13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-12, with 5,424 holding rows worth $156,663,128,000.
- Accession
- 0000948046-15-000070
- Filer
- CIK 948046
- Filed
- 2015-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 19,052 entries on the cover page, a total value of $156,663,128,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $156,663,128,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDWS Investment GmbH028-10152
- included managerDeutsche Asset Management Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Bank (Suisse) SA028-11509
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerOppenheim Asset Management Services S.a.r.l028-13923
- included managerAbbey Life Assurance Co Ltd.028-13916
- included managerDeutsche Asset Management (UK) Ltd028-13988
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 |
|---|---|---|---|---|---|---|
| KCAP FINANCIAL INC | 48668E101 | COM | 26,593 | $159,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 12,619 | $159,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 32,099 | $159,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 178,602 | $158,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 113,089 | $157,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 6,226 | $157,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 10,100 | $156,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 40,904 | $156,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 11,502 | $156,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 11,336 | $155,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 16,989 | $154,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 3,917 | $154,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 3,545 | $153,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 2,450 | $153,000 | thousands by filing date | put |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 4,893 | $153,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 2,116 | $153,000 | thousands by filing date | call |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 9,915 | $153,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 96,000 | $152,000 | thousands by filing date | principal |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 53,991 | $152,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 6,485 | $152,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,950 | $151,000 | thousands by filing date | call |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,183 | $151,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 28,000 | $151,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 7,553 | $151,000 | thousands by filing date | |
| Pacific Datavision Inc | 694171307 | COM | 3,621 | $151,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 23,967 | $150,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 1,855 | $150,000 | thousands by filing date | call |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 8,000 | $150,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 9,361 | $149,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 56,050 | $149,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 23,461 | $149,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 8,056 | $148,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 29,925 | $148,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 11,005 | $148,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 5,974 | $148,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 93,586 | $147,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,000 | $147,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 19,432 | $147,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 50,468 | $147,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 9,085 | $147,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 196,400 | $146,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,269 | $146,000 | thousands by filing date | call |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 734 | $146,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 179,255 | $146,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 11,222 | $146,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 128,868 | $146,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 7,592 | $145,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 1,562 | $145,000 | thousands by filing date | call |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 4,851 | $145,000 | thousands by filing date | put |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,638 | $144,000 | thousands by filing date | call |
| CONAGRA FOODS INC | 205887102 | COM | 3,298 | $144,000 | thousands by filing date | call |
| POZEN INC | 73941U102 | COMMON STOCK | 14,166 | $144,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 434,069 | $144,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 27,354 | $144,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 750 | $143,000 | thousands by filing date | put |
| ENERGY RECOVERY INC | 29270J100 | COM | 52,490 | $143,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 45,359 | $143,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 19,517 | $143,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 17,682 | $143,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 72,634 | $143,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 5,411 | $142,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 45,000 | $142,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 49,269 | $142,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 6,400 | $141,000 | thousands by filing date | put |
| WYNN RESORTS LTD | 983134107 | COM | 1,437 | $141,000 | thousands by filing date | call |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 3,365 | $141,000 | thousands by filing date | call |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 12,250 | $141,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 9,692 | $141,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 5,859 | $140,000 | thousands by filing date | put |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 12,402 | $140,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 72,240 | $140,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 9,438 | $140,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 65,874 | $139,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 8,661 | $139,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 2,000 | $138,000 | thousands by filing date | put |
| SYSTEMAX INC | 871851101 | COM | 16,102 | $138,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,443 | $137,000 | thousands by filing date | call |
| CHASE CORP | 16150R104 | COM | 3,491 | $137,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 14,599 | $137,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 10,000 | $136,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 7,825 | $136,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 23,787 | $136,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 1,583 | $135,000 | thousands by filing date | put |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 56,202 | $135,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 219,722 | $135,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 8,383 | $135,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 3,730 | $133,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 300 | $133,000 | thousands by filing date | call |
| PCM INC | 69323K100 | COM | 13,300 | $133,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 6,885 | $133,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 3,835 | $133,000 | thousands by filing date | call |
| Abbott Laboratories | 002824100 | COM | 2,708 | $132,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,996 | $132,000 | thousands by filing date | call |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 3,900 | $132,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 4,680 | $132,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 2,800 | $132,000 | thousands by filing date | put |
| TTOO | 89853L104 | Stock | 8,248 | $132,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 8,570 | $132,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 11,600 | $132,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 1,950 | $131,000 | thousands by filing date | put |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 3,800 | $131,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,182 | $131,000 | thousands by filing date | call |
| KVH INDS INC | 482738101 | COM | 9,809 | $131,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 10,104 | $131,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 15,101 | $130,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 17,337 | $130,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 30,554 | $130,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 18,193 | $130,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 6,263 | $129,000 | thousands by filing date | put |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 7,850 | $128,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 10,150 | $128,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 6,908 | $128,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 54,625 | $128,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 960 | $127,000 | thousands by filing date | call |
| YADKIN FINANCIAL CORP | 984305102 | COM | 6,101 | $127,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 441,026 | $127,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 6,914 | $126,000 | thousands by filing date | call |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 11,559 | $126,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 7,870 | $125,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 14,498 | $125,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 72,005 | $125,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 11,272 | $125,000 | thousands by filing date | put |
| FMSA HLDGS INC | 30255X106 | COM | 15,401 | $125,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 24,140 | $125,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,060 | $124,000 | thousands by filing date | call |
| CASELLA WASTE SYS INC | 147448104 | CL A | 22,380 | $124,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 6,051 | $124,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 8,800 | $124,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 5,073 | $124,000 | thousands by filing date | call |
| FURMANITE CORPORATION | 361086101 | COM | 15,574 | $124,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 35,706 | $124,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,480 | $123,000 | thousands by filing date | call |
| WEYCO GROUP INC COM | 962149100 | Stock | 4,177 | $123,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 10,736 | $123,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 6,213 | $123,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 2,950 | $122,000 | thousands by filing date | put |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 6,250 | $122,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,864 | $122,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 4,599 | $122,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 41,799 | $122,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 17,185 | $122,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 6,045 | $122,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 40,000 | $122,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 585,000 | $122,000 | thousands by filing date | principal |
| COEUR MNG INC COM NEW | 192108504 | Stock | 21,198 | $121,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 7,563 | $121,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 4,250 | $121,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 399 | $121,000 | thousands by filing date | put |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 6,199 | $121,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 4,282 | $120,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 22,247 | $120,000 | thousands by filing date | call |
| CSX Corporation | 126408103 | COM | 3,656 | $119,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 700 | $119,000 | thousands by filing date | call |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,181 | $119,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 6,713 | $119,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 10,437 | $119,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 3,469 | $118,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 7,134 | $118,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 48,041 | $118,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 3,585 | $118,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 7,997 | $118,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 5,909 | $117,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 8,040 | $117,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 37,796 | $117,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 50,940 | $117,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 10,440 | $116,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 4,042 | $116,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 41,785 | $116,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 122,000 | $116,000 | thousands by filing date | principal |
| C1 FINL INC | 12591N109 | COM | 6,031 | $116,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,206 | $115,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 1,016 | $115,000 | thousands by filing date | put |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 15,844 | $114,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 5,025 | $114,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 10,828 | $114,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 38,400 | $114,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 700 | $113,000 | thousands by filing date | call |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 5,328 | $113,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,972 | $113,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 13,519 | $113,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 3,238 | $112,000 | thousands by filing date | call |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 2,000 | $112,000 | thousands by filing date | call |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 451,945 | $112,000 | thousands by filing date | call |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 6,000 | $111,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 8,076 | $111,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 5,000 | $111,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 5,000 | $111,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 11,248 | $111,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,696 | $111,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 6,779 | $111,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 272,729 | $111,000 | thousands by filing date | principal |
| VENTAS INC COM | 92276F100 | REIT | 1,780 | $110,000 | thousands by filing date | call |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 15,600 | $110,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 45,854 | $110,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 27,245 | $110,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 9,617 | $110,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 92,204 | $110,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 11,132 | $110,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 55,804 | $110,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,550 | $109,000 | thousands by filing date | call |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 8,142 | $109,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 9,300 | $109,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 15,799 | $109,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 11,821 | $109,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 7,666 | $108,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 12,200 | $107,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 8,387 | $107,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 32,640 | $107,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 7,380 | $106,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 1,184 | $106,000 | thousands by filing date | call |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,335 | $106,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 7,015 | $106,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 5,663 | $105,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 3,500 | $105,000 | thousands by filing date | put |
| VRINGO INC | 92911N104 | COM | 190,704 | $105,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,335 | $104,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 2,349 | $104,000 | thousands by filing date | call |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 6,000 | $104,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 6,984 | $104,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 45,200 | $104,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 43,000 | $104,000 | thousands by filing date | principal |
| Wells Fargo & Company | 949746101 | COM | 1,849 | $103,000 | thousands by filing date | put |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 4,220 | $103,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 11,199 | $102,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,994 | $102,000 | thousands by filing date | call |
| MARINE PRODS CORP | 568427108 | cs | 16,583 | $102,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 107,439 | $102,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 6,799 | $102,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 50,000 | $102,000 | thousands by filing date | principal |
| SHAKE SHACK INC | 819047101 | CL A | 1,687 | $101,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 22,073 | $101,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 13,939 | $101,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 49,501 | $101,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 22,600 | $100,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 9,116 | $100,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 7,810 | $100,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 11,405 | $100,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 41,461 | $100,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 7,087 | $100,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 6,875 | $99,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 55,600 | $99,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 27,476 | $99,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 5,700 | $99,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 5,600 | $98,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 49,402 | $97,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,452 | $97,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 38,182 | $97,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 6,101 | $97,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 79,000 | $97,000 | thousands by filing date | principal |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 10,039 | $96,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 15,630 | $96,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 6,247 | $96,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 76,000 | $96,000 | thousands by filing date | principal |
| ORBCOMM INC | 68555P100 | COM | 14,496 | $96,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 2,070 | $96,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 83,000 | $96,000 | thousands by filing date | principal |
| LAKES ENTERTAINMEN | 51206P208 | COM | 10,579 | $96,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,000 | $95,000 | thousands by filing date | put |
| PENTAIR PLC SHS | G7S00T104 | Stock | 1,385 | $95,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 21,704 | $95,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 5,653 | $95,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 9,000 | $95,000 | thousands by filing date | call |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 4,694 | $95,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 1,125 | $95,000 | thousands by filing date | call |
| CONSOL ENERGY INC | 20854P109 | COM | 4,400 | $95,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 20,214 | $95,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 10,683 | $94,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 25,646 | $94,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 676 | $93,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,510 | $93,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,500 | $93,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 1,500 | $93,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 16,000 | $93,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 15,395 | $93,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 2,275 | $93,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 4,500 | $93,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,761,462 | $93,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 4,234 | $92,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 4,436 | $92,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 2,290 | $92,000 | thousands by filing date | put |
| NOBLE CORP PLC | G65431101 | SHS USD | 6,000 | $92,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 32,051 | $92,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 57,723 | $92,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 3,355 | $92,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 7,879 | $92,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 5,397 | $92,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 3,440 | $91,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 7,000 | $91,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 4,435 | $91,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 3,352 | $91,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 5,625 | $90,000 | thousands by filing date | put |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 2,023 | $90,000 | thousands by filing date | |
| ALTERA CORP | 021441100 | COM | 1,765 | $90,000 | thousands by filing date | call |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,300 | $89,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 13,201 | $89,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 5,380 | $89,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 14,330 | $89,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,250 | $88,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 4,750 | $88,000 | thousands by filing date | put |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 1,771 | $88,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 2,583 | $88,000 | thousands by filing date | call |
| WHOLE FOODS MKT INC | 966837106 | COM | 2,236 | $88,000 | thousands by filing date | put |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,779 | $88,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 4,426 | $88,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 378,848 | $88,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 314,837 | $88,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,364 | $88,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 6,110 | $88,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 4,328 | $87,000 | thousands by filing date | put |
| V F CORP COM | 918204108 | Stock | 1,250 | $87,000 | thousands by filing date | call |
| KELLANOVA | 487836108 | COM | 1,393 | $87,000 | thousands by filing date | call |
| TRIPADVISOR INC | 896945201 | COM | 1,000 | $87,000 | thousands by filing date | call |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 6,550 | $87,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 11,899 | $87,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 18,557 | $87,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 4,275 | $87,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 4,566 | $86,000 | thousands by filing date | |
| JARDEN CORP | 471109AM0 | NOTE 1.125% 3/1 | 74,000 | $86,000 | thousands by filing date | principal |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 2,762 | $86,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 6,805 | $85,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 2,852 | $85,000 | thousands by filing date | call |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 3,399 | $85,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 4,216 | $85,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 3,333 | $85,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 12,970 | $85,000 | thousands by filing date | |
| CAS 7 12/15/17 | 148411AF8 | Bond 30/360P2 U | 100,000 | $85,000 | thousands by filing date | principal |
| Costco Wholesale Corporation | 22160K105 | COM | 625 | $84,000 | thousands by filing date | put |
| RADIAN GROUP INC COM | 750236101 | Stock | 4,527 | $84,000 | thousands by filing date | call |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 77,843 | $84,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 41,759 | $84,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 978 | $84,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 3,280 | $84,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 95,000 | $84,000 | thousands by filing date | principal |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 7,650 | $83,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 11,100 | $83,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 7,816 | $83,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 3,819 | $82,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 4,529 | $82,000 | thousands by filing date | put |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,400 | $82,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 5,000 | $82,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 3,002 | $82,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 3,920 | $82,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 7,026 | $82,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 2,000 | $82,000 | thousands by filing date | call |
| ELONG - ADR | 290138205 | ADR | 4,874 | $82,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 3,566 | $81,000 | thousands by filing date | put |
| MYLAN NV | N59465109 | SHS EURO | 1,200 | $81,000 | thousands by filing date | put |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 3,000 | $81,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 12,400 | $80,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 3,474 | $80,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 64,000 | $80,000 | thousands by filing date | principal |
| PARKERVISION INC | 701354102 | COM | 214,377 | $80,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 9,776 | $80,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 520 | $79,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 950 | $79,000 | thousands by filing date | put |
| NV5 HOLDINGS, INC | 62945V109 | COM | 3,329 | $79,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 16,357 | $79,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 6,558 | $79,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 29,676 | $79,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 5,448 | $79,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 8,382 | $79,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 5,235 | $79,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 11,708 | $78,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 7,398 | $78,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 3,675 | $78,000 | thousands by filing date | put |
| BLOOMIN BRANDS INC | 094235108 | COM | 3,675 | $78,000 | thousands by filing date | call |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 4,050 | $78,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 5,519 | $78,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 3,392 | $78,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 2,750 | $77,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 7,409 | $77,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 1,750 | $77,000 | thousands by filing date | call |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,500 | $77,000 | thousands by filing date | put |
| HENNESSY ADVISORS INC | 425885100 | COM | 4,151 | $77,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 2,042 | $77,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 499 | $76,000 | thousands by filing date | put |
| Citigroup Inc. | 172967424 | COM | 1,393 | $76,000 | thousands by filing date | put |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,924 | $76,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 4,137 | $76,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,217 | $76,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 23,715 | $76,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 8,312 | $76,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 74,700 | $76,000 | thousands by filing date | |
| LAPORTE BANCORP INC MD | 516651106 | COM | 5,624 | $76,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 20,022 | $76,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 20,028 | $76,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 3,920 | $76,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 5,025 | $75,000 | thousands by filing date | call |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 9,889 | $75,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 4,103 | $75,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 32,282 | $75,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 1,290 | $75,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 1,400 | $74,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 1,230 | $74,000 | thousands by filing date | put |
| BROOKDALE SR LIVING INC | 112463104 | COM | 2,133 | $74,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 2,883 | $74,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 6,713 | $74,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 11,900 | $74,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 6,482 | $74,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 44,288 | $74,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 11,934 | $74,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 8,161 | $74,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 77,000 | $74,000 | thousands by filing date | principal |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 5,400 | $74,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 700 | $73,000 | thousands by filing date | call |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 3,666 | $73,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 14,354 | $73,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 5,399 | $73,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 188,450 | $73,000 | thousands by filing date | principal |
| CHANNELADVISOR CORP | 159179100 | COM | 6,219 | $73,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 4,942 | $73,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 3,343 | $73,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 14,801 | $73,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 4,500 | $73,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 3,782 | $73,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 864 | $72,000 | thousands by filing date | put |
| ESCALADE INC | 296056104 | COMMON STOCK | 4,016 | $72,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $72,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 19,800 | $72,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 15,577 | $72,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W506 | PWRSHR DB GERM | 270,155 | $72,000 | thousands by filing date | principal |
| DOLLAR TREE INC COM | 256746108 | Stock | 900 | $71,000 | thousands by filing date | call |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 7,999 | $71,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 4,600 | $71,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,832 | $71,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 4,190 | $71,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J120 | UNIT 03/29/2021T | 7,118 | $71,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 520 | $70,000 | thousands by filing date | put |
| PACCAR INC COM | 693718108 | Stock | 1,108 | $70,000 | thousands by filing date | call |
| REIS INC | 75936P105 | COM | 3,187 | $70,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 1,301 | $70,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 7,927 | $70,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 3,594 | $70,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 43,693 | $70,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $69,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 105,343 | $69,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 12,039 | $69,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 2,679 | $69,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 2,500 | $68,000 | thousands by filing date | put |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 5,503 | $68,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 3,912 | $68,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 6,425 | $68,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 70,937 | $68,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 6,625 | $68,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 5,854 | $68,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 5,272 | $68,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 4,803 | $67,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 2,433 | $67,000 | thousands by filing date | put |
| KEY TRONIC CORP | 493144109 | COM | 6,224 | $67,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 73,084 | $67,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 6,854 | $67,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 2,694 | $67,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 3,335 | $67,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 4,840 | $67,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 650 | $66,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 3,400 | $66,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 672 | $66,000 | thousands by filing date | put |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 12,971 | $66,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 26,575 | $66,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 3,147 | $66,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 3,447 | $66,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 22,632 | $66,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 4,410 | $66,000 | thousands by filing date | |
| AR CAP ACQUISITION CORP | 00191R117 | *W EXP 10/06/201 | 190,000 | $66,000 | thousands by filing date | call |
| MESA LABS INC COM | 59064R109 | Stock | 735 | $65,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 2,000 | $65,000 | thousands by filing date | put |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 6,626 | $65,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 6,315 | $65,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 8,558 | $65,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 1,296 | $65,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 164,781 | $65,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 20,157 | $65,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 7,686 | $65,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 8,107 | $65,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 2,309 | $64,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 4,823 | $64,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 2,652 | $64,000 | thousands by filing date | |
| 38259p508 | COM | 120 | $64,000 | thousands by filing date | put | |
| POTBELLY CORP | 73754Y100 | COM | 5,244 | $64,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 27,015 | $64,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 2,860 | $63,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 4,029 | $63,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 4,000 | $63,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 550 | $63,000 | thousands by filing date | put |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 1,000 | $63,000 | thousands by filing date | put |
| AETNA INC NEW | 00817Y108 | COM | 500 | $63,000 | thousands by filing date | call |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 101,800 | $63,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 55,511 | $63,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 241,559 | $63,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP | 958102105 | COM | 794 | $62,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 750 | $62,000 | thousands by filing date | call |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 450 | $62,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 075896100 | COM | 900 | $62,000 | thousands by filing date | call |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 3,794 | $62,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 5,236 | $62,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 45,622 | $62,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 12,890 | $62,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 500 | $61,000 | thousands by filing date | put |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,950 | $61,000 | thousands by filing date | call |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 4,080 | $61,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-15-000070 | this filing | 2015-08-12 | acceptance time not in the bulk data set |