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 |
|---|---|---|---|---|---|---|
| AbbVie,Inc. | 00287Y109 | COM | 1,936 | $114,000 | thousands by filing date | call |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 5,644 | $114,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 5,000 | $114,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 53,166 | $114,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 7,983 | $113,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 5,000 | $113,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 8,527 | $113,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 6,273 | $112,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 161,000 | $111,000 | thousands by filing date | principal |
| LEMAITRE VASCULAR INC | 525558201 | COM | 6,428 | $110,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 29,402 | $110,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 85,100 | $110,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 8,784 | $110,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 2,597 | $109,000 | thousands by filing date | put |
| FARMER BROS CO | 307675108 | COM | 3,405 | $109,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 18,725 | $109,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 20,976 | $109,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 9,792 | $109,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 4,400 | $108,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 3,270 | $108,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 4,398 | $108,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 6,819 | $108,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 46,846 | $107,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 4,800 | $107,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 6,167 | $106,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 7,857 | $105,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 6,223 | $105,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 20,860 | $105,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 10,812 | $105,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 5,363 | $105,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 13,680 | $104,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 17,598 | $104,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 20,973 | $104,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 5,925 | $104,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 7,207 | $104,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 3,827 | $104,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 15,387 | $103,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 18,321 | $103,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 14,002 | $103,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,296 | $103,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 48,000 | $103,000 | thousands by filing date | principal |
| Qualcomm Incorporated | 747525103 | COM | 2,071 | $102,000 | thousands by filing date | call |
| HALLIBURTON CO COM | 406216101 | Stock | 3,000 | $102,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 4,529 | $102,000 | thousands by filing date | put |
| INVESCO SR INCOME TR | 46131H107 | COM | 25,400 | $102,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 24,401 | $102,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 6,894 | $102,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 700 | $102,000 | thousands by filing date | call |
| KEMPHARM INC COM NEW | 488445107 | Stock | 5,141 | $102,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 34,531 | $101,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 625 | $100,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 1,300 | $100,000 | thousands by filing date | put |
| SKECHERS U S A INC | 830566105 | CL A | 3,325 | $100,000 | thousands by filing date | put |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 7,894 | $100,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 28,965 | $100,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 80,974 | $100,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,630 | $99,000 | thousands by filing date | call |
| MANITOWOC COMPANY INC | 563571108 | COM | 6,535 | $99,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 7,154 | $99,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 5,793 | $99,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 10,146 | $99,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 2,000 | $98,000 | thousands by filing date | put |
| TRAVELZOO | 89421Q205 | CMN | 11,918 | $98,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 38,465 | $98,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 2,734 | $98,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 56,221 | $98,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 1,893 | $97,000 | thousands by filing date | put |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 4,223 | $97,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 3,475 | $97,000 | thousands by filing date | put |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 13,766 | $97,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 5,296 | $97,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 13,184 | $97,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 85,024 | $97,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 708,321 | $97,000 | thousands by filing date | |
| JACKSONVILLE BANCORP INC FLA | 469249205 | COM NEW | 5,200 | $97,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 693 | $96,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 13,509 | $96,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 46,125 | $96,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 3,494 | $96,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 9,827 | $96,000 | thousands by filing date | put |
| KEYW HLDG CORP | 493723100 | COM | 16,158 | $96,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 1,882 | $95,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 5,300 | $95,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 4,362 | $95,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 14,720 | $95,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 80,160 | $95,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 11,546 | $95,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 12,000 | $94,000 | thousands by filing date | put |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 6,642 | $94,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 7,023 | $94,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 10,518 | $94,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 4,599 | $94,000 | thousands by filing date | put |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 12,424 | $94,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 5,236 | $94,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 1,857 | $94,000 | thousands by filing date | call |
| LMI AEROSPACE INC | 502079106 | COM | 9,395 | $94,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 21,289 | $94,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 9,200 | $94,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,510 | $93,000 | thousands by filing date | put |
| NEONODE INC | 64051M402 | COM NEW | 37,251 | $93,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 1,474 | $92,000 | thousands by filing date | put |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 6,805 | $92,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 9,916 | $92,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 12,005 | $92,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 3,924 | $92,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 7,947 | $92,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,514 | $91,000 | thousands by filing date | call |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 4,012 | $91,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 16,806 | $91,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 20,681 | $91,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,250 | $90,000 | thousands by filing date | put |
| Sierra Oncology, Inc. | 74346L101 | common | 6,000 | $90,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 1,920 | $89,000 | thousands by filing date | call |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 7,568 | $89,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 3,405 | $89,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 86,435 | $89,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,215 | $88,000 | thousands by filing date | call |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 6,120 | $88,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 3,554 | $88,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 13,526 | $88,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 6,776 | $88,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 6,935 | $88,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 3,736 | $88,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 4,324 | $88,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 2,047 | $87,000 | thousands by filing date | put |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 10,619 | $87,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 5,056 | $87,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 55,331 | $87,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 2,785 | $87,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 5,157 | $87,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 400 | $86,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 1,427 | $86,000 | thousands by filing date | put |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 10,835 | $86,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 16,473 | $86,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,900 | $85,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,263 | $85,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 1,427 | $85,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 7,398 | $85,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 4,544 | $85,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 5,475 | $85,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 5,324 | $85,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 520 | $84,000 | thousands by filing date | call |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 6,227 | $84,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 2,573 | $84,000 | thousands by filing date | call |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 6,250 | $84,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 23,953 | $84,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 16,197 | $84,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 16,659 | $84,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 10,585 | $84,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T209 | COM | 5,468 | $84,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 5,459 | $83,000 | thousands by filing date | call |
| ELDORADO RESORTS INC | 28470R102 | COM | 7,717 | $83,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 5,548 | $83,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 15,630 | $82,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 10,867 | $82,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 6,186 | $82,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 38,126 | $82,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 40,278 | $82,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 6,297 | $82,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 4,793 | $82,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 2,591 | $81,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,978 | $81,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 17,895 | $81,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 2,500 | $80,000 | thousands by filing date | put |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 925 | $80,000 | thousands by filing date | call |
| ARRIS GROUP INC | 04270V106 | COM | 2,627 | $80,000 | thousands by filing date | call |
| TROVAGENE INC | 897238309 | COM | 15,197 | $80,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 4,318 | $79,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 7,001 | $79,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 18,869 | $79,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 11,236 | $79,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 3,210 | $79,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 10,176 | $78,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 15,075 | $78,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 34,417 | $78,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 20,000 | $78,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 10,335 | $78,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 10,344 | $78,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,145 | $77,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 9,826 | $77,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 7,222 | $77,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 63,639 | $77,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 6,855 | $77,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 7,748 | $77,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 787 | $76,000 | thousands by filing date | put |
| A10 NETWORKS INC | 002121101 | COM | 11,679 | $76,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 5,500 | $76,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 3,600 | $76,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 5,310 | $76,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 24,714 | $76,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 6,507 | $76,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 860 | $75,000 | thousands by filing date | put |
| KEYCORP COM | 493267108 | Stock | 5,743 | $75,000 | thousands by filing date | call |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 4,328 | $75,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 42,900 | $75,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 2,138 | $75,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 2,883 | $75,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 14,610 | $75,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 33,124 | $75,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 3,300 | $75,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 7,988 | $75,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 8,751 | $75,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 6,172 | $75,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 5,884 | $75,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 500 | $74,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 3,011 | $74,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 70,617 | $74,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 1,606 | $74,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $74,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 7,000 | $74,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 5,635 | $74,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 2,236 | $74,000 | thousands by filing date | put |
| GOODRICH PETE CORP | 382410405 | COM NEW | 281,831 | $74,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W506 | PWRSHR DB GERM | 270,155 | $74,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624208 | COM NEW | 7,468 | $74,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 226,500 | $74,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 615 | $73,000 | thousands by filing date | put |
| KEMET CORP | 488360207 | COM NEW | 31,408 | $73,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 52,545 | $73,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 4,076 | $72,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 4,250 | $72,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 4,050 | $72,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 17,095 | $72,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 41,850 | $72,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 87,895 | $72,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 8,000 | $72,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 4,395 | $71,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 22,888 | $71,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 2,881 | $71,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J120 | UNIT 03/29/2021T | 7,118 | $71,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 5,250 | $70,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 5,338 | $70,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 934 | $70,000 | thousands by filing date | put |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 25,831 | $70,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 60,000 | $70,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,139 | $69,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 2,729 | $69,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 11,823 | $69,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 61,093 | $69,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 3,852 | $69,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 38,167 | $69,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 28,718 | $69,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 19,048 | $69,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 26,843 | $69,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 7,466 | $68,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 11,100 | $68,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 1,888 | $68,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 51,700 | $68,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 5,549 | $68,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 13,100 | $68,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 450 | $67,000 | thousands by filing date | call |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 597 | $67,000 | thousands by filing date | call |
| DAUCH CORP | 024061103 | COM | 3,549 | $67,000 | thousands by filing date | put |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 541 | $67,000 | thousands by filing date | put |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 5,000 | $67,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 3,603 | $67,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 2,338 | $67,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 77,000 | $67,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 500 | $66,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 463 | $66,000 | thousands by filing date | call |
| EDISON INTL COM | 281020107 | Stock | 1,125 | $66,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 14,828 | $66,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 2,899 | $66,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 1,000 | $66,000 | thousands by filing date | put |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 5,274 | $66,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 16,500 | $66,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 5,331 | $66,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 2,519 | $66,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 67,000 | $66,000 | thousands by filing date | principal |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 4,500 | $66,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 6,708 | $66,000 | thousands by filing date | |
| CHINA HOUSING & LAND DEV INC | 16939V202 | COM NEW | 22,150 | $66,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 750 | $65,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 900 | $65,000 | thousands by filing date | call |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 5,436 | $65,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 7,205 | $65,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 18,863 | $65,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 2,853 | $65,000 | thousands by filing date | |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 70,000 | $65,000 | thousands by filing date | principal |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 37,188 | $65,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 2,000 | $64,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 950 | $64,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 5,205 | $64,000 | thousands by filing date | put |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 2,450 | $64,000 | thousands by filing date | call |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2,494 | $64,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 6,519 | $64,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 5,000 | $64,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 5,595 | $64,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 9,936 | $64,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 9,879 | $64,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,514 | $63,000 | thousands by filing date | call |
| MURPHY OIL CORP COM | 626717102 | Stock | 2,815 | $63,000 | thousands by filing date | put |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,449 | $63,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 6,000 | $63,000 | thousands by filing date | call |
| LIMONEIRA CO | 532746104 | COM | 4,176 | $62,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $62,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,418 | $62,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 5,382 | $62,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 18,503 | $62,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 3,959 | $61,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 7,647 | $61,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 1,156 | $61,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 4,318 | $61,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 6,352 | $61,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 73,345 | $61,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 58,176 | $61,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 5,391 | $61,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 50,000 | $61,000 | thousands by filing date | principal |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 1,000 | $60,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 866 | $60,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 1,000 | $60,000 | thousands by filing date | call |
| RADIAN GROUP INC COM | 750236101 | Stock | 4,527 | $60,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 2,000 | $60,000 | thousands by filing date | put |
| VERIFONE SYS INC | 92342Y109 | COM | 2,175 | $60,000 | thousands by filing date | call |
| VITAL THERAPIES INC | 92847R104 | COM | 5,344 | $60,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,761,462 | $60,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 450 | $59,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 600 | $59,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 1,603 | $59,000 | thousands by filing date | put |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 9,805 | $59,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 4,830 | $59,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 2,340 | $59,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,836 | $59,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 14,975 | $59,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 7,140 | $59,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 61,000 | $59,000 | thousands by filing date | principal |
| UnitedHealth Group Inc | 91324P102 | COM | 500 | $58,000 | thousands by filing date | put |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 1,023 | $58,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 12,400 | $58,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 3,516 | $58,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 40,390 | $58,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 8,279 | $58,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 4,971 | $58,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 303 | $57,000 | thousands by filing date | put |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 966 | $57,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 4,100 | $57,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 34,429 | $57,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 3,087 | $57,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 188,450 | $57,000 | thousands by filing date | principal |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 2,751 | $57,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 1,000 | $56,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 536 | $56,000 | thousands by filing date | put |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,685 | $56,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 10,092 | $56,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,612 | $56,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 3,499 | $56,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 4,981 | $56,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 1,344 | $55,000 | thousands by filing date | call |
| METLIFE INC COM | 59156R108 | Stock | 1,151 | $55,000 | thousands by filing date | put |
| BLOOMIN BRANDS INC | 094235108 | COM | 3,308 | $55,000 | thousands by filing date | call |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 6,760 | $55,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 2,601 | $55,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 4,000 | $55,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 2,135 | $55,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 278,410 | $55,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 14,129 | $55,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 231,999 | $55,000 | thousands by filing date | principal |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 12,005 | $55,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 59,412 | $55,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 5,643 | $55,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 400 | $54,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 800 | $54,000 | thousands by filing date | put |
| VOC ENERGY TR | 91829B103 | TR UNIT | 22,345 | $54,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 6,602 | $54,000 | thousands by filing date | call |
| ON DECK CAP INC | 682163100 | COM | 5,363 | $54,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 268 | $53,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 18,712 | $53,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 8,803 | $53,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 8,528 | $53,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 4,341 | $53,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,000 | $53,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 9,037 | $53,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 5,481 | $53,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 6,076 | $53,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 1,226 | $52,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 550 | $52,000 | thousands by filing date | call |
| ARTESIAN RES CORP | 043113208 | CL A | 1,937 | $52,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 36,613 | $52,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 7,276 | $52,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 32,064 | $52,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 12,508 | $52,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 212,500 | $52,000 | thousands by filing date | principal |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 3,200 | $52,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 10,834 | $52,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461507 | REDM PFD SER B | 2,100 | $52,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 5,322 | $51,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 1,252 | $51,000 | thousands by filing date | call |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 750 | $51,000 | thousands by filing date | call |
| BLACKROCK INC CL A COM | 09247X101 | COM | 150 | $51,000 | thousands by filing date | call |
| DESTINATION XL GROUP INC | 25065K104 | COM | 9,342 | $51,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 1,642 | $51,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 32,189 | $51,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 50,375 | $51,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 12,872 | $51,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 11,700 | $51,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,427 | $51,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 2,847 | $51,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 500 | $50,000 | thousands by filing date | put |
| WINMARK CORP | 974250102 | COM | 548 | $50,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 5,555 | $50,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3,028 | $50,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 6,000 | $50,000 | thousands by filing date | |
| KANSAS CITY LIFE INSURANCE | 484836200 | SC | 1,314 | $50,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 55,000 | $50,000 | thousands by filing date | principal |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 2,774 | $50,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 82,046 | $50,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 2,159 | $50,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 601 | $49,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 17,352 | $49,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 2,514 | $49,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 15,659 | $49,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 1,000 | $49,000 | thousands by filing date | call |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 300,000 | $49,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 9,396 | $49,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 28,606 | $49,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 50,053 | $49,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 580 | $48,000 | thousands by filing date | call |
| United Parcel Service,Inc. Class B | 911312106 | COM | 500 | $48,000 | thousands by filing date | put |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $48,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 46,154 | $48,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 3,324 | $48,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,548 | $48,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 6,093 | $48,000 | thousands by filing date | |
| PHILIPPINE LONG DISTANCE TEL | 718252604 | SPONSORED ADR | 1,127 | $48,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 700 | $47,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 1,350 | $47,000 | thousands by filing date | call |
| GARMIN LTD SHS | H2906T109 | Stock | 1,280 | $47,000 | thousands by filing date | call |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 3,589 | $47,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 2,124 | $47,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,467 | $47,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 4,635 | $47,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 2,842 | $47,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 1,900 | $46,000 | thousands by filing date | put |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 2,721 | $46,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 4,509 | $46,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,000 | $46,000 | thousands by filing date | put |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 1,196 | $46,000 | thousands by filing date | put |
| Tremor Video | 89484Q100 | Common Stock | 22,422 | $46,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 4,336 | $46,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 12,177 | $46,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 6,562 | $46,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 10,213 | $46,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 511 | $45,000 | thousands by filing date | call |
| WPP PLC NEW ADR | 92937A102 | ADR | 393 | $45,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 592 | $45,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 7,386 | $45,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 8,741 | $45,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 1,800 | $45,000 | thousands by filing date | call |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 1,200 | $45,000 | thousands by filing date | put |
| WI-LAN INC | 928972108 | COM | 34,700 | $45,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N522 | DB 3X LONG UST | 96,861 | $45,000 | thousands by filing date | principal |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 3,000 | $45,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 23,109 | $45,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 4,920 | $45,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 2,400 | $44,000 | thousands by filing date | call |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 2,550 | $44,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 2,882 | $44,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 964 | $44,000 | thousands by filing date | call |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,300 | $44,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 8,081 | $44,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 3,516 | $44,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 12,835 | $44,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 2,860 | $43,000 | thousands by filing date | put |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,620 | $43,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 5,115 | $43,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 911 | $43,000 | thousands by filing date | call |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $43,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 1,311 | $43,000 | thousands by filing date | call |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 9,410 | $43,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 5,563 | $43,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 6,811 | $43,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 5,662 | $43,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 8,187 | $43,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 864 | $43,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $43,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 16,333 | $43,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 5,210 | $43,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 3,210 | $43,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 550 | $42,000 | thousands by filing date | put |
| TRIPADVISOR INC | 896945201 | COM | 500 | $42,000 | thousands by filing date | call |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $42,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 6,742 | $42,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 6,001 | $42,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,884 | $42,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 3,726 | $42,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 3,896 | $42,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 327 | $41,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 2,088 | $41,000 | thousands by filing date | call |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 4,174 | $41,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 2,481 | $41,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,096 | $41,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 6,103 | $41,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 28,600 | $41,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 29,644 | $41,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 141,085 | $41,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 1,687 | $41,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 2,437 | $41,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 385 | $40,000 | thousands by filing date | call |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 949 | $40,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 500 | $40,000 | thousands by filing date | put |
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 |