13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-17, with 5,284 holding rows worth $129,359,675,000.
- Accession
- 0000948046-15-000093
- Filer
- CIK 948046
- Filed
- 2015-11-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 19,332 entries on the cover page, a total value of $129,359,675,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $129,359,675,000 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 |
|---|---|---|---|---|---|---|
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 37,659 | $389,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 16,132 | $388,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 39,622 | $386,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 27,575 | $386,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 198,814 | $386,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 392,000 | $385,000 | thousands by filing date | principal |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 101,989 | $383,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 468,000 | $383,000 | thousands by filing date | call |
| Morgan Stanley | 617446448 | COM | 12,129 | $382,000 | thousands by filing date | call |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 15,257 | $382,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 55,161 | $382,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 209,090 | $382,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 5,626 | $380,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 9,550 | $380,000 | thousands by filing date | call |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 16,758 | $379,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 33,729 | $379,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 18,709 | $377,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 32,916 | $376,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 35,506 | $375,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 15,923 | $374,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 24,815 | $373,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 35,507 | $373,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 49,074 | $372,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 64,793 | $372,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 3,773 | $370,000 | thousands by filing date | call |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 19,612 | $369,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 11,677 | $369,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 118,139 | $369,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 12,240 | $368,000 | thousands by filing date | call |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 51,171 | $368,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 55,489 | $367,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 42,993 | $366,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 26,603 | $365,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 628,600 | $364,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 102,005 | $364,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 3,523 | $363,000 | thousands by filing date | put |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 11,800 | $361,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 62,720 | $361,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 48,589 | $361,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 25,639 | $360,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 34,981 | $360,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 14,071 | $359,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 116,205 | $359,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 35,607 | $358,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 444,855 | $358,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 24,853 | $358,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 4,291 | $356,000 | thousands by filing date | call |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 14,835 | $355,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 15,546 | $355,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 29,181 | $354,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 276,000 | $354,000 | thousands by filing date | principal |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 54,270 | $352,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 21,000 | $351,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 5,944 | $350,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 16,669 | $350,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 9,759 | $348,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 70,748 | $347,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 26,818 | $347,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 13,163 | $346,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 60,880 | $346,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 8,497 | $345,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 6,061 | $344,000 | thousands by filing date | put |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 401,000 | $344,000 | thousands by filing date | put |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 10,255 | $344,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 225,000 | $344,000 | thousands by filing date | principal |
| NOVA LTD COM | M7516K103 | Stock | 35,679 | $343,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 7,819 | $341,000 | thousands by filing date | call |
| ATENTO S A | L0427L105 | SHS | 32,403 | $341,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 44,200 | $338,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 18,502 | $338,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 21,192 | $337,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 23,344 | $336,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 40,997 | $336,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 90,347 | $335,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 24,825 | $335,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 190,936 | $334,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 225,000 | $334,000 | thousands by filing date | principal |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,747 | $333,000 | thousands by filing date | call |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 28,133 | $333,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 20,605 | $333,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 391,000 | $333,000 | thousands by filing date | principal |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 91,068 | $331,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 2,821 | $331,000 | thousands by filing date | put |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,698 | $330,000 | thousands by filing date | put |
| Transition Therapeutics, Inc. | 893716209 | COM | 184,600 | $330,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 316,000 | $329,000 | thousands by filing date | principal |
| Radcom Ltd | M81865111 | COM | 29,600 | $328,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 14,055 | $327,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,767 | $327,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 29,935 | $326,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 63,000 | $325,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 44,649 | $325,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 470,000 | $325,000 | thousands by filing date | principal |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 59,704 | $324,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 26,652 | $324,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 38,322 | $324,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 523,985 | $324,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 52,107 | $324,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 191,024 | $323,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 23,972 | $323,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 28,265 | $323,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 41,535 | $322,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 3,985 | $322,000 | thousands by filing date | call |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 147,104 | $322,000 | thousands by filing date | call |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 51,110 | $320,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 47,371 | $320,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 22,636 | $319,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 5,492 | $317,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 15,064 | $317,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 27,121 | $316,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 17,000 | $316,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 62,764 | $314,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 13,560 | $312,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 25,871 | $309,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 12,805 | $309,000 | thousands by filing date | call |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 122,062 | $308,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 13,779 | $308,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 45,635 | $307,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 14,812 | $307,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 38,353 | $306,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 14,266 | $305,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 33,731 | $303,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 6,711 | $302,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 24,299 | $301,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 11,123 | $300,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 8,625 | $298,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 173,416 | $298,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 13,018 | $297,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 23,538 | $296,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 21,095 | $296,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 14,505 | $296,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 13,740 | $296,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 55,258 | $294,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 20,600 | $294,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 12,870 | $293,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 303,545 | $293,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 69,646 | $292,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 138,678 | $291,000 | thousands by filing date | call |
| SIZMEK INC | 83013P105 | COM | 48,793 | $291,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 21,427 | $290,000 | thousands by filing date | put |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 40,821 | $289,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 20,490 | $288,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 29,104 | $288,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 18,484 | $287,000 | thousands by filing date | put |
| TCP CAP CORP | 87238Q103 | COM | 21,279 | $287,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 12,919 | $286,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 12,642 | $285,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 10,400 | $284,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 15,400 | $283,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 10,756 | $281,000 | thousands by filing date | call |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 14,332 | $281,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 15,617 | $280,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 23,783 | $280,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 20,993 | $279,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 23,706 | $277,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 23,303 | $277,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,713 | $276,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 10,516 | $275,000 | thousands by filing date | put |
| INPHI CORP | 45772F107 | COM | 11,434 | $273,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 23,289 | $272,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 24,076 | $271,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 51,315 | $271,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 7,350 | $270,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 3,501 | $270,000 | thousands by filing date | call |
| OMEROS CORP | 682143102 | COM | 24,786 | $269,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 9,900 | $269,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 29,579 | $269,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 5,229 | $268,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 171,732 | $268,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 30,139 | $268,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 27,801 | $266,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 11,053 | $265,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639118 | *W EXP 12/06/201 | 168,797 | $265,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,925 | $264,000 | thousands by filing date | put |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 19,848 | $264,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 15,436 | $264,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 261,000 | $263,000 | thousands by filing date | principal |
| TITAN MACHY INC | 88830R101 | COM | 22,936 | $261,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 6,530 | $261,000 | thousands by filing date | put |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 3,453 | $259,000 | thousands by filing date | call |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 275,000 | $259,000 | thousands by filing date | principal |
| TECNOGLASS INC | G87264100 | ORD SHS | 18,850 | $258,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 120,172 | $258,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 5,750 | $257,000 | thousands by filing date | put |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 13,011 | $257,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 8,577 | $256,000 | thousands by filing date | call |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 35,450 | $255,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 52,180 | $255,000 | thousands by filing date | call |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 17,153 | $254,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 31,845 | $254,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 12,541 | $254,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 275,000 | $254,000 | thousands by filing date | principal |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 13,210 | $253,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 27,043 | $253,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 40,168 | $252,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 4,750 | $251,000 | thousands by filing date | call |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 33,951 | $251,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 22,263 | $251,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,200 | $250,000 | thousands by filing date | put |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 3,855 | $250,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,760 | $249,000 | thousands by filing date | call |
| SI FINL GROUP INC MD | 78425V104 | COM | 20,943 | $249,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 56,094 | $248,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 9,600 | $248,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 15,414 | $247,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 42,844 | $246,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 24,326 | $244,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 191,782 | $244,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,476 | $243,000 | thousands by filing date | put |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 15,962 | $242,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 9,000 | $242,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 64,291 | $242,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,604 | $240,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 21,109 | $239,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 12,724 | $239,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 46,389 | $239,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 21,862 | $238,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 8,179 | $238,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 5,895 | $238,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 10,245 | $238,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 50,039 | $238,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 40,216 | $238,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 42,638 | $237,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 450,041 | $237,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 128,045 | $237,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 13,886 | $236,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 952 | $235,000 | thousands by filing date | put |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 12,543 | $235,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 50,832 | $235,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 8,100 | $234,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 19,768 | $234,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,906 | $232,000 | thousands by filing date | call |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 22,319 | $232,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 4,317 | $232,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 6,585 | $230,000 | thousands by filing date | call |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 3,650 | $230,000 | thousands by filing date | put |
| C1 FINL INC | 12591N109 | COM | 12,153 | $230,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 40,604 | $229,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 17,400 | $229,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 15,927 | $228,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 38,649 | $228,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 153,013 | $227,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 17,160 | $227,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 18,420 | $226,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 46,664 | $226,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 5,641 | $225,000 | thousands by filing date | call |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 16,111 | $225,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 19,745 | $225,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,276 | $224,000 | thousands by filing date | call |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 9,893 | $224,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 749,021 | $224,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 235,000 | $224,000 | thousands by filing date | principal |
| MARCHEX INC | 56624R108 | CMN | 55,642 | $223,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 10,857 | $222,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 37,993 | $221,000 | thousands by filing date | |
| AMBASSADORS GROUP INC | 023177108 | COM | 81,464 | $221,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 3,503 | $220,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 29,660 | $219,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 40,694 | $219,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 4,648 | $218,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 8,130 | $218,000 | thousands by filing date | call |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 6,085 | $218,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 41,914 | $218,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 7,827 | $217,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 38,610 | $217,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 12,423 | $217,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 16,263 | $217,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 16,839 | $216,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 10,679 | $216,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 35,010 | $216,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 423 | $215,000 | thousands by filing date | put |
| NEVRO CORP | 64157F103 | COM | 4,621 | $214,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 5,188 | $213,000 | thousands by filing date | call |
| SPECTRANETICS CORP | 84760C107 | COM | 18,257 | $213,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 117,727 | $213,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 2,195 | $212,000 | thousands by filing date | put |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 186,182 | $212,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 17,194 | $211,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 10,024 | $210,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 38,095 | $210,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 2,833 | $209,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 4,800 | $208,000 | thousands by filing date | put |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 15,697 | $207,000 | thousands by filing date | call |
| VICAL INC | 925602104 | COM | 451,000 | $207,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U119 | *W EXP 01/01/202 | 964,900 | $207,000 | thousands by filing date | call |
| HENNESSY ADVISORS INC | 425885100 | COM | 8,700 | $206,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 15,024 | $206,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 33,829 | $206,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 794,000 | $206,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 48,830 | $206,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 10,855 | $205,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 23,152 | $203,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 9,689 | $202,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 27,086 | $202,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 10,964 | $202,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 8,262 | $201,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 24,559 | $201,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 26,665 | $201,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 9,719 | $201,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 28,498 | $201,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 20,686 | $200,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 107,638 | $200,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 33,795 | $200,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 204,762 | $199,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 202,000 | $199,000 | thousands by filing date | principal |
| PULTE GROUP INC COM | 745867101 | Stock | 10,501 | $198,000 | thousands by filing date | call |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 9,983 | $198,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 28,041 | $198,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 265,000 | $198,000 | thousands by filing date | principal |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 21,578 | $198,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 4,202 | $197,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,697 | $196,000 | thousands by filing date | call |
| TARGET CORP COM | 87612E106 | Stock | 2,500 | $196,000 | thousands by filing date | call |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 15,188 | $196,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 18,625 | $194,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 17,217 | $194,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 11,200 | $194,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 17,787 | $194,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 13,256 | $192,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,528 | $191,000 | thousands by filing date | call |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 27,303 | $191,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 7,474 | $191,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 21,492 | $189,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 8,082 | $189,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 14,612 | $189,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 655,453 | $188,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,300 | $187,000 | thousands by filing date | call |
| FIAT CHRYSLER AUTOMOBILES N | N31738110 | MAN COV SEC 16 | 158,478 | $187,000 | thousands by filing date | principal |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 14,225 | $186,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 3,622 | $185,000 | thousands by filing date | put |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 7,385 | $185,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 67,300 | $185,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 5,922 | $184,000 | thousands by filing date | call |
| ROUNDY'S INC | 779268101 | COM | 79,543 | $184,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 37,660 | $184,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 15,395 | $183,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 13,465 | $183,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 19,969 | $183,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 37,493 | $183,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 51,758 | $182,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 606,758 | $182,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 55,065 | $182,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,750 | $181,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 27,418 | $181,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AU7 | COM | 123,000 | $181,000 | thousands by filing date | principal |
| Philip Morris International Inc. | 718172109 | COM | 2,250 | $178,000 | thousands by filing date | call |
| Schlumberger Limited | 806857108 | COM | 2,590 | $178,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 1,750 | $178,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 21,588 | $178,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 59,810 | $178,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 159,000 | $178,000 | thousands by filing date | principal |
| SL INDS INC | 784413106 | COMMON STOCK | 5,248 | $177,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 25,981 | $177,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 17,377 | $176,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 36,353 | $176,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 7,970 | $176,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 3,670 | $175,000 | thousands by filing date | call |
| SENOMYX INC | 81724Q107 | COM | 39,479 | $175,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W407 | PWRSHR 3X GERM | 353,405 | $175,000 | thousands by filing date | principal |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 8,722 | $174,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 24,289 | $174,000 | thousands by filing date | call |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 11,928 | $172,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 5,720 | $172,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 19,088 | $172,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 3,010 | $170,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 10,702 | $170,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 17,845 | $170,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 4,378 | $169,000 | thousands by filing date | call |
| INSTEEL INDS INC | 45774W108 | COM | 10,606 | $169,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 22,465 | $169,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 24,461 | $169,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 11,510 | $169,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 7,400 | $168,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,900 | $168,000 | thousands by filing date | call |
| KEY TRONIC CORP | 493144109 | COM | 16,800 | $168,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 280,000 | $168,000 | thousands by filing date | principal |
| SILVERCREST MINES INC | 828365106 | COMMON | 191,400 | $168,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 18,477 | $167,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 18,250 | $167,000 | thousands by filing date | |
| CHARTER COMMUNICATION - A | 16117M305 | COM | 950 | $167,000 | thousands by filing date | put |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 8,701 | $166,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 7,346 | $166,000 | thousands by filing date | call |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 10,363 | $166,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 36,344 | $165,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 24,120 | $165,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 2,894 | $165,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 50,062 | $165,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 3,317 | $164,000 | thousands by filing date | put |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 162,000 | $164,000 | thousands by filing date | principal |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 20,100 | $162,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 66,237 | $162,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 95,766 | $162,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 1,708 | $161,000 | thousands by filing date | call |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 13,887 | $161,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 22,469 | $161,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 11,850 | $160,000 | thousands by filing date | put |
| TYSON FOODS INC CL A | 902494103 | Stock | 3,732 | $160,000 | thousands by filing date | call |
| Concho Resources Inc. | 20605P101 | COM | 1,637 | $160,000 | thousands by filing date | put |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 11,524 | $160,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 15,693 | $160,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 7,515 | $160,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 225,000 | $160,000 | thousands by filing date | principal |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,003 | $157,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 16,393 | $156,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 3,512 | $156,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 21,135 | $155,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 6,278 | $155,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 57,469 | $155,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 14,740 | $155,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 1,150 | $154,000 | thousands by filing date | put |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 19,092 | $154,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 15,000 | $154,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 9,310 | $153,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 17,627 | $153,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,398 | $152,000 | thousands by filing date | call |
| MINDBODY INC | 60255W105 | COM CL A | 9,833 | $152,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 6,031 | $152,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 22,794 | $152,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 10,715 | $152,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 10,936 | $151,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 57,596 | $151,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 9,678 | $150,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 9,313 | $150,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 13,000 | $150,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 26,516 | $149,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 7,539 | $148,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 13,024 | $148,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 16,061 | $147,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 13,792 | $147,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 163,000 | $147,000 | thousands by filing date | principal |
| Schlumberger Limited | 806857108 | COM | 2,124 | $146,000 | thousands by filing date | call |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 719,900 | $146,000 | thousands by filing date | principal |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 2,424 | $145,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 137,000 | $145,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044108 | COM | 373,128 | $144,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 230,000 | $144,000 | thousands by filing date | principal |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 15,000 | $144,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 11,572 | $143,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 9,955 | $143,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 584,192 | $142,000 | thousands by filing date | principal |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 7,643 | $141,000 | thousands by filing date | put |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 9,543 | $141,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 51,578 | $141,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 7,853 | $141,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 896 | $140,000 | thousands by filing date | put |
| SILVER STD RES INC | 82823L106 | COM | 21,642 | $140,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 10,327 | $139,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 18,853 | $139,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 2,346 | $138,000 | thousands by filing date | call |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 16,460 | $138,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 20,096 | $138,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 9,100 | $138,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 15,980 | $138,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 45,350 | $138,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 28,189 | $138,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 63,345 | $138,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 85,100 | $138,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 94,692 | $138,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 30,393 | $137,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 3,493 | $137,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 9,015 | $137,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 40,300 | $137,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 32,851 | $137,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 30,938 | $137,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 14,150 | $136,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 16,775 | $136,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 2,271 | $136,000 | thousands by filing date | put |
| TTOO | 89853L104 | Stock | 15,726 | $136,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 12,374 | $136,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 387,829 | $136,000 | thousands by filing date | principal |
| SanDisk Corporation | 80004C101 | COM | 2,505 | $135,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 52,300 | $135,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 18,907 | $135,000 | thousands by filing date | put |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 11,664 | $134,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 16,409 | $134,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 7,632 | $134,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 3,245 | $133,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 3,435 | $133,000 | thousands by filing date | put |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 7,041 | $133,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 3,216 | $132,000 | thousands by filing date | put |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,000 | $132,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 12,000 | $132,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 50,711 | $132,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 4,253 | $131,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 6,505 | $131,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 4,385 | $130,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 19,271 | $129,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 12,250 | $128,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 20,332 | $128,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 17,870 | $127,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 15,611 | $127,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 22,232 | $127,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 4,851 | $127,000 | thousands by filing date | put |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 21,601 | $127,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 10,000 | $126,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,181 | $126,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 25,494 | $126,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 8,223 | $126,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 34,233 | $126,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 5,061 | $126,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-15-000093 | this filing | 2015-11-17 | acceptance time not in the bulk data set |