13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-13, with 7,816 holding rows worth $112,091,996,000.
- Accession
- 0000831001-18-000166
- Filer
- CIK 831001
- Filed
- 2018-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 16,907 entries on the cover page, a total value of $112,091,996,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $112,091,996,000 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 managerCiti GSCP Inc.028-16164
- included managerCiti Overseas Investments Bahamas Inc.028-10818
- included managerCITIBANAMEX CASA DE BOLSA, S.A. DE C.V., CASA DE BOLSA, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX028-10815
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp LLC028-11520
- 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 Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Europe AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- 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 FONDOS DE INVERSION, INTEGRANTE DEL GRUPO FINANCIERO BANAMEX028-10822
- 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 |
|---|---|---|---|---|---|---|
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 7,486 | $91,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 2,649 | $91,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,200 | $91,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 4,880 | $91,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 3,216 | $91,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 2,151 | $90,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 7,800 | $90,000 | thousands by filing date | put |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 2,678 | $90,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 3,200 | $90,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 2,174 | $90,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 2,100 | $90,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 26,600 | $90,000 | thousands by filing date | call |
| PCSB FINL CORP COM | 69324R104 | Stock | 4,437 | $90,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 8,351 | $90,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 14,947 | $90,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,816 | $90,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 2,580 | $90,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 3,591 | $89,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,600 | $89,000 | thousands by filing date | put |
| CHANNELADVISOR CORP | 159179100 | COM | 7,153 | $89,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 8,888 | $89,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 900 | $88,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 111,700 | $88,000 | thousands by filing date | call |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 6,500 | $88,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,189 | $88,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 7,100 | $88,000 | thousands by filing date | put |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 3,100 | $88,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 2,135 | $88,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 1,900 | $88,000 | thousands by filing date | call |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 23,660 | $88,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 1,000 | $87,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 3,955 | $87,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 107,463 | $87,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 1,516 | $87,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 4,086 | $87,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 2,319 | $87,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 26,300 | $87,000 | thousands by filing date | call |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 1,496 | $87,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 2,578 | $87,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 7,748 | $86,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 3,970 | $86,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 589 | $86,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 3,900 | $86,000 | thousands by filing date | call |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 12,162 | $86,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 15,000 | $86,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 2,214 | $86,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 6,800 | $85,000 | thousands by filing date | put |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 1,441 | $85,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 2,300 | $85,000 | thousands by filing date | call |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 1,800 | $85,000 | thousands by filing date | call |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 3,691 | $85,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 2,434 | $85,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 2,701 | $85,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 3,610 | $85,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 43,700 | $85,000 | thousands by filing date | call |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 5,236 | $85,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 6,155 | $85,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 17,211 | $84,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 4,746 | $84,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 11,600 | $84,000 | thousands by filing date | put |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 7,232 | $84,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 6,175 | $84,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 6,610 | $84,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 5,291 | $84,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 3,821 | $84,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 3,819 | $84,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 1,980 | $83,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 9,503 | $83,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 1,631 | $83,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 2,706 | $83,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 5,016 | $83,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 3,263 | $83,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 6,948 | $83,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 4,451 | $83,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 646 | $82,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 1,100 | $82,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 44,584 | $82,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 4,500 | $82,000 | thousands by filing date | call |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 7,207 | $82,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,807 | $82,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 2,807 | $82,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,927 | $82,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 14,925 | $82,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 1,768 | $82,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 2,502 | $82,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 9,758 | $82,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 5,242 | $82,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 6,527 | $82,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 3,310 | $82,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 3,400 | $82,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,425 | $82,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 7,294 | $82,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 5,400 | $81,000 | thousands by filing date | call |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,000 | $81,000 | thousands by filing date | put |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 7,720 | $81,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,851 | $81,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 11,100 | $81,000 | thousands by filing date | call |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 809 | $81,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 5,825 | $81,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 7,504 | $81,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 5,858 | $81,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 4,200 | $81,000 | thousands by filing date | put |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 4,384 | $81,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 461 | $80,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,000 | $80,000 | thousands by filing date | put |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 17,100 | $80,000 | thousands by filing date | call |
| BRUNSWICK CORP | 117043109 | COM | 1,200 | $80,000 | thousands by filing date | call |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 365 | $80,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 3,800 | $80,000 | thousands by filing date | put |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 12,000 | $80,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 5,217 | $80,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 1,500 | $80,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 14,254 | $80,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 6,683 | $80,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 3,278 | $80,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 12,933 | $80,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 1,089 | $79,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 41,200 | $79,000 | thousands by filing date | call |
| BJS RESTAURANTS INC | 09180C106 | COM | 1,100 | $79,000 | thousands by filing date | put |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,511 | $79,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 19,124 | $79,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 5,000 | $79,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 73,500 | $79,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 3,700 | $79,000 | thousands by filing date | put |
| COVIA HLDGS CORP | 22305A103 | COM | 8,833 | $79,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,117 | $78,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 8,996 | $78,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 5,571 | $78,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 9,805 | $78,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 1,400 | $78,000 | thousands by filing date | call |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 4,300 | $78,000 | thousands by filing date | put |
| TUCOWS INC | 898697206 | COM NEW | 1,400 | $78,000 | thousands by filing date | call |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 835 | $78,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 2,933 | $78,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 15,660 | $78,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 2,395 | $78,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 15,228 | $78,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,873 | $78,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 37,182 | $78,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 4,747 | $78,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 3,410 | $78,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 5,700 | $77,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 4,793 | $77,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 6,927 | $77,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 1,000 | $77,000 | thousands by filing date | call |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,868 | $77,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 2,861 | $77,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 7,180 | $77,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 5,216 | $77,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 75,000 | $77,000 | thousands by filing date | principal |
| AQUANTIA CORP | 03842Q108 | COM | 6,078 | $77,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 4,018 | $77,000 | thousands by filing date | |
| CIENA CORP | 171779AJ0 | NOTE 3.750%10/1 | 50,000 | $77,000 | thousands by filing date | principal |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 2,882 | $76,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 1,400 | $76,000 | thousands by filing date | call |
| ARQ INC | 00770C101 | COM | 6,330 | $76,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 6,070 | $76,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 2,000 | $76,000 | thousands by filing date | put |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 8,303 | $76,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 2,577 | $76,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 6,056 | $76,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 2,328 | $76,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 28,100 | $76,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 893 | $75,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 1,000 | $75,000 | thousands by filing date | put |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 10,146 | $75,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 4,200 | $75,000 | thousands by filing date | call |
| TERADATA CORP DEL | 88076W103 | COM | 2,000 | $75,000 | thousands by filing date | put |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 2,809 | $75,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,476 | $75,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3,197 | $75,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 15,888 | $75,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 29,921 | $75,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 6,340 | $75,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,976 | $75,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 13,499 | $75,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 31,168 | $75,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,041 | $75,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 7,805 | $75,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 2,394 | $74,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 700 | $74,000 | thousands by filing date | put |
| DAILY JOURNAL CORP | 233912104 | COM | 309 | $74,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 2,750 | $74,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 9,525 | $74,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,458 | $74,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 3,070 | $74,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 673 | $74,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,300 | $74,000 | thousands by filing date | put |
| POTBELLY CORP | 73754Y100 | COM | 6,013 | $74,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 8,900 | $74,000 | thousands by filing date | call |
| CODORUS VY BANCORP INC | 192025104 | COM | 2,387 | $74,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 8,917 | $74,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E851 | DAILY JR BULL 3X | 10,000 | $74,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 13,500 | $73,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 7,621 | $73,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 8,037 | $73,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 1,093 | $73,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 6,745 | $73,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 2,161 | $73,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 3,850 | $73,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 6,664 | $73,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 3,120 | $73,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 1,790 | $73,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 3,141 | $73,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 4,616 | $73,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 14,100 | $73,000 | thousands by filing date | call |
| FARMER BROS CO | 307675108 | COM | 2,768 | $73,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 4,941 | $73,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 16,217 | $73,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 18,400 | $73,000 | thousands by filing date | call |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,400 | $72,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 2,375 | $72,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 2,253 | $72,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 6,331 | $72,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,931 | $72,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 397 | $72,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,837 | $72,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,947 | $72,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,604 | $72,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 6,492 | $72,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 67,000 | $72,000 | thousands by filing date | principal |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 1,300 | $71,000 | thousands by filing date | call |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 9,290 | $71,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 12,406 | $71,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 5,206 | $71,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 7,000 | $71,000 | thousands by filing date | put |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 7,526 | $71,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 17,849 | $71,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 14,462 | $70,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 500 | $70,000 | thousands by filing date | call |
| VIASAT INC | 92552V100 | COM | 1,090 | $70,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 2,499 | $70,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 1,903 | $70,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,303 | $70,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 2,395 | $70,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 8,839 | $70,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 3,014 | $70,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 731 | $70,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 12,073 | $70,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 2,100 | $69,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 2,621 | $69,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 2,100 | $69,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 10,674 | $69,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 6,219 | $69,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,125 | $69,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 26,600 | $69,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 2,567 | $69,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 3,987 | $69,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 34,186 | $69,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 36,500 | $69,000 | thousands by filing date | call |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 4,991 | $69,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 16,300 | $69,000 | thousands by filing date | call |
| TELIGENT INC NEW | 87960W104 | COM | 17,274 | $69,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 1,800 | $68,000 | thousands by filing date | call |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 1,800 | $68,000 | thousands by filing date | call |
| RYERSON HLDG CORP | 783754104 | COM | 5,982 | $68,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 2,882 | $68,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 3,395 | $68,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 9,300 | $68,000 | thousands by filing date | put |
| STERLING BANCORP INC | 85917W102 | COM | 6,051 | $68,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 28,973 | $68,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 1,299 | $68,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 3,060 | $68,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 3,165 | $68,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 7,290 | $68,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 976 | $67,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 998 | $67,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 820 | $67,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 993 | $67,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 21,356 | $67,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 2,480 | $67,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 17,008 | $67,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 1,400 | $66,000 | thousands by filing date | call |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 4,257 | $66,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,300 | $66,000 | thousands by filing date | put |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 6,400 | $66,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 3,300 | $66,000 | thousands by filing date | put |
| MESABI TR | 590672101 | CTF BEN INT | 2,500 | $66,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,771 | $66,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,304 | $66,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 5,297 | $66,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 4,500 | $66,000 | thousands by filing date | call |
| ATHERSYS INC | 04744L106 | COM | 31,400 | $66,000 | thousands by filing date | call |
| KAYNE ANDERSON ACQUISITION | 48661U110 | *W EXP 06/30/202 | 50,000 | $66,000 | thousands by filing date | call |
| IAMGOLD CORP COM | 450913108 | Stock | 17,800 | $65,000 | thousands by filing date | put |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 5,719 | $65,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 5,084 | $65,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 2,100 | $65,000 | thousands by filing date | put |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,775 | $65,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 2,443 | $65,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,745 | $65,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 2,220 | $65,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 12,472 | $65,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 55,000 | $65,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 13,396 | $65,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 6,900 | $65,000 | thousands by filing date | call |
| Accelerate Diagnostics | 00430H102 | COM | 2,827 | $65,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 2,452 | $65,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 3,500 | $65,000 | thousands by filing date | put |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 6,583 | $65,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 32,000 | $65,000 | thousands by filing date | principal |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 2,363 | $64,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 9,135 | $64,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 5,724 | $64,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,160 | $64,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 5,540 | $64,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 4,468 | $64,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 7,053 | $64,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 4,650 | $64,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 381 | $64,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,000 | $64,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 4,790 | $64,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 3,039 | $64,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 2,114 | $64,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 8,554 | $64,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 5,922 | $64,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 3,314 | $64,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 2,336 | $64,000 | thousands by filing date | |
| DDR CORP | 23317H854 | COM | 4,800 | $64,000 | thousands by filing date | put |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 13,700 | $64,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 2,400 | $63,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 1,800 | $63,000 | thousands by filing date | call |
| ADIENT PLC | G0084W101 | ORD SHS | 1,600 | $63,000 | thousands by filing date | put |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,810 | $63,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 8,982 | $63,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 2,910 | $63,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 16,768 | $63,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 10,680 | $63,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 5,467 | $63,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 4,841 | $63,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 3,535 | $63,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 4,195 | $63,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 4,120 | $63,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 10,665 | $63,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 10,700 | $63,000 | thousands by filing date | call |
| HOWARD BANCORP INC COM | 442496105 | COM | 3,590 | $63,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 2,650 | $63,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 64,000 | $63,000 | thousands by filing date | principal |
| PYXUS INTL INC | 74737V106 | COM | 2,742 | $63,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 400 | $62,000 | thousands by filing date | call |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 4,669 | $62,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 1,060 | $62,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,841 | $62,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,585 | $62,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 2,727 | $62,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 4,000 | $62,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 10,731 | $61,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 2,000 | $61,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 1,339 | $61,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 6,275 | $61,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 3,300 | $61,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 28,700 | $61,000 | thousands by filing date | put |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 21,342 | $61,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 52,000 | $61,000 | thousands by filing date | principal |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 2,700 | $61,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 436 | $60,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 900 | $60,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 600 | $60,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 5,560 | $60,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,017 | $60,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,885 | $60,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 3,732 | $60,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 4,414 | $60,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $60,000 | thousands by filing date | principal |
| EVANS BANCORP INC | 29911Q208 | COM | 1,290 | $60,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 21,300 | $60,000 | thousands by filing date | call |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,263 | $60,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 4,228 | $60,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 12,227 | $60,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 3,314 | $60,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 6,350 | $60,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 1,400 | $59,000 | thousands by filing date | call |
| BRINKER INTL INC COM | 109641100 | Stock | 1,259 | $59,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 1,222 | $59,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 7,356 | $59,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 843 | $59,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 1,808 | $59,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 4,483 | $59,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 2,800 | $59,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 1,392 | $59,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 1,500 | $59,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 2,555 | $59,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 2,311 | $59,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 3,729 | $59,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,611 | $59,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 3,000 | $59,000 | thousands by filing date | call |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 2,855 | $58,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 1,100 | $58,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 3,098 | $58,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 5,900 | $58,000 | thousands by filing date | call |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 8,747 | $58,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 5,040 | $58,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 991 | $58,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 4,449 | $58,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 66,900 | $58,000 | thousands by filing date | call |
| AMTRUST FINL SVCS INC | 032359309 | COM | 4,000 | $58,000 | thousands by filing date | put |
| ADTRAN INC | 00738A106 | COMMON STOCK | 3,300 | $58,000 | thousands by filing date | put |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 1,453 | $58,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 50,000 | $58,000 | thousands by filing date | principal |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 3,185 | $58,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 21,638 | $58,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 1,400 | $57,000 | thousands by filing date | put |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 2,800 | $57,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 8,100 | $57,000 | thousands by filing date | put |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 31,000 | $57,000 | thousands by filing date | call |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 6,551 | $57,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 5,700 | $57,000 | thousands by filing date | call |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 3,850 | $57,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 4,473 | $57,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 5,219 | $57,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 7,800 | $57,000 | thousands by filing date | put |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 825 | $57,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 403 | $57,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 428 | $57,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,070 | $57,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 2,499 | $57,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 9,390 | $57,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 30,200 | $57,000 | thousands by filing date | put |
| VONAGE HLDGS CORP | 92886T201 | COM | 4,000 | $57,000 | thousands by filing date | put |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,331 | $57,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 3,417 | $57,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,504 | $57,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 820 | $57,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 1,946 | $56,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 1,813 | $56,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 335 | $56,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,435 | $56,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 9,940 | $56,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,792 | $56,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 2,737 | $56,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 4,000 | $56,000 | thousands by filing date | put |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 2,270 | $56,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 2,358 | $56,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 55,966 | $56,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 8,600 | $56,000 | thousands by filing date | call |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 3,158 | $56,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 8,667 | $56,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 3,001 | $56,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 3,082 | $56,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 2,850 | $56,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 2,241 | $55,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 1,000 | $55,000 | thousands by filing date | put |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 1,600 | $55,000 | thousands by filing date | call |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 7,290 | $55,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,419 | $55,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 800 | $55,000 | thousands by filing date | call |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 4,551 | $55,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 7,421 | $55,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 2,130 | $55,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 4,077 | $55,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 4,635 | $55,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 55,000 | $55,000 | thousands by filing date | principal |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,600 | $55,000 | thousands by filing date | put |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 2,800 | $55,000 | thousands by filing date | put |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 4,700 | $55,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 4,905 | $55,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,534 | $54,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 4,712 | $54,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 764 | $54,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 5,570 | $54,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 1,600 | $54,000 | thousands by filing date | put |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,200 | $54,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,679 | $54,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 9,700 | $54,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 54,446 | $54,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 8,687 | $54,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 5,400 | $54,000 | thousands by filing date | call |
| LENDINGCLUB CORP | 52603A109 | COM | 13,800 | $54,000 | thousands by filing date | put |
| POLARITYTE INC | 731094108 | COM | 2,800 | $54,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 3,674 | $54,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 1,555 | $53,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 1,100 | $53,000 | thousands by filing date | call |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,324 | $53,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 2,280 | $53,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,879 | $53,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,285 | $53,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,310 | $53,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 2,743 | $53,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 8,045 | $53,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 45,352 | $53,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 530 | $52,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,000 | $52,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,096 | $52,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 5,025 | $52,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 2,632 | $52,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 5,454 | $52,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 600 | $52,000 | thousands by filing date | put |
| AUTOLIV INC | 052800109 | COM | 600 | $52,000 | thousands by filing date | call |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,747 | $52,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 1,952 | $52,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 2,860 | $52,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 2,279 | $52,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 75,000 | $52,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 1,032 | $52,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 950 | $52,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 1,591 | $52,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 12,631 | $52,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 3,000 | $52,000 | thousands by filing date | call |
| ENOVIS CORP | 194014106 | COMMON STOCK | 1,446 | $52,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 17,500 | $52,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-18-000166 | this filing | 2018-11-13 | acceptance time not in the bulk data set |