13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-10, with 7,265 holding rows worth $110,974,199,000.
- Accession
- 0000831001-17-000034
- Filer
- CIK 831001
- Filed
- 2017-02-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 15,518 entries on the cover page, a total value of $110,974,199,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $110,974,199,000 with VALUE read as thousands by filing date, 13F file number 028-02427. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAcciones y Valores Banamex, S.A. de C.V., Casa de Bolsa, integrante del Grupo Financiero Banamex028-10815
- included managerCiti GSCP Inc.028-16164
- included managerCiti Overseas Investments Bahamas Inc.028-10818
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp028-11520
- included managerCiticorp (Mexico) Holdings LLC028-10819
- included managerCiticorp Banking Corp028-04349
- included managerCiticorp Trust Delaware, National Association028-12382
- included managerCiticorp Trust South Dakota028-12977
- included managerCitigroup Capital Partners Mexico, S. de R.L. de C.V.028-16170
- included managerCitigroup Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Deutschland AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- included managerCitigroup Global Markets Finance Corp & Co. beschrankt haftende KG028-10821
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets International LLC028-04311
- included managerCitigroup Global Markets Ltd028-04309
- included managerCitigroup Niagra Holdings LLC028-16171
- included managerCOHM Overseas Mexico Holding, S. de R.L. de C.V.028-14268
- included managerGrupo Financiero Banamex, S.A. de C.V.028-10816
- included managerImpulsora de Fondos Banamex, S.A. de C.V., Sociedad Operadora de Sociedades de Inversion028-10822
- included managerNAMGK Mexico Holding, S. de R.L. de C.V.028-16172
- included managerTRV Holdings LLC028-16173
- included managerTRV Investments LLC028-16174
- included managerCitigroup Inc. 028-02427
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 |
|---|---|---|---|---|---|---|
| KADMON HLDGS INC | 48283N106 | COM | 51,954 | $278,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,956 | $277,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 86,000 | $277,000 | thousands by filing date | call |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 26,618 | $277,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 23,815 | $277,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,800 | $276,000 | thousands by filing date | put |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 18,600 | $276,000 | thousands by filing date | call |
| CELANESE CORP DEL COM | 150870103 | Stock | 3,500 | $276,000 | thousands by filing date | call |
| HCP INC | 40414L109 | COM | 9,300 | $276,000 | thousands by filing date | put |
| SMART SAND INC | 83191H107 | COM | 16,712 | $276,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 20,471 | $276,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 13,018 | $276,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 9,523 | $276,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 15,960 | $276,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 3,800 | $275,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 10,167 | $275,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 41,884 | $275,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 22,146 | $274,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 20,424 | $274,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 24,500 | $273,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 24,394 | $272,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 19,696 | $272,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 9,041 | $272,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 18,314 | $272,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 10,969 | $272,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 2,100 | $271,000 | thousands by filing date | call |
| DAILY JOURNAL CORP | 233912104 | COM | 1,120 | $271,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 9,600 | $271,000 | thousands by filing date | put |
| EVERBRIDGE INC | 29978A104 | COM | 14,708 | $271,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 27,344 | $269,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 5,228 | $269,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 17,530 | $269,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 16,342 | $268,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 2,986 | $268,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 12,400 | $267,000 | thousands by filing date | put |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 5,100 | $267,000 | thousands by filing date | call |
| WABCO HLDGS INC | 92927K102 | COM | 2,520 | $267,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 4,191 | $266,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 4,408 | $266,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 27,351 | $266,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 22,880 | $265,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 15,143 | $265,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 5,285 | $265,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 31,514 | $265,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 45,300 | $265,000 | thousands by filing date | put |
| ZIX CORP | 98974P100 | COM | 53,579 | $265,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 5,000 | $264,000 | thousands by filing date | call |
| KBR INC COM | 48242W106 | Stock | 15,800 | $264,000 | thousands by filing date | put |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 28,184 | $264,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 3,631 | $264,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 46,222 | $264,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 49,300 | $264,000 | thousands by filing date | put |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 155,231 | $264,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 3,170 | $263,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 2,206 | $263,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 107,171 | $262,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 19,455 | $261,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 61,327 | $260,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 15,700 | $260,000 | thousands by filing date | call |
| China Yuchai Intl Ltd | G21082105 | COM | 18,758 | $260,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 22,058 | $260,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 584,793 | $260,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 260,000 | $260,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 148,400 | $260,000 | thousands by filing date | put |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 7,667 | $260,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 7,627 | $259,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 18,894 | $259,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 11,009 | $258,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 7,200 | $258,000 | thousands by filing date | put |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 14,704 | $257,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 71,219 | $257,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 30,249 | $257,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 9,300 | $256,000 | thousands by filing date | call |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 16,028 | $256,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 1,900 | $256,000 | thousands by filing date | call |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 13,860 | $256,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 18,185 | $256,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 43,700 | $255,000 | thousands by filing date | call |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 22,529 | $255,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 17,205 | $255,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 274,000 | $255,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624208 | COM NEW | 35,600 | $255,000 | thousands by filing date | put |
| UCP INC - CL A | 90265Y106 | Common Stock | 21,175 | $255,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 2,706 | $254,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 24,800 | $254,000 | thousands by filing date | put |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 9,558 | $254,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 22,800 | $254,000 | thousands by filing date | put |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 92,600 | $253,000 | thousands by filing date | put |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 5,000 | $252,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 59,825 | $251,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 35,378 | $251,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 17,515 | $250,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 13,005 | $250,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 13,100 | $249,000 | thousands by filing date | put |
| ABIOMED INC | 003654100 | COM | 2,208 | $249,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 22,407 | $249,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 7,806 | $249,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 53,400 | $249,000 | thousands by filing date | call |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 4,145 | $249,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 8,600 | $248,000 | thousands by filing date | call |
| ABIOMED INC | 003654100 | COM | 2,200 | $248,000 | thousands by filing date | call |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 56,954 | $248,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 2,357 | $248,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 37,400 | $248,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 7,449 | $247,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 2,700 | $247,000 | thousands by filing date | call |
| NV5 HOLDINGS, INC | 62945V109 | COM | 7,389 | $247,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 15,879 | $247,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 5,720 | $246,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 11,594 | $246,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 25,900 | $246,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25490K513 | DLY CYB SEC BULL | 6,702 | $246,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 10,900 | $245,000 | thousands by filing date | put |
| COUNTY BANCORP INC | 221907108 | COM | 9,094 | $245,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 383,440 | $244,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 16,172 | $244,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 6,000 | $243,000 | thousands by filing date | put |
| TECHTARGET INC | 87874R100 | COM | 28,499 | $243,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 6,500 | $243,000 | thousands by filing date | put |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,000 | $242,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 5,900 | $242,000 | thousands by filing date | call |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 9,784 | $242,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 4,300 | $241,000 | thousands by filing date | call |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 26,013 | $241,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 16,700 | $240,000 | thousands by filing date | call |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 11,555 | $240,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 9,900 | $240,000 | thousands by filing date | call |
| SPARTON CORP | 847235108 | COM | 10,067 | $240,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 5,921 | $240,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 11,547 | $239,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 6,611 | $238,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 18,282 | $238,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 12,400 | $238,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 1,323 | $238,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 7,400 | $237,000 | thousands by filing date | call |
| ACCELERON PHARMA INC | 00434H108 | COM | 9,300 | $237,000 | thousands by filing date | call |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 9,281 | $237,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 14,485 | $237,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 6,036 | $236,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 20,020 | $236,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 19,035 | $236,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 33,805 | $236,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 12,850 | $235,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 5,579 | $235,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 31,753 | $235,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 8,311 | $235,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 8,120 | $235,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 34,707 | $235,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 23,700 | $234,000 | thousands by filing date | call |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 8,700 | $234,000 | thousands by filing date | put |
| NEKTAR THERAPEUTICS | 640268108 | COM | 19,100 | $234,000 | thousands by filing date | put |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 11,800 | $234,000 | thousands by filing date | call |
| OOMA INC | 683416101 | COM | 25,920 | $233,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 5,700 | $232,000 | thousands by filing date | call |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,462 | $232,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 152,000 | $232,000 | thousands by filing date | principal |
| AKORN INC | 009728106 | COM | 10,600 | $231,000 | thousands by filing date | call |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 12,700 | $231,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 3,100 | $230,000 | thousands by filing date | put |
| MANULIFE FINL CORP | 56501R106 | COM | 12,900 | $230,000 | thousands by filing date | call |
| SYNAPTICS INC COM | 87157D109 | Stock | 4,300 | $230,000 | thousands by filing date | put |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 2,171 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 2,503 | $230,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 9,583 | $230,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 4,591 | $229,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 6,400 | $228,000 | thousands by filing date | call |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 17,100 | $228,000 | thousands by filing date | call |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 20,034 | $228,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 13,700 | $228,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 52,402 | $228,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 20,658 | $227,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 17,093 | $227,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 116,992 | $227,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 49,229 | $227,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 17,700 | $227,000 | thousands by filing date | call |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 6,386 | $226,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 14,586 | $226,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 6,058 | $226,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 5,100 | $225,000 | thousands by filing date | put |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 2,617 | $225,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 25,962 | $225,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 223,000 | $225,000 | thousands by filing date | principal |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 9,689 | $225,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 15,100 | $225,000 | thousands by filing date | put |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,048 | $224,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 5,200 | $224,000 | thousands by filing date | put |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 1,600 | $224,000 | thousands by filing date | call |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 4,156 | $224,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 81,440 | $224,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 11,790 | $224,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 35,921 | $224,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 3,084 | $223,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 10,912 | $223,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 61,014 | $222,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 12,418 | $222,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 59,171 | $222,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 31,564 | $221,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 12,000 | $221,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 36,400 | $220,000 | thousands by filing date | call |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 16,521 | $220,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 4,600 | $220,000 | thousands by filing date | call |
| CAESARSTONE LTD | M20598104 | ORD SHS | 7,655 | $220,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 57,750 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 6,270 | $219,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 5,500 | $219,000 | thousands by filing date | put |
| COTY INC | 222070203 | COM CL A | 11,900 | $218,000 | thousands by filing date | put |
| PARTY CITY HOLDCO INC | 702149105 | COM | 15,340 | $218,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 77,900 | $218,000 | thousands by filing date | put |
| RICE ENERGY INC | 762760106 | COM | 10,200 | $218,000 | thousands by filing date | call |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 11,500 | $217,000 | thousands by filing date | put |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,429 | $217,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 8,673 | $217,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 7,224 | $217,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 71,700 | $216,000 | thousands by filing date | call |
| OWENS RLTY MTG INC | 690828108 | COM | 11,663 | $216,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 2,218 | $215,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 197,000 | $215,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 14,997 | $215,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 23,968 | $214,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 32,400 | $214,000 | thousands by filing date | call |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 13,580 | $214,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 4,481 | $214,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 9,062 | $214,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 16,100 | $213,000 | thousands by filing date | call |
| COSTAMARE INC | Y1771G102 | SHS | 37,882 | $213,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 2,156 | $213,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 9,618 | $213,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 6,810 | $213,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 11,437 | $213,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,296 | $213,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,572 | $213,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 3,300 | $212,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,938 | $212,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 14,492 | $212,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K497 | DLY CYB SEC BEAR | 7,478 | $212,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 20,784 | $211,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 5,623 | $210,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 3,028 | $210,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 18,500 | $209,000 | thousands by filing date | put |
| GREEN PLAINS INC | 393222104 | COM | 7,500 | $209,000 | thousands by filing date | put |
| CHIMERIX INC COM | 16934W106 | Stock | 45,470 | $209,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 14,531 | $209,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 2,300 | $209,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 16,507 | $208,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 5,063 | $208,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 6,303 | $208,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 24,966 | $208,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 35,300 | $207,000 | thousands by filing date | call |
| CARE COM INC | 141633107 | COM | 24,179 | $207,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 11,151 | $206,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 27,900 | $206,000 | thousands by filing date | call |
| CONTROL4 CORP | 21240D107 | COM | 20,224 | $206,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 3,200 | $205,000 | thousands by filing date | call |
| AGNC INVT CORP COM | 00123Q104 | REIT | 11,300 | $205,000 | thousands by filing date | call |
| INVESCO SR INCOME TR | 46131H107 | COM | 44,252 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 12,407 | $205,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 9,785 | $205,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 79,269 | $204,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 3,935 | $204,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 16,351 | $204,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 6,300 | $203,000 | thousands by filing date | call |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 1,200 | $203,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 169,400 | $203,000 | thousands by filing date | put |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 4,800 | $203,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 97,492 | $203,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 14,300 | $202,000 | thousands by filing date | put |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 2,515 | $202,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 30,171 | $202,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 20,606 | $202,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 14,698 | $201,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 8,000 | $201,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,900 | $201,000 | thousands by filing date | call |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,939 | $200,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 12,987 | $200,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 33,801 | $200,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 3,060 | $199,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 19,711 | $199,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 18,000 | $199,000 | thousands by filing date | call |
| Gulfport Energy | 402635304 | COM | 9,200 | $199,000 | thousands by filing date | call |
| FRANCO NEV CORP COM | 351858105 | Stock | 3,300 | $198,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 14,800 | $198,000 | thousands by filing date | put |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 14,343 | $198,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 23,700 | $198,000 | thousands by filing date | put |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 14,300 | $198,000 | thousands by filing date | call |
| CARBONITE INC | 141337105 | COM | 12,056 | $198,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 25,400 | $198,000 | thousands by filing date | call |
| CEMPRA INC | 15130J109 | COM | 70,800 | $198,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 22,573 | $198,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 11,900 | $197,000 | thousands by filing date | put |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 5,800 | $197,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 40,229 | $196,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 2,700 | $196,000 | thousands by filing date | call |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 76,986 | $196,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,360 | $195,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 14,300 | $195,000 | thousands by filing date | call |
| BURLINGTON STORES INC COM | 122017106 | Stock | 2,300 | $195,000 | thousands by filing date | call |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,601 | $195,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 8,685 | $195,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 2,563 | $194,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 26,400 | $194,000 | thousands by filing date | put |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 7,396 | $194,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 8,678 | $194,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 14,438 | $194,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,114 | $193,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 18,898 | $193,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 32,081 | $193,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 5,000 | $193,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 2,900 | $192,000 | thousands by filing date | call |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 8,800 | $192,000 | thousands by filing date | call |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,965 | $192,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 13,600 | $192,000 | thousands by filing date | call |
| TIDEWATER INC | 886423102 | COM | 56,357 | $192,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 3,883 | $191,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 12,142 | $191,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 8,200 | $191,000 | thousands by filing date | call |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 11,165 | $191,000 | thousands by filing date | call |
| ADVAXIS INC | 007624208 | COM NEW | 26,593 | $191,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 6,551 | $190,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 23,093 | $190,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 6,180 | $190,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 34,499 | $190,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 17,103 | $190,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,782 | $190,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 21,860 | $190,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 9,847 | $189,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,088 | $189,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 6,640 | $189,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,800 | $189,000 | thousands by filing date | call |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 8,868 | $189,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 169,000 | $189,000 | thousands by filing date | principal |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 4,500 | $188,000 | thousands by filing date | put |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 3,054 | $188,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 57,832 | $188,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 32,650 | $187,000 | thousands by filing date | call |
| B/E AEROSPACE INC | 073302101 | COM | 3,100 | $187,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 1,734 | $186,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,000 | $186,000 | thousands by filing date | put |
| OVASCIENCE INC | 69014Q101 | COM | 121,280 | $186,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 9,978 | $186,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 4,400 | $185,000 | thousands by filing date | put |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 9,479 | $185,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 3,200 | $185,000 | thousands by filing date | put |
| HENNESSY ADVISORS INC | 425885100 | COM | 5,795 | $184,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 5,380 | $184,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 3,151 | $183,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 6,900 | $183,000 | thousands by filing date | put |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 18,080 | $183,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 7,207 | $182,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 29,631 | $182,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 2,600 | $181,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 29,353 | $181,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 19,493 | $181,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 3,000 | $181,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 10,692 | $181,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 4,926 | $180,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 4,394 | $180,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 71,412 | $180,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 17,769 | $179,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 12,326 | $179,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 5,677 | $179,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 33,148 | $179,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 81,245 | $179,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 7,287 | $179,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 188,000 | $179,000 | thousands by filing date | principal |
| IRON MTN INC DEL COM | 46284V101 | REIT | 5,470 | $178,000 | thousands by filing date | put |
| GODADDY INC CL A | 380237107 | Stock | 5,097 | $178,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 9,829 | $178,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 23,544 | $178,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 10,621 | $178,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,899 | $178,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 24,535 | $178,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 3,916 | $178,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 12,790 | $178,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 39,768 | $178,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 4,500 | $177,000 | thousands by filing date | put |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 1,100 | $177,000 | thousands by filing date | call |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 8,400 | $177,000 | thousands by filing date | call |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 9,600 | $177,000 | thousands by filing date | call |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 5,175 | $177,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 6,773 | $176,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 11,421 | $176,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 5,353 | $176,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 117,481 | $176,000 | thousands by filing date | |
| BSFT 1 9/01/22 | 11133BAD4 | Bond 30/360P2 U | 146,000 | $176,000 | thousands by filing date | principal |
| MATADOR RES CO COM | 576485205 | Stock | 6,790 | $175,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 3,691 | $175,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 8,140 | $175,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 11,500 | $175,000 | thousands by filing date | put |
| INVENSENSE INC | 46123D205 | COM | 13,700 | $175,000 | thousands by filing date | put |
| SEASPAN CORP | Y75638109 | SHS | 19,071 | $175,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 60,700 | $174,000 | thousands by filing date | call |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 11,170 | $174,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 273,900 | $174,000 | thousands by filing date | call |
| PLANET PAYMENT INC | U72603118 | SHS | 42,607 | $174,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 4,741 | $173,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 9,353 | $173,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 4,800 | $173,000 | thousands by filing date | call |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 3,000 | $173,000 | thousands by filing date | call |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 6,519 | $173,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 8,000 | $173,000 | thousands by filing date | put |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 32,900 | $173,000 | thousands by filing date | put |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,206 | $172,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 27,191 | $172,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 1,500 | $172,000 | thousands by filing date | put |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 33,701 | $172,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 4,385 | $172,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 39,262 | $172,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 34,576 | $172,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 15,593 | $172,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 2,000 | $171,000 | thousands by filing date | put |
| MEDLEY CAP CORP | 58503F106 | COM | 22,868 | $171,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 5,081 | $171,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 24,941 | $171,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 5,218 | $171,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 2,451 | $171,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 3,500 | $170,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 11,714 | $170,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 6,100 | $170,000 | thousands by filing date | call |
| CABELAS INC | 126804301 | COM | 2,900 | $170,000 | thousands by filing date | call |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 14,328 | $170,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 127,351 | $170,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 12,100 | $169,000 | thousands by filing date | call |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 2,538 | $169,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 8,705 | $169,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 13,065 | $169,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 170,000 | $169,000 | thousands by filing date | principal |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 7,644 | $168,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 15,400 | $168,000 | thousands by filing date | call |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 4,600 | $168,000 | thousands by filing date | call |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 13,509 | $168,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 39,078 | $168,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 22,242 | $168,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 13,738 | $167,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 5,229 | $167,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 8,530 | $167,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 8,292 | $167,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 1,100 | $167,000 | thousands by filing date | put |
| SYNAPTICS INC COM | 87157D109 | Stock | 3,100 | $166,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 33,400 | $166,000 | thousands by filing date | put |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 40,700 | $166,000 | thousands by filing date | call |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 39,099 | $166,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 7,245 | $165,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 29,500 | $165,000 | thousands by filing date | call |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 1,134 | $164,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 12,100 | $164,000 | thousands by filing date | put |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 2,937 | $164,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 3,250 | $164,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 12,755 | $164,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 4,726 | $164,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 14,799 | $164,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 2,900 | $163,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 1,700 | $163,000 | thousands by filing date | call |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 11,420 | $163,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 14,542 | $163,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 103,200 | $163,000 | thousands by filing date | call |
| DERMIRA INC | 24983L104 | COM | 5,391 | $163,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 11,700 | $162,000 | thousands by filing date | put |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 8,010 | $162,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 14,110 | $161,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 8,430 | $161,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 159,000 | $161,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 65,160 | $160,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 5,804 | $160,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 96,683 | $160,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 67,321 | $160,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 27,900 | $160,000 | thousands by filing date | put |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 12,245 | $160,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 155,000 | $160,000 | thousands by filing date | principal |
| Foundation Medicine Inc | 350465100 | COM | 9,038 | $160,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 1,855 | $159,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 7,614 | $159,000 | thousands by filing date | call |
| RADISYS CORP | 750459109 | COM | 35,852 | $159,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 200 | $158,000 | thousands by filing date | put |
| TEGNA INC COM | 87901J105 | Stock | 7,427 | $158,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 4,575 | $158,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 2,700 | $158,000 | thousands by filing date | put |
| ESSA BANCORP INC COM | 29667D104 | Stock | 10,061 | $158,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 22,222 | $158,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 2,157 | $157,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 4,200 | $157,000 | thousands by filing date | call |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 13,208 | $157,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 6,554 | $156,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,400 | $156,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 2,200 | $156,000 | thousands by filing date | call |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 200,000 | $156,000 | thousands by filing date | principal |
| ECLIPSE RES CORP | 27890G100 | COM | 58,168 | $156,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 12,400 | $155,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,000 | $155,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 33,690 | $155,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 3,682 | $155,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 5,550 | $155,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 8,600 | $155,000 | thousands by filing date | put |
| EXELIXIS INC COM | 30161Q104 | Stock | 10,300 | $154,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 5,300 | $154,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 3,700 | $154,000 | thousands by filing date | call |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 16,282 | $154,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 6,400 | $154,000 | thousands by filing date | put |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 101,000 | $154,000 | thousands by filing date | principal |
| PACKAGING CORP AMER COM | 695156109 | Stock | 1,800 | $153,000 | thousands by filing date | put |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 3,100 | $153,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-17-000034 | this filing | 2017-02-10 | acceptance time not in the bulk data set |