13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-16, with 5,412 holding rows worth $144,524,959,000.
- Accession
- 0000948046-16-000122
- Filer
- CIK 948046
- Filed
- 2016-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 18,857 entries on the cover page, a total value of $144,524,959,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $144,524,959,000 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 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 |
|---|---|---|---|---|---|---|
| JETBLUE AWYS CORP | 477143101 | COM | 1,800 | $40,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 4,728 | $40,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 5,500 | $40,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 4,672 | $40,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 11,628 | $40,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 8,030 | $40,000 | thousands by filing date | call |
| RENREN INC | 759892102 | SPONSORED ADR | 11,334 | $40,000 | thousands by filing date | |
| FERRARI NV | N3167J106 | COM | 846 | $40,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 17,931 | $40,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 2,098 | $40,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 500 | $39,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 310 | $39,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 2,206 | $39,000 | thousands by filing date | put |
| NETAPP INC COM | 64110D104 | Stock | 1,481 | $39,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 736 | $39,000 | thousands by filing date | call |
| PAR TECHNOLOGY CORP | 698884103 | COM | 5,863 | $39,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,359 | $39,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 2,402 | $39,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,928 | $39,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 3,000 | $39,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 280,200 | $39,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 2,979 | $39,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 909 | $38,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,446 | $38,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 8,800 | $38,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 550 | $38,000 | thousands by filing date | call |
| TRUPANION INC | 898202106 | COM | 4,032 | $38,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,218 | $38,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 400 | $38,000 | thousands by filing date | put |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 14,820 | $38,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 3,084 | $38,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 1,718 | $38,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 546 | $37,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 316 | $37,000 | thousands by filing date | put |
| WINGSTOP INC COM | 974155103 | Stock | 1,663 | $37,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,939 | $37,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 10,000 | $37,000 | thousands by filing date | put |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 324 | $37,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 366 | $37,000 | thousands by filing date | call |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,617 | $37,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,420 | $37,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 5,000 | $37,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,125 | $37,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 20,000 | $37,000 | thousands by filing date | put |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 20,000 | $37,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 33,000 | $37,000 | thousands by filing date | principal |
| DOUBLE EAGLE ACQUISITION COR | G28195116 | *W EXP 09/16/202 | 145,000 | $37,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 1,303 | $36,000 | thousands by filing date | call |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,583 | $36,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 5,910 | $36,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 642 | $36,000 | thousands by filing date | call |
| MBIA INC | 55262C100 | COMMON STOCK | 5,650 | $36,000 | thousands by filing date | put |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 4,017 | $36,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 2,183 | $36,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 4,435 | $36,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 5,061 | $36,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 17,556 | $36,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 5,130 | $36,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 3,551 | $36,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 11,415 | $36,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 5,047 | $36,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 15,781 | $36,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 500 | $35,000 | thousands by filing date | call |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,000 | $35,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 2,936 | $35,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 1,642 | $35,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 300 | $35,000 | thousands by filing date | call |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 4,764 | $35,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 2,300 | $35,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 70,577 | $35,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 1,870 | $34,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,200 | $34,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 3,050 | $34,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,500 | $34,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 7,300 | $34,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,464 | $34,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 20,080 | $34,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 974 | $34,000 | thousands by filing date | call |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 5,636 | $34,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 7,389 | $34,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 3,284 | $34,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 650 | $33,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 2,369 | $33,000 | thousands by filing date | call |
| WORKIVA INC COM CL A | 98139A105 | Stock | 1,903 | $33,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 689 | $33,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 1,230 | $33,000 | thousands by filing date | put |
| VERICEL CORP | 92346J108 | COM | 13,123 | $33,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,807 | $33,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 3,179 | $33,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 18,837 | $33,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 9,485 | $33,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 4,823 | $33,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 26,509 | $33,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 16,964 | $33,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 4,729 | $33,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W209 | DB 3X JAP GOV BD | 123,214 | $33,000 | thousands by filing date | principal |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,511 | $32,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 48,700 | $32,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 7,044 | $32,000 | thousands by filing date | put |
| SUNEDISON INC | 86732Y109 | COM | 6,370 | $32,000 | thousands by filing date | put |
| Medgenics Inc New | 58436Q203 | COM NEW | 5,582 | $32,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 25,871 | $32,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 2,085 | $32,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,018 | $32,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 1,135 | $31,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671708 | COM NEW | 10,884 | $31,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 250 | $31,000 | thousands by filing date | call |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 1,160 | $31,000 | thousands by filing date | call |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,794 | $31,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,444 | $31,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,317 | $31,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 3,299 | $31,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 2,497 | $31,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 64,067 | $31,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 31,000 | $31,000 | thousands by filing date | principal |
| RESONANT INC | 76118L102 | COM | 12,000 | $31,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 426 | $30,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 152,259 | $30,000 | thousands by filing date | principal |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,226 | $30,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 2,837 | $30,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 1,604 | $30,000 | thousands by filing date | call |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 3,182 | $30,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 11,955 | $30,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 48,847 | $30,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 4,588 | $30,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 3,934 | $30,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 4,540 | $30,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,920 | $29,000 | thousands by filing date | call |
| RAPID7 INC COM | 753422104 | Stock | 1,995 | $29,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,626 | $29,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,500 | $29,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $29,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 3,571 | $29,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,300 | $29,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,573 | $29,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 22,478 | $29,000 | thousands by filing date | |
| AMERIANA BANCORP | 023613102 | COM | 1,300 | $29,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 31,166 | $29,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 1,904 | $29,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,628 | $29,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 14,000 | $29,000 | thousands by filing date | principal |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 8,252 | $28,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 785 | $28,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,022 | $28,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 6,191 | $28,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 6,438 | $28,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,256 | $28,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,083 | $28,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 2,000 | $28,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $28,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 4,000 | $27,000 | thousands by filing date | call |
| BIOGEN INC COM | 09062X103 | Stock | 90 | $27,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 3,522 | $27,000 | thousands by filing date | call |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 702 | $27,000 | thousands by filing date | put |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 723 | $27,000 | thousands by filing date | call |
| PREFORMED LINE PRODS CO | 740444104 | COM | 675 | $27,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 7,508 | $27,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,928 | $27,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 4,900 | $27,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 11,010 | $27,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,749 | $27,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 20,673 | $27,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 6,597 | $27,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 8,149 | $27,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 4,701 | $27,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 11,956 | $27,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 8,913 | $27,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 5,355 | $27,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 150 | $26,000 | thousands by filing date | put |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 397 | $26,000 | thousands by filing date | call |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 640 | $26,000 | thousands by filing date | call |
| NATERA INC COM | 632307104 | Stock | 2,498 | $26,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 600 | $26,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 497 | $26,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 600 | $26,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 3,761 | $26,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 25,391 | $26,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 55,884 | $26,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 4,429 | $26,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 2,488 | $26,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 3,456 | $26,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 11,007 | $26,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 1,273 | $26,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,116 | $26,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 2,316 | $25,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 7,408 | $25,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,501 | $25,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,788 | $25,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 5,000 | $25,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 415 | $25,000 | thousands by filing date | call |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,429 | $25,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 50,386 | $25,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 513 | $25,000 | thousands by filing date | put |
| SYSTEMAX INC | 871851101 | COM | 3,019 | $25,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 9,097 | $25,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 225 | $24,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 225 | $24,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,168 | $24,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 500 | $24,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 9,456 | $24,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 7,176 | $24,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,726 | $24,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,101 | $24,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 5,266 | $24,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 17,583 | $24,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 667 | $24,000 | thousands by filing date | call |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,000 | $24,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 7,870 | $24,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 2,564 | $24,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 342 | $23,000 | thousands by filing date | call |
| RITEAID CORP | 767754104 | COM | 3,000 | $23,000 | thousands by filing date | call |
| LULULEMON ATHLETICA INC | 550021109 | COM | 440 | $23,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 1,950 | $23,000 | thousands by filing date | call |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 400 | $23,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 251 | $23,000 | thousands by filing date | call |
| CBS CORP NEW | 124857202 | CL B | 500 | $23,000 | thousands by filing date | call |
| ABERDEEN INDIA FD INC | 454089103 | COM | 1,049 | $23,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 1,108 | $23,000 | thousands by filing date | call |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,745 | $23,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 453 | $23,000 | thousands by filing date | put |
| BEBE STORES INC | 075571109 | COM | 43,890 | $23,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 14,800 | $23,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 7,120 | $23,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 1,178 | $23,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,728 | $23,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 9,436 | $23,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 1,524 | $22,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 292 | $22,000 | thousands by filing date | put |
| CROWN HLDGS INC COM | 228368106 | Stock | 450 | $22,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 1,000 | $22,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336107 | COM | 1,808 | $22,000 | thousands by filing date | put |
| FITBIT INC | 33812L102 | CL A | 768 | $22,000 | thousands by filing date | call |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,920 | $22,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 4,368 | $22,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 2,056 | $22,000 | thousands by filing date | call |
| ENTELLUS MED INC | 29363K105 | COM | 1,361 | $22,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 3,392 | $22,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $21,000 | thousands by filing date | put |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 2,000 | $21,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 6,470 | $21,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 350 | $21,000 | thousands by filing date | call |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,159 | $21,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,887 | $21,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 30,749 | $21,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,300 | $21,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,750 | $21,000 | thousands by filing date | call |
| CORIUM INTL INC | 21887L107 | COM | 2,648 | $21,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 449 | $20,000 | thousands by filing date | put |
| APPFOLIO INC | 03783C100 | COM CL A | 1,399 | $20,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,300 | $20,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 688 | $20,000 | thousands by filing date | call |
| STELLUS CAP INVT CORP | 858568108 | COM | 2,100 | $20,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 5,000 | $20,000 | thousands by filing date | call |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 73,647 | $20,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 2,700 | $20,000 | thousands by filing date | put |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 2,700 | $20,000 | thousands by filing date | call |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 15 | $20,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 2,214 | $20,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,191 | $20,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 15,444 | $20,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 12,196 | $20,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,089 | $20,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 22,429 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 92,817 | $20,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 150 | $19,000 | thousands by filing date | call |
| Charles Schwab Corp | 808513105 | COM | 577 | $19,000 | thousands by filing date | put |
| MOSAIC CO COM | 61945C103 | Stock | 714 | $19,000 | thousands by filing date | call |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 2,000 | $19,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 499 | $19,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,690 | $19,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 12,356 | $19,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,890 | $19,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 16,422 | $19,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 225 | $19,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,000 | $19,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 5,406 | $19,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 5,819 | $19,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 28,500 | $19,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 193,700 | $19,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 255 | $18,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 202 | $18,000 | thousands by filing date | put |
| AECOM COM | 00766T100 | Stock | 610 | $18,000 | thousands by filing date | call |
| FLUOR CORP | 343412102 | COM | 397 | $18,000 | thousands by filing date | put |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 1,785 | $18,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 500 | $18,000 | thousands by filing date | call |
| CIGNA CORPORATION | 125509109 | COM | 125 | $18,000 | thousands by filing date | put |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,057 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 98,290 | $18,000 | thousands by filing date | principal |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 3,880 | $18,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 8,766 | $18,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 1,250 | $18,000 | thousands by filing date | call |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,166 | $18,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 2,965 | $18,000 | thousands by filing date | |
| BAYLAKE CORP | 072788102 | COM | 1,250 | $18,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 357 | $18,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 3,607 | $18,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 500 | $17,000 | thousands by filing date | put |
| SHERWIN WILLIAMS CO | 824348106 | COM | 69 | $17,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 470 | $17,000 | thousands by filing date | call |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 14,174 | $17,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,708 | $17,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 3,721 | $17,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,754 | $17,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $17,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 17,000 | $17,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 98,794 | $17,000 | thousands by filing date | principal |
| GAS NAT INC | 367204104 | COM | 2,360 | $17,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 367 | $17,000 | thousands by filing date | |
| STEEL EXCEL INC | 858122203 | COM | 1,200 | $17,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 400 | $16,000 | thousands by filing date | call |
| LULULEMON ATHLETICA INC | 550021109 | COM | 317 | $16,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 250 | $16,000 | thousands by filing date | call |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 3,000 | $16,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 900 | $16,000 | thousands by filing date | call |
| IDENTIV INC | 45170X205 | COM NEW | 8,458 | $16,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 668 | $16,000 | thousands by filing date | put |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 4,000 | $16,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 979 | $16,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 56,245 | $16,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,660 | $16,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 3,109 | $16,000 | thousands by filing date | put |
| ION GEOPHYSICAL CORP | 462044108 | COM | 34,767 | $16,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 48,177 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 800 | $16,000 | thousands by filing date | call |
| Allegiance Bancshares | 01748H107 | COM | 752 | $16,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 45,500 | $16,000 | thousands by filing date | |
| SYNLOGIC | 60470J103 | Stock | 2,582 | $16,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 75,000 | $16,000 | thousands by filing date | call |
| Honeywell Technologies | 438516106 | COM | 150 | $15,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 293 | $15,000 | thousands by filing date | put |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,280 | $15,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 610 | $15,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $15,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $15,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,650 | $15,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 8,873 | $15,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 5,500 | $15,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 8,633 | $15,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 1,704 | $15,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 84,442 | $15,000 | thousands by filing date | principal |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 5,000 | $15,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 861 | $15,000 | thousands by filing date | call |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 32,000 | $15,000 | thousands by filing date | principal |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,408 | $15,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 100 | $14,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 3,466 | $14,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 409 | $14,000 | thousands by filing date | put |
| BLOCK H & R INC COM | 093671105 | Stock | 450 | $14,000 | thousands by filing date | call |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 1,000 | $14,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 500 | $14,000 | thousands by filing date | call |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 150 | $14,000 | thousands by filing date | call |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,793 | $14,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 11,261 | $14,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 51,472 | $14,000 | thousands by filing date | principal |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 1,698 | $14,000 | thousands by filing date | put |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 31,531 | $14,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 9,183 | $14,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 9,293 | $14,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $13,000 | thousands by filing date | call |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 240 | $13,000 | thousands by filing date | put |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,068 | $13,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,500 | $13,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 1,700 | $13,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 856 | $13,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,101 | $13,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $13,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 18,830 | $13,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,688 | $13,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 900 | $13,000 | thousands by filing date | call |
| STAPLES INC | 855030102 | COM | 1,410 | $13,000 | thousands by filing date | put |
| PANDORA MEDIA INC | 698354107 | COM | 1,000 | $13,000 | thousands by filing date | call |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 15,496 | $13,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 13,812 | $13,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $13,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 5,313 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,138 | $13,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 1,490 | $13,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 763 | $13,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 200 | $12,000 | thousands by filing date | call |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 150 | $12,000 | thousands by filing date | call |
| BLUE BIRD CORP | 095306106 | COM | 1,314 | $12,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 200 | $12,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 150 | $12,000 | thousands by filing date | call |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 406 | $12,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 800 | $12,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 788 | $12,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,000 | $12,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 563 | $12,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 6,806 | $12,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $12,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 1,324 | $12,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 593 | $12,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 579 | $12,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 4,115 | $12,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 3,500 | $12,000 | thousands by filing date | |
| HERCULES OFFSHORE INC. | 427093307 | COM | 5,559 | $12,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 433 | $11,000 | thousands by filing date | call |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 331 | $11,000 | thousands by filing date | put |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $11,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 297 | $11,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 1,623 | $11,000 | thousands by filing date | put |
| JOINT CORP | 47973J102 | COM | 2,000 | $11,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 4,225 | $11,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 350 | $11,000 | thousands by filing date | call |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,687 | $11,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 35,210 | $11,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 3,800 | $11,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 6,327 | $11,000 | thousands by filing date | |
| HF FINANCIAL CORP | 404172108 | COMMON STOCK USD.01 | 619 | $11,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 35,400 | $11,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 2,000 | $11,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 5,691 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 10,286 | $11,000 | thousands by filing date | principal |
| ERIN ENERGY CORP COM | 295625107 | Stock | 3,610 | $11,000 | thousands by filing date | |
| TARGACEPT INC | 87611RAA6 | NOTE 2/1 | 11,665 | $11,000 | thousands by filing date | principal |
| Carbylan Therapeutics Inc. | 141384107 | COM | 3,327 | $11,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 214 | $10,000 | thousands by filing date | put |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 76 | $10,000 | thousands by filing date | put |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 76 | $10,000 | thousands by filing date | call |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 175 | $10,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 165 | $10,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 70 | $10,000 | thousands by filing date | call |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 600 | $10,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,799 | $10,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $10,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 987 | $10,000 | thousands by filing date | put |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 6,516 | $10,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 672 | $10,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,202 | $10,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,716 | $10,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,500 | $10,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 1,479 | $10,000 | thousands by filing date | |
| CATALYST | 14888D109 | COM | 3,486 | $10,000 | thousands by filing date | |
| BOULEVARD ACQUISITION | 10157Q110 | *W EXP 09/25/202 | 25,000 | $10,000 | thousands by filing date | call |
| UNITED RENTALS INC COM | 911363109 | Stock | 136 | $9,000 | thousands by filing date | call |
| PTC INC COM | 69370C100 | Stock | 279 | $9,000 | thousands by filing date | call |
| POLARIS INC COM | 731068102 | Stock | 109 | $9,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 119 | $9,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 500 | $9,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 695 | $9,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,487 | $9,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 3,032 | $9,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 735 | $9,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 1,255 | $9,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,000 | $9,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 2,826 | $9,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 329 | $9,000 | thousands by filing date | call |
| STAPLES INC | 855030102 | COM | 975 | $9,000 | thousands by filing date | call |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,609 | $9,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 24,611 | $9,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 4,071 | $9,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,500 | $9,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 38,064 | $9,000 | thousands by filing date | |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 848 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P188 | 3X INV JAP GOV | 64,393 | $9,000 | thousands by filing date | principal |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 600 | $9,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 700 | $9,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 400 | $9,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 6,000 | $9,000 | thousands by filing date | principal |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 1,239 | $9,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 2,442 | $9,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 40,000 | $9,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 150 | $8,000 | thousands by filing date | call |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 150 | $8,000 | thousands by filing date | call |
| CROWN CASTLE INC COM | 22822V101 | REIT | 97 | $8,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 500 | $8,000 | thousands by filing date | put |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 545 | $8,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 1,702 | $8,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 450 | $8,000 | thousands by filing date | put |
| U S SILICA HLDGS INC | 90346E103 | COM | 450 | $8,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 5,486 | $8,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 400 | $8,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 868 | $8,000 | thousands by filing date | call |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 136,890 | $8,000 | thousands by filing date | principal |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,100 | $8,000 | thousands by filing date | call |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 1,250 | $8,000 | thousands by filing date | call |
| XEROX CORP | 984121103 | COM | 774 | $8,000 | thousands by filing date | call |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 859 | $8,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,000 | $8,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 4,586 | $8,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 11,400 | $8,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 6,935 | $8,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 3,650 | $8,000 | thousands by filing date | call |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,410 | $8,000 | thousands by filing date | call |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $8,000 | thousands by filing date | call |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,586 | $8,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 6,368 | $8,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 1,578 | $8,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,970 | $8,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 1,118 | $8,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 1,250 | $8,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 938 | $8,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 170 | $8,000 | thousands by filing date | call |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 2,506 | $8,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 386 | $7,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 500 | $7,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 150 | $7,000 | thousands by filing date | put |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 380 | $7,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 200 | $7,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $7,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-16-000122 | this filing | 2016-02-16 | acceptance time not in the bulk data set |