thousands by filing date | put |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 1,800 | $34,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 11,900 | $33,000 | thousands by filing date | call |
| CME Group Inc. Class A | 12572Q105 | COM | 10,000 | $33,000 | thousands by filing date | put |
| EMERSON ELEC CO COM | 291011104 | Stock | 50,300 | $33,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 77,400 | $33,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 680 | $33,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 8,070 | $33,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,071 | $33,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,187 | $33,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 5,445 | $33,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 38,400 | $33,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,339 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 3,691 | $33,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 25,000 | $32,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 10,000 | $32,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,000 | $32,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 27,000 | $32,000 | thousands by filing date | put |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 455 | $32,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,155 | $32,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 28,016 | $32,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 460,300 | $31,000 | thousands by filing date | call |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 25,000 | $31,000 | thousands by filing date | call |
| ATLANTIC AMERN CORP | 048209100 | COM | 12,000 | $31,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,538 | $31,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,000 | $31,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $31,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 6,000 | $31,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 57,600 | $31,000 | thousands by filing date | put |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,432 | $31,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 15,000 | $30,000 | thousands by filing date | put |
| CSS INDS INC | 125906107 | COMMON STOCK | 7,501 | $30,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 1,195 | $30,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 6,292 | $30,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,150 | $30,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 55,799 | $30,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,249 | $30,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 34,600 | $29,000 | thousands by filing date | put |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 995 | $29,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 5,700 | $29,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,769 | $29,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 2,268 | $29,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,950 | $29,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 75,000 | $29,000 | thousands by filing date | call |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 24,728 | $29,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 23,115 | $29,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $29,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 38,000 | $29,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 21,064 | $29,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 16,634 | $29,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 10,000 | $28,000 | thousands by filing date | put |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 96,400 | $28,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 27,300 | $28,000 | thousands by filing date | call |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 6,812 | $28,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 9,511 | $28,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 69,700 | $28,000 | thousands by filing date | put |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 7,782 | $28,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 13,200 | $28,000 | thousands by filing date | put |
| TRAVELZOO | 89421Q205 | CMN | 2,613 | $28,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 1,936 | $28,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 31,100 | $27,000 | thousands by filing date | put |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 29,200 | $27,000 | thousands by filing date | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 292,100 | $27,000 | thousands by filing date | call |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 1,000 | $27,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 2,202 | $27,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 2,346 | $27,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 3,500 | $27,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 27,000 | $27,000 | thousands by filing date | principal |
| Starbucks Corporation | 855244109 | COM | 25,000 | $26,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,500 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 50,000 | $26,000 | thousands by filing date | put |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 7,200 | $26,000 | thousands by filing date | call |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,567 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 559 | $26,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,500 | $26,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 17,000 | $26,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,372 | $26,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 7,291 | $26,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,291 | $26,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 26,000 | $26,000 | thousands by filing date | principal |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 27,000 | $25,000 | thousands by filing date | call |
| GENUINE PARTS CO COM | 372460105 | Stock | 12,700 | $25,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 67,500 | $25,000 | thousands by filing date | put |
| COMMERCE BANCSHARES INC | 200525103 | COM | 20,800 | $25,000 | thousands by filing date | put |
| UNITED GUARDIAN INC | 910571108 | COM | 1,300 | $25,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 616 | $25,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 4,266 | $25,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,195 | $25,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 13,231 | $25,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $25,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 23,000 | $25,000 | thousands by filing date | principal |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 1,101 | $24,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 6,534 | $24,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 100,000 | $24,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,700 | $24,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 94,800 | $24,000 | thousands by filing date | put |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 600 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 915 | $24,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 980 | $24,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 108,773 | $24,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,001 | $24,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,060 | $23,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 10,000 | $23,000 | thousands by filing date | put |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,335 | $23,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 35,200 | $23,000 | thousands by filing date | call |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 5,854 | $23,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,000 | $23,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 50,000 | $23,000 | thousands by filing date | call |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 24,000 | $23,000 | thousands by filing date | principal |
| J JILL INC | 46620W102 | COM | 12,135 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 11,700 | $22,000 | thousands by filing date | call |
| Accenture Plc Class A | G1151C101 | COM | 55,910 | $22,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 5,600 | $22,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,101 | $22,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 9,000 | $22,000 | thousands by filing date | principal |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $22,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 32,898 | $22,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,600 | $22,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 700 | $21,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 26,000 | $21,000 | thousands by filing date | call |
| CHEESECAKE FACTORY INC | 163072101 | COM | 56,000 | $21,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 850 | $21,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,010 | $21,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 165,600 | $21,000 | thousands by filing date | put |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,654 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $21,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,340 | $21,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 40,000 | $20,000 | thousands by filing date | put |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,450 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 700 | $20,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,000 | $20,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,500 | $20,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 2,500 | $20,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 44,420 | $20,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 9,800 | $19,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,207 | $19,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 30,200 | $19,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,001 | $19,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 2,857 | $19,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 7,361 | $19,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 6,155 | $19,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,045 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 147 | $19,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $19,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 3,850 | $19,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 25,750 | $19,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 557 | $19,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 713 | $19,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 128,300 | $19,000 | thousands by filing date | put |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $19,000 | thousands by filing date | principal |
| Merck & Co.,Inc. | 58933Y105 | COM | 20,900 | $18,000 | thousands by filing date | put |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 50,000 | $18,000 | thousands by filing date | put |
| COMERICAINC | 200340107 | COM | 30,000 | $18,000 | thousands by filing date | call |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 70,000 | $18,000 | thousands by filing date | put |
| ORGENESIS INC | 68619K204 | COM | 4,000 | $18,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,652 | $18,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 1,527 | $18,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 7,500 | $18,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 9,209 | $18,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,253 | $18,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $18,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,500 | $18,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 545 | $17,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 9,925 | $17,000 | thousands by filing date | put |
| LOOP INDS INC | 543518104 | COM | 1,360 | $17,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 497 | $17,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 8,900 | $17,000 | thousands by filing date | call |
| VEONEER INC | 92336X109 | COM | 1,122 | $17,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 5,451 | $17,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,452 | $17,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 198,700 | $17,000 | thousands by filing date | put |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,800 | $17,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,900 | $16,000 | thousands by filing date | put |
| Waste Management, Inc. | 94106L109 | COM | 70,500 | $16,000 | thousands by filing date | call |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,067 | $16,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 1,000 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 536 | $16,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,950 | $16,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,351 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 425 | $16,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $16,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,110 | $16,000 | thousands by filing date | |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 16,000 | $16,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $16,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,671 | $16,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 3,200 | $15,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 22,300 | $15,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 295 | $15,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 250 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 739 | $15,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 655 | $15,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 100,000 | $15,000 | thousands by filing date | call |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 3,957 | $15,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 61,400 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 1,385 | $15,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 58,500 | $14,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 8,200 | $14,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 297 | $14,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,049 | $14,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $14,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 150 | $14,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 2,007 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 526 | $14,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,000 | $14,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,500 | $14,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 6,900 | $13,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 180,200 | $13,000 | thousands by filing date | call |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,200 | $13,000 | thousands by filing date | put |
| HERBALIFE LTD | G4412G101 | COM SHS | 9,400 | $13,000 | thousands by filing date | call |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 14,100 | $13,000 | thousands by filing date | put |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,120 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $13,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,500 | $13,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 12,500 | $13,000 | thousands by filing date | put |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 13,000 | $13,000 | thousands by filing date | principal |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 860 | $13,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 493 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 507 | $13,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 10,101 | $13,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 10,100 | $12,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 21,300 | $12,000 | thousands by filing date | put |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,569 | $12,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 251 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 726 | $12,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,500 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 752 | $12,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,000 | $12,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $12,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 5,000 | $12,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,170 | $12,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 9,346 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $12,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 5,500 | $12,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 16,922 | $12,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,727 | $11,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,945 | $11,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 25,000 | $11,000 | thousands by filing date | put |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 83,500 | $11,000 | thousands by filing date | put |
| Concho Resources Inc. | 20605P101 | COM | 8,100 | $11,000 | thousands by filing date | put |
| CDK GLOBAL INC | 12508E101 | COM | 8,500 | $11,000 | thousands by filing date | call |
| VALUE LINE INC | 920437100 | COMMON STOCK | 483 | $11,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 14,286 | $11,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 21,201 | $11,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 715 | $11,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,474 | $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 | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 757 | $11,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 29,200 | $11,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 1,000 | $11,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 16,200 | $10,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 200,000 | $10,000 | thousands by filing date | call |
| Lockheed Martin Corporation | 539830109 | COM | 15 | $10,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 39 | $10,000 | thousands by filing date | put |
| Texas Instruments Incorporated | 882508104 | COM | 135,200 | $10,000 | thousands by filing date | put |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 20,400 | $10,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 44,000 | $10,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 233,000 | $10,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $10,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 58,000 | $10,000 | thousands by filing date | call |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 142 | $10,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 200 | $10,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,001 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 227 | $10,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 31,190 | $10,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 365 | $10,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 501 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 9,000 | $10,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $10,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,000 | $9,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 7,700 | $9,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $9,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 851 | $9,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 20,000 | $9,000 | thousands by filing date | put |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 400 | $9,000 | thousands by filing date | put |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 386 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 4,738 | $9,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $9,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 400 | $9,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,200 | $9,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 3,918 | $9,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 483 | $9,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 375 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 251 | $9,000 | thousands by filing date | |
| KRANESHARES TR | 500767728 | LRG CAP QTY DIVD | 330 | $9,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 20,000 | $9,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 2,000 | $9,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 5,000 | $9,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 3,000 | $9,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 8,600 | $9,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 1,959 | $9,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 4,119 | $9,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 2,359 | $9,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 45,000 | $8,000 | thousands by filing date | call |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 47,200 | $8,000 | thousands by filing date | call |
| CENTENE CORP DEL COM | 15135B101 | Stock | 5,900 | $8,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 40,000 | $8,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $8,000 | thousands by filing date | put |
| OPKO HEALTH INC | 68375N103 | COM | 18,200 | $8,000 | thousands by filing date | call |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 265 | $8,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 510 | $8,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 103,800 | $8,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 100,000 | $8,000 | thousands by filing date | call |
| VEON LTD | 91822M106 | SPONSORED ADR | 3,490 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 517 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 230 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 353 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 77 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,003 | $8,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 1,601 | $8,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 907 | $8,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 16,500 | $8,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 6,775 | $8,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 15,000 | $8,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,667 | $8,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,000 | $8,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 3,749 | $8,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 415 | $8,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 900 | $7,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 11,100 | $7,000 | thousands by filing date | put |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 47,000 | $7,000 | 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 |